The headlines and details of the changes made to the EU Dual Use Export Control list on 31 December 2014. These changes enact into EU law the various amendments made to the Control Lists by the international export regimes since 2011 - the Wassenaar Arrangement, Australia Group, Nuclear Suppliers Group and the Missile Technology Control Regime. They amend Annex 1 of EU Council Regulation 428/2009 and have legal force across the EU
2. At last
The European Commission has updated the EU control list of
Dual-Use Items (Annex I to Council Regulation 428/2009)
last amended June 2012
Now incorporates some 400 changes made by the multilateral
export control regimes in 2011, 2012 & 2013
Includes:
new controls
deletions
changes to technical parameters
other amendments
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3. What does this mean?
legal effect across the EU on 31 December 2014
If your exports – equipment, materials, software, technology – have been
added to the lists, they are now subject to export controls and require a licence
to be exported outside the EU (or an ‘Article 22(10)’ note if within the EU)
If your exports have been deleted from the lists, they no longer require a
licence (subject to their not being caught by sanctions or end-use controls)
The inclusion or exclusion of your exports may be affected by changes to
some technical parameters or Notes
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4. Headlines
Cat 0: changes from the Nuclear Suppliers’ Group Fundamental Review
Cats 1, 2, 3, 6, 7 and 9: wide range of additions, deletions and amendments
Cat 4: New controls relating to intrusion software. Aimed at controlling items
that generate, operate, deliver or communicate with intrusion software and not
intrusion software itself.
Cat 5 Part 1: New controls for equipment for mobile communications
interception, CIED communications and for Internet Protocol network
communications surveillance
Cat 5 Part 2: updates and clarification of the Cryptography Note
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5. Category 0: Nuclear
As a result of the NSG Fundamental Review, 54
amendments covering:
Nuclear Reactors
Fuel Fabrication
Industrial Equipment
Miscellaneous
Reprocessing
Weaponisation
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6. Category 1: Special Materials & Equipment
1A004
Clarification for Face Masks, Filters and Powered Air
Purifying Respirators (PAPR) Masks and Filters
1A005
Body armour revised. Any soft armour and hard plates
below NIJ III. Armour that doesn’t provide ballistic
protection decontrolled
1B001
Clarification to distinguish between Tape Laying and
Tow Placement machines
1B201
Amendment to Filament Winding Machine control text
1B227
Removal of Ammonia Synthesis Converters
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7. Category 1 (cont…)
1B228
Amendment to controls on Hydrogen-Cryogenic
Distillation with new Technical Note
1B233
Amendment to controls on Lithium Isotope
Separation Systems including two new entries on
Ion Exchange Systems and Chemical Exchange
1B234
Introduction on controls High Explosive Containment
Vessels, not controlled under the UK Military List.
1C001b
Decontrol for RF absorbing materials.
1C001c
Decontrol for polymeric materials in liquid form.
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8. Category 1 (cont…)
1C008
Decontrols for some polymeric substances by raising
glass transition temperature thresholds.
1C111a2b
New control on metal powders of either boron or boron
alloys with a boron content of 85% or more by weight.
1C116
Amendment to control on Maraging Steels, including
two new Technical Notes.
1C216
Lowering of the control parameter for Maraging Steels.
1C229
Amendment to controls on Bismuth
1C241
New control on Rhenium, including sub-paragraphs
detailing control.
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9. Category 1 (cont…)
1C351
Control entries combined for Human and Animal Pathogens and
the list alphabetically re-ordered, with the addition of the following:
Herpes
Hog Cholera
Rabies (clarified)
Clostridium Baratii, Botulinium
Neurotoxin-producing strains
Coxiella
Francisella
E.Coli
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11. Category 2: Materials Processing
2A225
Amended wording to control on Crucibles.
2B001
Decontrol for dental prostheses machines.
2B001b
5 axis or more milling machines reviewed and split into 4 sub-items.
Axis less than 1m
Axis 1m to 2m
Axis greater than 2m
All parallel mechanism machines
Results in lower accuracy machines being decontrolled
2B001f
Components for deep-hole drilling machines deleted.
