Proposal for a Council Regulation amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
Date: 2008-09-11
Institutions: European Commission
Subjects: customs regulations, dual-use good, exchange of information, export monitoring, member country, technology transfer

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 11.9.2008 
COM(2008) 541 final 

2008/0175 (ACC) 

Proposal for a 

COUNCIL REGULATION 

amending and updating Regulation (EC) No 1334/2000 setting up a Community regime 
for the control of exports of dual-use items and technology  

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EXPLANATORY MEMORANDUM 

Dual-use  items  (including  software  and  technology)  are  civil  items  which  can  be  used  for 
military purposes. They are subject to control when they are to be exported from the European 
Union.  Those  controls  aim  in  particular  at  preventing  the  proliferation  of  weapons  of  mass 
destruction. In particular, they meet the objectives set by the United Nations Security Council 
Resolution 1540 adopted in April 2004. 

The decisions to control dual-use items are taken by consensus in international export control 
regimes  and  the  EC  is  bound  to  apply  them  under  Article  11  of  Regulation  (EC)  No 
1334/2000. This Article stipulates that “the list of dual use items set out in Annex I shall be 
updated in conformity with the relevant obligations and commitments that each Member State 
has accepted as a member of the international export control arrangements”. 

However,  not  all  new  EU  Member  States  have  yet  been  accepted  in  these  regimes,  in 
particular  in  the  Missile  Technology  Control  Regime  (MTCR)  and  the  Wassenaar 
Arrangement.  This  difference  of  status  in  export  control  regimes  leads  to  discrepancies 
between EU Member States in access to important information on sensitive end-users. Hence, 
this weakens the EU export control regime  and those  international regimes  in  which  not all 
EU Member States participate. 

Since  the  adoption  on  18  September  2007  of  the  last  amendment  of  the  Regulation,  the 
Wassenaar  Arrangement  (WA),  the  Missile  Technology  Control  Regime  (MTCR)  and  the 
Australia  Group  (AG)  have  agreed  on  specific  changes  to  their  respective  control  lists. 
Besides,  the  Wassenaar  Medical  Exemption  for  encryption  items  stated  in  its  statement  of 
understanding (medical equipment [NF (96) DG PL/WP1]) has not been implemented by the 
EU  as  yet  (and  yet  has  already  been  implemented  in  non-EU  countries  members  of  the 
Wassenaar  Arrangement).  As  a  consequence,  Annex  I  of  the  Council  Regulation  (EC)  No 
1334/2000, which is based on Article 133 of the Treaty, needs to be amended.  

To facilitate the decision making, a summary of the changes brought is detailed below. 

DEFINITIONS in Annex I: 

Acronyms & 
Definitions 

Regime   Nature of change 

ISA 

WA 

New acronym for International Standard Atmosphere. 

Bias (accelerometer) 

WA 

Definition amended. 

Bias (gyro) 

WA 

New definition. 

Real-time bandwidth 

Edit 

Definition amended. 

III/V compounds 

WA 

New definition. 

CATEGORIES 1 to 9 in Annex I 

Category 1 

Regime  

Nature of change 

1A004.a., b., c. & Tech 
Notes 1 & 2 

WA 

Sub-entry text amended to clarify control of civil NBC 
equipment; 

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Two new technical Notes added. 

1A006, a., b., N.B., 
Tech Note & Note 

1A007, a., b.1. to 4., 
N.B. & Tech Notes 

WA 

WA 

New control for IED disposal equipment with 2 sub-
entries, Nota Bene, Note and Technical Note.  

New control for devices to ignite charges with 2 sub-
entries, Nota Bene, and 2 Technical Notes. 

1C111.a.3.a., b. & c. 

MTCR 

Sub-entries amended to include CAS numbers. 

1C111.a.4. N.B. 

Edit 

Nota Bene added for clarity. 

1C111.a.4.j. 

MTCR 

Sub-entry for Hydrazinium dinitrate added. 

1C111.a.4.q. 

MTCR 

Sub-entries amended to clarify chemicals. 

1C111.b.1. & 2. 

MTCR 

Sub-entries amended to clarify chemicals. 

1C111.c.2. & 5. 

MTCR 

Sub-entries amended to include CAS numbers. 

1C116 & Tech Note 

MTCR 

Entry for maraging steel amended for clarification;  

New Technical Note added. 

1C352.a.2.b., b.1. & 
b.2. 

AG08 

Sub-paragraphs amended to reference new EC Directive 

1E201 

1E202 

Category 2 

2B Tech Note 5 

2B001 N.B. 

2B002 

2B002.c. 

2B002.d.4., 5. & Tech 
Notes 4 & 5 

WA 

WA 

WA 

WA 

WA 

WA 

WA 

Consequential change as a result of 1A007. 

Consequential change as a result of 1A007. 

Text amended in Note. 

Nota Bene added for optical finishing machines. 

Entry amended. 

Sub-entry changed from 3 to 4 axes (or more) machines. 

Two new sub-entries for optical finishing machines; 

Two Technical Notes added. 

