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Commission Delegated Regulation (EU) 2020/1749 of 7 October 2020 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 2020/1749 · Adopted 7 October 2020 · 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) 2020/1749

of 7 October 2020

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 2019 and until end of February 2020, 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 Authorisaitions.

(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. NB:Division NB:
  10. 3Division 3
  11. 4Division 4
  12. NUCLEAR TECHNOLOGY NOTE (NTN)
  13. GENERAL TECHNOLOGY NOTE (GTN)
  14. Note:Division Note:
  15. NUCLEAR SOFTWARE NOTE (NSN)
  16. Note:Division Note:
  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. NB:Division NB:
  23. NB:Division NB:
  24. NB:Division NB:
  25. NB:Division NB:
  26. NB:Division NB:
  27. N.B.1Division N.B.1
  28. N.B.2‘Family’ consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
  29. NB:Division NB:
  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. NB:Division NB:
  40. NB:Division NB:
  41. N.B.1Division N.B.1
  42. N.B.2Division N.B.2
  43. NB:Division NB:
  44. NB:Division NB:
  45. NB:Division NB:
  46. N.B.1Division N.B.1
  47. N.B.2Division N.B.2
  48. NB:Division NB:
  49. Notes:
  50. 1"Intrusion software" does not include any of the following:
  51. 2Division 2
  52. Technical Notes:
  53. 1Division 1
  54. 2Division 2
  55. NB:Division NB:
  56. NB:Division NB:
  57. NB:Division NB:
  58. NB:Division NB:
  59. N.B.1Division N.B.1
  60. N.B.2Division N.B.2
  61. NB:Division NB:
  62. Note:"OAM" does not include any of the following tasks or their associated key management functions:
  63. Technical Notes:
  64. 1Division 1
  65. 2Division 2
  66. NB:The above definition does not include the following devices:
  67. NB:Division NB:
  68. NB:Division NB:
  69. NB:Division NB:
  70. N.B.1Division N.B.1
  71. N.B.2Division N.B.2
  72. NB:Division NB:
  73. NB:Division NB:
  74. NB:Division NB:
  75. N.B.1Division N.B.1
  76. N.B.2Division N.B.2
  77. NB:Division NB:
  78. NB:Division NB:
  79. CATEGORY 0 – NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT
  80. Systems, Equipment and Components
  81. Test, Inspection and Production Equipment
  82. Technical Note:
  83. Note:0B006 includes:
  84. Materials
  85. Note:0C001 does not control the following:
  86. Note:Division Note:
  87. NB:Division NB:
  88. Software
  89. Technology
  90. CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
  91. Systems, Equipment and Components
  92. NB:Division NB:
  93. 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:
  94. Note:Division Note:
  95. NB:Division NB:
  96. NB:Division NB:
  97. Technical Notes:
  98. 1Division 1
  99. 2Division 2
  100. 3Division 3
  101. NB:Division NB:
  102. NB:Division NB:
  103. Note 1:Division Note 1:
  104. Note 2:Division Note 2:
  105. Note 3:Division Note 3:
  106. NB:Division NB:
  107. NB:Division NB:
  108. Technical Notes:
  109. 1Division 1
  110. 2Division 2
  111. NB:Division NB:
  112. Technical Note:
  113. Test, Inspection and Production Equipment
  114. NB:Division NB:
  115. Technical Notes:
  116. 1Division 1
  117. 2Division 2
  118. NB:Division NB:
  119. NB:Division NB:
  120. Note:Division Note:
  121. NB:Division NB:
  122. Note:1B102 includes:
  123. Note:Division Note:
  124. Note:1B226 includes separators:
  125. NB:Division NB:
  126. Materials
  127. Technical Note:
  128. NB:Division NB:
  129. NB:Division NB:
  130. Note:Division Note:
  131. Technical Notes:
  132. 1Division 1
  133. 2Division 2
  134. 3Division 3
  135. Technical Note:
  136. NB:Division NB:
  137. Technical Notes:
  138. 1Division 1
  139. 2Division 2
  140. NB:Division NB:
  141. Technical Notes:
  142. 1Division 1
  143. 2Division 2
  144. NB:Division NB:
  145. NB:Division NB:
  146. Technical Note:
  147. Technical Note:
  148. Note:Division Note:
  149. NB:Division NB:
  150. Technical Note 1:
  151. Technical Note:
  152. Note:Division Note:
  153. Note:Division Note:
  154. Technical Note:
  155. Note:Division Note:
  156. Note:Division Note:
  157. NB:Division NB:
  158. Note:1C230 does not control the following:
  159. Note:Division Note:
  160. Note:Division Note:
  161. Note:Division Note:
  162. Note:Division Note:
  163. Note:Division Note:
  164. Note:1C237 does not control the following:
  165. Note:1C240 does not control the following:
  166. Technical Note:
  167. NB:Division NB:
  168. Note 2:Division Note 2:
  169. Note:Division Note:
  170. Technical Notes:
  171. 1Division 1
  172. 2Division 2
  173. 3Division 3
  174. Note 1:Division Note 1:
  175. Note 2:Division Note 2:
  176. NB:Division NB:
  177. Note 1:Division Note 1:
  178. Note 2:Division Note 2:
  179. Note 3:Division Note 3:
  180. Note 4:Division Note 4:
  181. Software
  182. Technology
  183. Note:Division Note:
  184. CATEGORY 2 – MATERIALS PROCESSING
  185. Systems, Equipment and Components
  186. NB:Division NB:
  187. NB:Division NB:
  188. Technical Note:
  189. Test, Inspection and Production Equipment
  190. Technical Notes:
  191. 1Division 1
  192. 2For the purposes of 2B, the number of axes which can be coordinated 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:
  193. 3Division 3
  194. 4Division 4
  195. 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:
  196. 6Division 6
  197. 7Division 7
  198. NB:Division NB:
  199. Note 1:Division Note 1:
  200. NB:Division NB:
  201. Technical Notes:
  202. 1Division 1
  203. 2Division 2
  204. 3Division 3
  205. 4Division 4
  206. 5Division 5
  207. NB:Division NB:
  208. Technical Note:
  209. NB:Division NB:
  210. NB:Division NB:
  211. NB:Division NB:
  212. NB:Division NB:
  213. NB:Division NB:
  214. NB:Division NB:
  215. Note 1:Division Note 1:
  216. Note 2:Division Note 2:
  217. Note:Division Note:
  218. Note:Division Note:
  219. Note 1:2B201 does not control special purpose machine tools limited to the manufacture of any of the following parts:
  220. Note 3:Division Note 3:
  221. Technical Note:
  222. Note 1:Division Note 1:
  223. Note 2:Division Note 2:
  224. Note:Division Note:
  225. Technical Note:
  226. NB:Division NB:
  227. Technical Notes:
  228. 1Division 1
  229. 2Division 2
  230. Technical Notes:
  231. 1Division 1
  232. 2Division 2
  233. NB:Division NB:
  234. NB:Division NB:
  235. Note:Division Note:
  236. Technical Notes:
  237. 1Division 1
  238. 2Division 2
  239. Materials
  240. Software
  241. Note:Division Note:
  242. NB:Division NB:
  243. Note:Division Note:
  244. Technology
  245. Note:Division Note:
  246. TABLE - DEPOSITION TECHNIQUES - NOTES
  247. TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
  248. CATEGORY 3 – ELECTRONICS
  249. Systems, Equipment and Components
  250. Note 1:Division Note 1:
  251. Technical Notes:
  252. 1Division 1
  253. 2Division 2
  254. NB: 1Division NB: 1
  255. Technical Notes:
  256. 1Division 1
  257. 2Division 2
  258. NB:Division NB:
  259. NB:Division NB:
  260. Technical Notes:
  261. 1Division 1
  262. 2Division 2
  263. Test, Inspection and Production Equipment
  264. NB:Division NB:
  265. Materials
  266. Note:Division Note:
  267. Note:Division Note:
  268. Note:Division Note:
  269. Software
  270. Technical Note:
  271. Technology
  272. Note 1:Division Note 1:
  273. Technical Notes:
  274. 1Division 1
  275. 2Division 2
  276. Note 1:Division Note 1:
  277. Note 2:3E002 does not control "technology" for micro-processor cores, having all of the following:
  278. Note 3:Division Note 3:
  279. CATEGORY 4 — COMPUTERS
  280. Note 1:Division Note 1:
  281. Systems, Equipment and Components
  282. NB:Division NB:
  283. Note 1:4A003 includes the following:
  284. Technical Notes:
  285. 1Division 1
  286. 2Division 2
  287. 3Division 3
  288. Test, Inspection and Production Equipment
  289. Materials
  290. Software
  291. Note:Division Note:
  292. Note:4D004 does not control "software" specially designed and limited to provide "software" updates or upgrades meeting all the following:
  293. Technology
  294. TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
  295. Abbreviations used in this Technical Note
  296. Outline of "APP" calculation method
  297. 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".
  298. Note:Division Note:
  299. 2Division 2
  300. 3Division 3
  301. For ‘vector processors’, Wi = 0,9. For non-‘vector processors’, Wi = 0,3.
  302. Note 1:Division Note 1:
  303. CATEGORY 5 – TELECOMMUNICATIONS AND "INFORMATION SECURITY"
  305. The control status of components, test and "production" equipment and "software" therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.