2B006b1
Clarification for LVDTs
2B009
Spin forming machines with two axis decontrolled.
2B206
Amendment to control on CMM, with new Technical Note.
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12. Category 2 (cont…)
2B230
Control on pressure transducers amended,
including a local definition; sub-paragraphs
amended; and New Technical Note
2B232
Amendment to control on High-velocity Gun
System with new Nota Bene
2B233
New control for bellow-sealed compressors
and vacuum pumps, including 3 sub-
paragraphs and a Nota Bene.
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13. Category 2 (cont…)
2B350g
Valves containing controlled Casings or Liners,
but not having all surfaces with listed materials,
only controlled if –
Nominal size between 25.5mm (1”) and
101.6mm (4”)
Closure element designed to be
interchangeable
2B352b
Addition of components for Fermenters.
2B352h
New control for Spray Drying Equipment.
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14. Category 2 (cont…)
2D003
New control for optics
measurement and machine coding
software for operating optical
polishing machines.
2D202
New note for Machine Tool
Software, decontrolling some types
of software.
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15. Category 3: Electronics
General Purpose Integrated Circuits
3A001a5 & 7
ADC convertors & FPGAs parameters updated resulting in a
small number being decontrolled.
3A001a13
New control for Direct Digital Synthesiser.
Microwave or Millimetre Wave components
3A001b2, 3, 4 & 11
MMICs, Discrete Microwave Transistors, Solid State
Amplifiers, Frequency Synthesisers and Frequency
Synthesiser assembly controls clarified and more focussed,
resulting in some being decontrolled
High Energy Devices
3A001e2
Secondary Cells updated with a small number decontrolled
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16. Category 3 (cont…)
3A002a
Magnetic Tape Recorders deleted
3A002a7
New control for oscilloscopes
3A002c4, 3A002d & 3A002e
Signal Analysers, Signal Generators and Network Analysers
updated and more focussed with a number being decontrolled
3A225
Control chapeau for frequency changers amended; control
parameters in sub-paragraphs amended, (including the
removal of harmonic distortion parameter); new Nota Bene for
software & technology; new decontrol Note for certain
constrained equipment; and new Technical Note 2.
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17. Category 3 (cont…)
3A229
Return of control on Detonator Firing Sets and the addition of control on Micro Firing Sets.
3A230
Addition of Pulse Heads to control.
3A231
Amendment to control on Neutron Pulse Generators, with two new sub-paragraphs.
3A233
Amendment to controls on Electron Bombardment Mass Spectrometers, with two new sub-
paragraphs;
3A234
New control on Straplines, with a voltage rating greater than 2kV and an Induction of less than 20nH.
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18. Category 3 (cont…)
Production equipment
3B001h - IC
Wafer production masks updated with a small number decontrolled.
Materials
3C001 & 2
IC Wafer and Resist materials updated with a small number decontrolled.
Software
3D225
New control on software capable of releasing constraints of Frequency Changers.
Technology
3E002
Decontrol for a small number of ICs development and production technology.
3E225
New control on technology capable of releasing constraints of Frequency Changers.
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19. Category 4: Computers
4A003a
Fault tolerant computers deleted.
4A003b, 4D001b & 4E001b
Adjusted Peak Performance raised for hardware,
software and technology related controls.
4A005, 4D004 & 4E001a
New controls relating to intrusion software. Aimed at
controlling the items that generate, operate, deliver or
communicate with intrusion software and not intrusion
software itself.
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20. Category 5 Part 1: Telecommunications
5A001b3
Decontrol for civil communications earth stations.
5A001f
New controls for mobile communications interception equipment.
5A001h
New controls for CIED communications equipment.
5A001j
New controls for Internet Protocol network communications surveillance equipment.
5B001b5
Equipment for common signal channelling deleted.
5E001d
Controls for Technology relating to telecoms MMICs updated and more focussed.
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21. Category 5 Part 2: Information Security
• Cryptography Note updated to include hardware and software components
• New Note to provide clarification to the Cryptography Note
• New Note (i) decontrolling Personal Area Network equipment.