2B006.b.1.c.2. & 2.b. 

WA 

Sub-paragraphs for measuring systems amended for 
clarification. 

2B007.b. & Note 

2B008.a. N.B. 

2B008.b. N.B. 

WA 

WA 

WA 

Sub-paragraph for Robots amended; Note added. 

Nota Bene amended. 

Nota Bene amended. 

2B116.a. 

MTCR 

Sub-entry for vibration test systems amended for 

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clarification. 

2B116.b. 

Edit 

Sub-entry amended to delete global definition of real-
time bandwidth. 

2B120.c.3. 

MTCR 

Sub-paragraph for motion simulators amended for 
clarification. 

2B121.b. 

MTCR 

Sub-paragraph for positioning tables amended for 
clarification. 

2B352.a. Tech Note 

AG 

Technical Note for biological containment facilities 
amended 

Category 3 

3A001.a.2. 

3A001.b.4. 

3A001.b.7. 

3A001.b.8. 

WA 

WA 

WA 

WA 

Sub-entry amended to remove neural network integrated 
circuits. 

Sub-entry for microwave solid state amplifiers amended. 

Sub-entry for microwave mixers/converters amended. 

Sub-entry for microwave power amplifiers amended. 

3A001.c.1.a., b. & c.3.  WA 

Parameters for carrier frequency and bandwidth 
amended for acoustic wave devices. 

3A001.c.2. 

WA 

Parameter for frequency amended for bulk acoustic wave 
devices. 

3A002.g. 1., 2. & 3. 

WA 

Entry for atomic frequency standards amended and now 
includes 3 new sub-entries. 

3A229, a. & NB 

WA 

Consequential change as a result of 1A007. Chapeaux 
amended; sub-entry a. deleted; Nota Bene added. 

3A232, a, & NB 

WA 

Consequential change as a result of 1A007. Chapeaux 
amended; sub-entry a. deleted; Nota Bene added; Tech 
Note deleted. 

3B001.f.3., a. & b. 

WA 

Sub-entry for masking lithography equipment amended 
and now include 2 sub-paragraphs. 

3C001.d. 

3C002.e. 

3C005 

WA 

WA 

WA 

Sub-entry amended; Technical Note deleted. 

New entry for certain imprint lithography resists. 

Entry amended to include additional electronic substrate 
material. 

3C006 

WA 

New entry for certain electronic substrates. 

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Category 4 

4A001.a.1. Note 

4A003.a. Note 3 

4A003.c. Note 1 

Category 5 – Part 1 

5A001.b.1. 

5A001.b.1.d. 

5A001.f. 

5A101 

Category 5 Part 2 

Edit 

Edit 

Edit 

WA 

WA 

WA 

Edit 

Text of Note amended for consistency. 

Text of Note amended. 

Text of Note amended for consistency. 

Sub-entry text amended for underwater communication 
systems. 

New sub-entry for certain underwater communication 
systems using lasers or LEDs. 

Sub-entry for jamming equipment amended. 

Text amended. 

Note 1. NB 

WA 

Nota Bene added 

5A002 Note a.1., e. & g.  WA 

Note a.1. amended for personal smart cards; 

Note e. amended for civil mobile communication 
equipment; 

New Note g. added for certain modified civil 
communication equipment. 

Category 6 

6A001a.2.b.6. 

6A001.b., 1., 2., & 
Notes 1 & 2 

WA 

WA 

Sub-entry for certain hydrophone arrays deleted. 

Sonar log sub-entry amended to include Doppler-
velocity equipment; two new sub-entries; two new Notes 
added. 

6A002.a.2. Note & Tech 
Note 

WA 

New Note and Technical Note added to sub-entry. 

6A002.a.2.a.3.c. Note 

Edit 

Text of Note amended. 

6A002.a.2.a., b., & c. 

WA 

Image intensifier tube sub-entry a. amended; new sub-
entry b.; original sub-entry b. renumbered c. and 
amended. 

6A002.a.3. NB & Note 
2.c & Tech Note 

WA 

Nota Bene amended; New Note for focal plane arrays 
(FPA) using charge multiplication with Technical Note. 

6A002.a.3.a. 

WA 

FPA sub-paragraph rewritten to include two new sub-

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6A002.a.3.b. 

6A002.a.3.d. Note & 
Tech Note 

6A002.a.3.g. 

6A002.c.1., 2., 3. & 
Note 

6A003.b.3. 

WA 

WA 

WA 

WA 

WA 

paragraphs. 

FPA sub-paragraph rewritten to include two new sub-
paragraphs. 

Note for certain FPA added; Technical Note amended 
and move to this sub-entry. 

New sub-entry for charge multiplication FPA. 

Sub-entries 1. and 2. for direct view imaging equipment 
amended; New sub-entry 3. added; Note amended. 

Sub-entry for imaging cameras incorporating intensifier 
tubes amended. 

6A003.b.4.c., d. & Note 
4 

WA 

Sub-entry for imaging cameras incorporating FPAs 
amended to include two new sub-entries; New Note 4 
added. 