  306. NB:Division NB:
  307. Systems, Equipment and Components
  308. Technical Note:
  309. Note:5A101 does not control:
  310. Test, Inspection and Production Equipment
  311. Materials
  312. Software
  313. Technology
  315. Note 1:Division Note 1:
  316. Systems, Equipment and Components
  317. NB:Division NB:
  318. Test, Inspection and Production Equipment
  319. Materials
  320. Software
  321. Technology
  322. Note:Division Note:
  323. CATEGORY 6 – SENSORS AND LASERS
  324. Systems, Equipment and Components
  325. NB:Division NB:
  326. NB:Division NB:
  327. NB:Division NB:
  328. Note 1:Division Note 1:
  329. Technical Note:
  330. NB:Division NB:
  331. Technical Note:
  332. NB:Division NB:
  333. NB:Division NB:
  334. Note:6A008 does not control:
  335. Technical Note:
  336. N.B.1Division N.B.1
  337. N.B.2Division N.B.2
  338. Note:6A203.a. to 6A203.c. does not control cameras or imaging devices if they have hardware, "software" or "technology" constraints that limit the performance to less than that specified below, provided they meet any of the following:
  339. NB:Division NB:
  340. Note:Division Note:
  341. Test, Inspection and Production Equipment
  342. Note:Division Note:
  343. NB:Division NB:
  344. Technical Note:
  345. Materials
  346. Software
  347. Technical Note:
  348. Technology
  349. Note:Division Note:
  350. CATEGORY 7 – NAVIGATION AND AVIONICS
  351. Systems, Equipment and Components
  352. NB:Division NB:
  353. NB:Division NB:
  354. NB:Division NB:
  355. NB:Division NB:
  356. NB:Division NB:
  357. NB:Division NB:
  358. Note 1:‘Inertial measurement equipment or systems’ incorporate accelerometers or gyroscopes to measure changes in velocity and orientation in order to determine or maintain heading or position without requiring an external reference once aligned. ‘Inertial measurement equipment or systems’ include:
  359. Technical Note:
  360. NB:Division NB:
  361. Technical Note:
  362. NB:Division NB:
  363. NB:Division NB:
  364. NB:Division NB:
  365. NB:See 6A001.a. for acoustic systems, and 6A001.b. for correlation-velocity and Doppler-velocity sonar log equipment.
  366. Note:Division Note:
  367. Technical Notes:
  368. 1Division 1
  369. 2Division 2
  370. Technical Notes:
  371. 1Division 1
  372. 2Division 2
  373. Technical Note:
  374. Technical Note:
  375. Note:Equipment specified in 7A105, 7A106, and 7A115 includes the following:
  376. Note:Division Note:
  377. Test, Inspection and Production Equipment
  378. Note:Division Note:
  379. Technical Notes:
  380. 1‘Maintenance Level I’
  381. 2‘Maintenance Level II’
  382. NB:Division NB:
  383. Note:7B003 includes:
  384. Materials
  385. Software
  386. Note:Division Note:
  387. Technical Note:
  388. Note:Division Note:
  389. Note:Division Note:
  390. Note:Division Note:
  391. Note:Division Note:
  392. Technology
  393. Note:Division Note:
  394. Note:Division Note:
  395. NB:Division NB:
  396. CATEGORY 8 – MARINE
  397. Systems, Equipment and Components
  398. NB:For the control status of equipment for submersible vehicles, see:
  399. Note:Division Note:
  400. Test, Inspection and Production Equipment
  401. Materials
  402. NB:Division NB:
  403. Technical Note:
  404. Software
  405. Technology
  406. CATEGORY 9 – AEROSPACE AND PROPULSION
  407. Systems, Equipment and Components
  408. NB:Division NB:
  409. NB:Division NB:
  410. Note:Division Note:
  411. Technical Note:
  412. NB:Division NB:
  413. NB:Division NB:
  414. NB:Division NB:
  415. NB:Division NB:
  416. NB:Division NB:
  417. NB:Division NB:
  418. NB:Division NB:
  419. NB:Division NB:
  420. Technical Note:
  421. Division
  422. Note:Division Note:
  423. Technical Notes:
  424. 1For the purposes of 9A102, a ‘turboprop engine system’ incorporates all of the following:
  425. 2Division 2
  426. NB:Division NB:
  427. NB:Division NB:
  428. NB:Division NB:
  429. NB:Division NB:
  430. NB:Division NB:
  431. NB:Division NB:
  432. Technical Note:
  433. NB:Division NB:
  434. Note:Division Note:
  435. Note:Division Note:
  436. Technical Notes:
  437. 1Droplet size for spray equipment or nozzles specially designed for use on aircraft, "lighter-than-air vehicles" or unmanned aerial vehicles should be measured using either of the following:
  438. 2Division 2
  439. Test, Inspection and Production Equipment
  440. NB:Division NB:
  441. NB:Division NB:
  442. NB:Division NB:
  443. Note:Division Note:
  444. NB:Division NB:
  445. Note:Division Note:
  446. Technical Notes:
  447. 1Division 1
  448. 2Division 2
  449. 3Division 3
  450. Technical Notes:
  451. 1Division 1
  452. 2Division 2
  453. Technical Note:
  454. Materials
  455. NB:Division NB:
  456. Note:Division Note:
  457. Software
  458. NB:Division NB:
  459. Note:Division Note:
  460. Note:9D105 includes "software" specially designed for a manned "aircraft" converted to operate as "unmanned aerial vehicle", as follows:
  461. Technical Note:
  462. Technology
  463. Note:Division Note:
  464. NB:Division NB:
  465. Technical Note:
  466. Annex IIAnnex II
  467. Annex IIIAnnex III