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Commission Delegated Regulation (EU) 2019/2199 of 17 October 2019 amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items

EU Regulation 2019/2199 · Adopted 17 October 2019 · Extends to United Kingdom

Original text. legislation.gov.uk does not revise this item, so later amendments are not shown here. Changes made to it are listed under each provision when known.

Commission Delegated Regulation (EU) 2019/2199

of 17 October 2019

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

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to 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 itemsf1, and in particular Article 15(3) thereof,

Whereas:

(1)

Regulation (EC) No 428/2009 requires dual-use items to be subject to effective control when they are exported from or in transit through the Union, or are delivered to a third country as a result of brokering services provided by a broker resident or established in the Union.

(2)

Annex I to Regulation (EC) No 428/2009 establishes the common list of dual-use items that are subject to controls in the Union. Decisions on the items subject to controls are taken within the framework of internationally agreed dual-use controls including the Australia Groupf2, the Missile Technology Control Regimef3, the Nuclear Suppliers Groupf4, the Wassenaar Arrangementf5 and the Chemical Weapons Conventionf6.

(3)

The list of dual-use items set out in Annex I to Regulation (EC) No 428/2009 needs to be updated regularly in order to ensure full compliance with international security obligations, to guarantee transparency, and to maintain the competitiveness of economic operators. The control lists adopted by the international non-proliferation regimes and export control arrangements has been changed during 2018 and therefore Annex I to Regulation (EC) No 428/2009 should be amended accordingly. In order to facilitate references for export control authorities and economic operators, Annex I to that Regulation should be replaced.

(4)

Annexes IIa to IIf to Regulation (EC) No 428/2009 establishes Union General Export Authorisations.

(5)

Annex IIg to Regulation (EC) No 428/2009 establishes a list of dual-use items that are to be excluded from the scope of national general export authorisations and Union General Export Authorisaitons.

(6)

Annex IV to Regulation (EC) No 428/2009 establishes authorisation requirements for certain intra-Community transfers.

(7)

The amendments to the list of dual-use items set out in Annex I necessitate consequential amendments to Annexes IIa to IIg and Annex IV for dual-use items which are also listed in Annexes IIa to IIg and Annex IV.

(8)

Regulation (EC) No 428/2009 empowers the Commission to update the list of dual-use items set out in Annex I as well as Annexes IIa to IIg and Annex IV by means of delegated acts, in conformity with the relevant obligations and commitments, and any modifications thereto, that Member States have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

(9)

Considering the importance of ensuring full compliance with international security obligations as soon as practically possible, this Regulation should enter into force on the day following that of its publication.

(10)

Regulation (EC) No 428/2009 should therefore be amended accordingly,

HAS ADOPTED THIS REGULATION:

Annotations to the whole text

Footnotes

f1

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).

f2

The Australia Group (AG) is an informal forum of countries which, through the harmonisation of export controls, seeks to ensure that exports do not contribute to the development of chemical or biological weapons. Further information is available at: http://www.australiagroup.net/

f3

The Missile Technology Control Regime (MTCR) is an informal political understanding among states that seek to limit the proliferation of missiles, complete rocket systems, unmanned air vehicles. and related technology. Further information is available at: http://mtcr.info/

f4

The Nuclear Suppliers Group (NSG) is a group of nuclear supplier countries that seeks to contribute to the non-proliferation of nuclear weapons through the implementation of two sets of Guidelines for nuclear exports and nuclear-related exports. Further information is available at: http://www.nuclearsuppliersgroup.org/

f5

The Wassenaar Arrangement (WA) has been established in order to contribute to regional and international security and stability, by promoting transparency and greater responsibility in transfers of conventional arms and dual-use goods and technologies, thus preventing destabilising accumulations. Further information is available at: https://www.wassenaar.org/

f6

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) aims to eliminate an entire category of weapons of mass destruction by prohibiting the development, production, acquisition, stockpiling, retention, transfer or use of chemical weapons by States Parties. Further information is available at: https://www.opcw.org/chemical-weapons-convention

