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

1. EU Dual-Use Control List
Updated: 31 December 2014
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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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10. Category 1 (cont…)
 1C354
 Addition of following plant
pathogens:
 Peronsclerospora philippinensis
(Peronsclerospora sacchan)
 Sclerophthora ravssiae var. zeae
 Synchutrium endobioticium
 Tilletia indica
 Thecaphora solani
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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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27. Category 8: Marine
 8A002
 Fibre optic connectors for marine applications
deleted
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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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