New sub-entry for imaging cameras incorporating 
certain solid-state detectors. 

Nota Bene added for copper vapour lasers. 

Entry amended to correct implementation of WA 2006 
changes. 

Sub-entry gyros amended. 

Sub-entries for inertial navigation equipment amended; 
Note 1.b. amended. 

Nota Bene amended to include Doppler-velocity sonar 
log equipment. 

Consequential amendment to sub-entry, including 2 new 
sub-entries, as a result of the 2006 WA accelerometer 
changes. 

6A003.b.5. 

6A205 N.B. 

6E201 

Category 7 

7A002.a. & c. 

7A003.a, b., c. & Note 
1.a. 

7A008 N.B. 

WA 

Edit 

Edit 

WA 

WA 

WA 

7A103.a.1. & 2. 

Edit 

Category 8 

No changes 

Category 9 

9A012.b.4. 

WA 

New sub-entry for certain UAV engines. 

9A101.b. 

MTCR 

Sub-entry amended to include UAV turbojet and 
turbofan engines. 

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9A102, Note & Tech 
Notes 

MTCR 

New entry for certain UAV turbo engine systems with 
Note and two Technical Notes 

9A106. a., b., c. & d. 

MTCR 

Entry and sub-entries for certain liquid rocket propulsion 
components amended. 

9B106.a.1., 2. & Tech 
Note 2 & 3 

MTCR 

Sub-entry for environmental chambers amended to 
include a new sub-entry for those incorporating vibration 
test equipment; 

New Technical Note 2 added; Original Technical Note 2 
renumbered 3. 

9B106.b.3. 

MTCR 

Sub-entry for environmental chambers amended. 

9B115 

9B116 

9D104 

MTCR 

Entry for certain production equipment amended. 

MTCR 

Entry for certain production facilities amended. 

MTCR 

Entry for certain missile related software amended. 

9E003.a.4., 5. & Tech 
Note 

WA 

Sub-entries for technology related to certain turbine 
blade components amended; New Technical Note added. 

9E101 

9E102 

ANNEX IV 

1A007 

3A229 

3A232 

MTCR 

Entry amended. 

MTCR 

Entry amended. 

Edit 

Edit 

Edit 

New entry as a consequence of the new WA 1A007 entry. 

Entry amended as a consequence of the new 1A007 entry. 

Entry amended as a consequence of the new 1A007 entry. 

Commission proposal 

In the light of the above considerations it is necessary to replace the Annexes of Regulation 
(EC) No 1334/2000. 

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2008/0175 (ACC) 

Proposal for a 

COUNCIL REGULATION 

amending and updating Regulation (EC) No 1334/2000 setting up a Community regime 
for the control of exports of dual-use items and technology  

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
133 thereof, 

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

Council  Regulation  (EC)  No  1334/20001  requires  dual-use  items  (including  software 
and  technology)  to  be  subject  to  effective  control  when  they  are  exported  from  the 
Community. 

In  order  to  enable  the  Member  States  and  the  Community  to  comply  with  their 
international commitments, Annex I to Regulation (EC) No 1334/2000 establishes the 
common  list  of  dual-use  items  and  technology  referred  to  in  Article  3  of  that 
Regulation, which implements internationally agreed dual-use controls, including the 
Wassenaar  Arrangement,  the  Missile  Technology  Control  Regime  (MTCR),  the 
Nuclear  Suppliers  Group  (NSG),  the  Australia  Group  and  the  Chemical  Weapons 
Convention (CWC). 

Article 11 of Regulation (EC) No 1334/2000 provides for Annex I and Annex IV to be 
updated  in  conformity  with  the  relevant  obligations  and  commitments,  and  any 
modifications  thereof,  that  each  Member  State  has  accepted  as  a  member  of  the 
international  non-proliferation  regimes  and  export  control  arrangements,  or  by 
ratification of relevant international treaties. 

Annex I and Annex IV to Regulation (EC) No 1334/2000 should be amended in order 
to  take  account  of  changes  adopted  by  the  Wassenaar  Arrangement,  the  Australia 
Group  and  the  MTCR  subsequent  to  the  amendments  made  to  those  Annexes  by 
Regulation (EC) No 1183/2007.  

In order to ease references for export control authorities and operators, an updated and 
consolidated  version  of  the  Annexes  to  Regulation  (EC)  No 1334/2000  should  be 
published. 

(6) 

Regulation (EC) No 1334/2000 should therefore be amended accordingly, 

1 

OJ L 159, 30.6.2000, p. 1. Regulation as last amended by Regulation (EC) No 1183/2007 (OJ L 278, 
22.10.2007, p. 1). 

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HAS ADOPTED THIS REGULATION: 

Article 1 

The Annexes to Regulation (EC) No 1334/2000 shall be replaced by the text in the Annex to 
this Regulation. 

This Regulation shall enter into force on the thirtieth day following that of its publication in 
the Official Journal of the European Union. 

Article 2 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the Council 
The President 

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