Contents

  1. 1Article 1
  2. 2Article 2
  3. Signature
  4. Annex I
  5. LIST OF DUAL-USE ITEMS(referred to in Article 3 of this Regulation)
  6. GENERAL NOTES TO ANNEX I
  7. 1Division 1
  8. 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.
  9. Division
  10. 3Division 3
  11. 4Division 4
  12. NUCLEAR TECHNOLOGY NOTE (NTN)
  13. GENERAL TECHNOLOGY NOTE (GTN)
  14. Division
  15. NUCLEAR SOFTWARE NOTE (NSN)
  16. Division
  17. GENERAL SOFTWARE NOTE (GSN)
  18. GENERAL "INFORMATION SECURITY" NOTE (GISN)
  19. EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION
  20. ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX
  21. DEFINITIONS OF TERMS USED IN THIS ANNEX
  22. Division
  23. Division
  24. Division
  25. Division
  26. Division
  27. Division
  28. Division
  29. Division
  30. Technical Notes:
  31. 1Division 1
  32. 2Division 2
  33. Notes:
  34. 1Division 1
  35. 2Division 2
  36. Technical Notes:
  37. 1Division 1
  38. 2Division 2
  39. Division
  40. Division
  41. Division
  42. Division
  43. Division
  44. Division
  45. Division
  46. Division
  47. Division
  48. Technical Note:
  49. Division
  50. Notes:
  51. 1"Intrusion software" does not include any of the following:
  52. 2Division 2
  53. Technical Notes:
  54. 1Division 1
  55. 2Division 2
  56. Division
  57. Division
  58. Division
  59. Division
  60. Division
  61. Division
  62. Division
  63. Division
  64. Technical Note:
  65. Technical Note:
  66. Technical Note:
  67. Division
  68. Division
  69. Division
  70. Division
  71. Division
  72. Division
  73. Division
  74. Division
  75. Division
  76. Division
  77. Division
  78. Division
  79. Division
  80. CATEGORY 0 - NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT
  81. 0ASystems, Equipment and Components
  82. 0BTest, Inspection and Production Equipment
  83. 0CMaterials
  84. 0DSoftware
  85. 0ETechnology
  86. CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
  87. 1ASystems, Equipment and Components
  88. 1BTest, Inspection and Production Equipment
  89. 1CMaterials
  90. Technical Note:
  91. 1DSoftware
  92. 1ETechnology
  93. CATEGORY 2 - MATERIALS PROCESSING
  94. 2ASystems, Equipment and Components
  95. Division
  96. 2BTest, Inspection and Production Equipment
  97. Technical Notes:
  98. 1Division 1
  99. 2For the purposes of 2B, the number of axes which can be co-ordinated simultaneously for "contouring control" is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative movement within the machine are performed such as:
  100. 3Division 3
  101. 4Division 4
  102. 5‘Stated "unidirectional positioning repeatability"’ may be used for each machine tool model as an alternative to individual machine tests and is determined as follows:
  103. 6Division 6
  104. 7Division 7
  105. 2CMaterials
  106. 2DSoftware
  107. 2ETechnology
  108. TABLE - DEPOSITION TECHNIQUES - NOTES
  109. 1Division 1
  110. 2Division 2
  111. 3Division 3
  112. 4Division 4
  113. 5‘MCrAlX’ refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0,01 % by weight in various proportions and combinations, except:
  114. 6Division 6
  115. 7Division 7
  116. 8Division 8
  117. 9Division 9
  118. 10Division 10
  119. 11Division 11
  120. 12Division 12
  121. 13Division 13
  122. 14Division 14
  123. 15Division 15
  124. 16Division 16
  125. 17"Technology" for depositing diamond-like carbon on any of the following is not controlled:
  126. 18Division 18
  127. 19Division 19
  128. TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
  129. CATEGORY 3 - ELECTRONICS
  130. 3ASystems, Equipment and Components
  131. Division
  132. Division
  133. Division
  134. Division
  135. 3BTest, Inspection and Production Equipment
  136. 3CMaterials
  137. 3DSoftware
  138. 3ETechnology
  139. CATEGORY 4 - COMPUTERS
  140. Division
  141. Division
  142. Division
  143. Technical Note:
  144. 4ASystems, Equipment and Components
  145. 4BTest, Inspection and Production Equipment
  146. 4CMaterials
  147. 4DSoftware
  148. Division
  149. 4ETechnology
  150. TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
  151. Abbreviations used in this Technical Note
  152. Outline of "APP" calculation method
  153. For each processor i, determine the peak number of 64-bit or larger floating point operations, FPOi, performed per cycle for each processor in the "digital computer".
  154. Division
  155. 2Division 2
  156. 3Division 3
  157. For ‘vector processors’, Wi = 0,9. For non-‘vector processors’, Wi = 0,3.
  158. Division
  159. Division
  160. Division
  161. Division
  162. Division
  163. Division
  164. Technical Note:
  165. 1Division 1
  166. 2Division 2
  167. Division
  168. CATEGORY 5 - TELECOMMUNICATIONS AND "INFORMATION SECURITY"
  170. Division
  171. Division
  172. Division
  173. 5A1Systems, Equipment and Components
  174. 5B1Test, Inspection and Production Equipment
  175. 5C1Materials
  176. 5D1Software
  177. 5E1Technology
  179. Division
  180. Division
  181. Division
  182. Note to the Cryptography Note:
  183. 1To meet paragraph a. of Note 3, all of the following must apply:
  184. 2Division 2
  185. 5A2Systems, Equipment and Components
  186. 5B2Test, Inspection and Production Equipment
  187. 5C2Materials
  188. 5D2Software
  189. 5E2Technology
  190. CATEGORY 6 - SENSORS AND LASERS
  191. 6ASystems, Equipment and Components
  192. 6BTest, Inspection and Production Equipment
  193. 6CMaterials
  194. 6DSoftware
  195. 6ETechnology
  196. CATEGORY 7 - NAVIGATION AND AVIONICS
  197. 7ASystems, Equipment and Components
  198. Division
  199. 7BTest, Inspection and Production Equipment
  200. 7CMaterials
  201. 7DSoftware
  202. 7ETechnology
  203. CATEGORY 8 - MARINE
  204. 8ASystems, Equipment and Components
  205. 8BTest, Inspection and Production Equipment
  206. 8CMaterials
  207. 8DSoftware
  208. 8ETechnology
  209. CATEGORY 9 – AEROSPACE AND PROPULSION
  210. 9ASystems, Equipment and Components
  211. Division
  212. 9BTest, Inspection and Production Equipment
  213. 9CMaterials
  214. 9DSoftware
  215. 9ETechnology
  216. Division
  217. Annex IIAnnex II
  218. Annex IIIAnnex III