• New Note (k) decontrolling business local access equipment not decontrolled
by the Cryptography Note
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22. Category 6: Sensors and Lasers
6A001a1a2b
New control for shallow survey equipment.
6A001b
Arrays added for object location/detection equipment.
6A001e
Arrays added for swimmer and delivery vehicle
detection equipment.
6A001a2a
New piezoelectric materials included for hydrophone
sensor elements.
6A001a2b
New control for arrays having accelerometer based
sensors.
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23. Category 6 (cont…)
6A001a2e
New control for bottom or bay cable arrays having Accelerometer Based Sensors.
6A001a2g
New control for Accelerometer Based Hydro-acoustic Sensors.
6A005a6
Decontrols for ‘industrial’ lasers using new parameters Beam Parameter Product and
Brightness.
6A005b4, 6
New controls for Femtosecond Lasers.
6A008k, l
Clarification for marine radars with a limited decontrol.
6A107
Amendment on the controls on Gravity Meters
6A203
Rewrite of control text with new Nota Benes, Note and Technical Note
6A205
New control on Carbon Monoxide Lasers, includes four new sub-paragraphs.
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24. Category 6 (cont…)
6A225
Amendment to Note on Velocity Interferometers.
6A226
Control on Shock Pressure (Manganin) Gauges amended.
6C004
New optical materials.
6D203
New control on Camera Software to enhance or release the performance of
cameras or imaging devices to meet the characteristics of 6A203.a. to
6A203.c
6E203
New control on Camera Technology to enhance or release the performance
of cameras or imaging devices to meet the characteristics of 6A203.a. to
6A203.c
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25. Category 7: Navigation & Avionics
7A001a2
Decontrol for accelerometers exceeding 15g.
7A003
Major revision for Inertial Measurement
Equipment/Systems. The aim is to clarify the
controls and base them on equipment/systems
available that have multiple outputs, addressing
their greater flexibility.
7A004
Gyro-astro compasses replaced by star trackers
and updated.
7D003
Source code deleted for a variety of avionic related
items.
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26. Category 7 cont
7D004
New control for source code incorporating
development technology for avionics previously
listed in 7D003
7D005
New software control for decrypting GNSS data.
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28. Category 9: Aerospace
9A001
Gas Turbines incorporated in to APUs now treated in the same
manner as propulsion gas turbines.
9A012
Clarification with the addition of Unmanned Airships.
9A101
New local definition added to control on Turbojet and Turbofan
Engines, including reference to using ICAO standard atmosphere.
9A102
Amended to make reference to ICAO standard atmosphere.
9A105
Amendment to control on Liquid Propellant Rocket Engines.
9A106
Amendment to control on Propellant Control Systems
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29. Category 9 (cont…)
9A117
New Nota Bene referencing new entry 9A121.
9A121
New control for Missile/Rocket Connectors, with
Technical Note.
9B105
Control on Wind Tunnels expanded to include
Shock Tunnels, amendment to Technical Notes and
new Note.
9B106
Amendment to control on Test Chambers
incorporating vibration test equipment (Shaker
Units).
9E003a2
Technology for combustors clarified with a small
level of decontrol.
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30. Category 9 (cont…)
9E003a5
Technology for turbine blades, small level of
decontrol.
9E003c
Technology for manufacturing cooling holes
clarified.
9E101
amended to make reference 9A120 and 9A121.
9E102
amended to make reference 9A120 and 9A121.
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31. Where to find the details
Comprehensive Change Note Summary for Regulation 428/2009
trade.ec.europa.eu/doclib/docs/2014/october/tradoc_152854.pdf
Draft Annex
ec.europa.eu/transparency/regdoc/rep/3/2014/EN/3-2014-7567-EN-
F1-1-ANNEX-1.Pdf
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32. Richard Tauwhare
Green Light Exports Consulting
Email: richard@greenlightexports.co.uk
Web: www.greenlightexports.co.uk
Phone: +44(0)770 311 0880
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