Proposal for a Council Regulation amending Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
Date: 2008-12-16
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, 16.12.2008 
COM(2008) 854 final 

2008/0249 (ACC) 

Proposal for a 

COUNCIL REGULATION 

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

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

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.  These  controls  are  designed  in  particular  to  prevent  the  proliferation  of  weapons  of 
mass  destruction.  In  particular,  they  meet  the  objectives  set  by  United  Nations  Security 
Council Resolution 1540, as adopted in April 2004. 

To ensure that such control is fully effective and complies with Member States' commitments 
at  multilateral  level,  authorisation  is  required  under  Article  3  of  Regulation  (EC)  No 
1334/2000 for export of the dual-use items listed in Annex I.  

There are four types of export authorisations referred to in Article 6 of Regulation (EC) No 
1334/2000. First, Community General Export Authorisation (CGEA) No EU001, as referred 
to  in  Article  6  of  Regulation  1334/2000,  covers  most  of  the  exports  of  controlled  items  to 
seven  countries  (United  States  of  America,  Canada,  Japan,  Australia,  New  Zealand, 
Switzerland and Norway). Second, for all other exports for which an authorisation is required 
under the Regulation, it leaves to the national authorities the final decision as to whether to 
grant a national general, global or individual export licence (Article 6(2)). 

National  general  export  authorisations  are  created  by  individual  EU  Member  States  and  are 
valid in principle across the EU. However, in spite of the requirements of Articles 15 and 20 
of  Regulation  (EC)  No  1334/2000,  there  is  a  lack  of  transparency  across  Member  States 
regarding both the scope and conditions of use of national general export authorisations and 
the  list  of  exporters  denied  access  to  national general  export  authorisations.  As  a  result,  the 
chances of infringement of the Regulation are significant. This leads to regulatory treatment 
of certain exports that benefits businesses established in one Member State at least partly at 
the  expense  of  businesses  established  in  and  national  security  interests  of  other  Member 
States, and is not in the best interests of the Community as a whole. The discrepancy between 
national authorisations is particularly difficult to manage for companies established in several 
Member  States.  Third  countries  and  the  private  sector  have  questioned  the  current  situation 
that permits such divergent practices for the same exports. 

In December 2006, the Commission thus put forward the creation of new Community Export 
Authorisations (COM(2006)828) in a bid to simplify the current legal system, enhance the EU 
industry’s competitiveness and establish a level playing field for all EU exporters when they 
export certain items to certain destinations.  

2. 

CONSULTATION  OF 
ASSESSMENT 

INTERESTED 

PARTIES  AND 

IMPACT 

Since  this  initiative  requires  “narrow”  legislative  action  in  the  field  of  dual-use  export 
controls,  which  is  unlikely  to  have  significant  impact  beyond  the  dual-use  goods  regime, 
targeted  consultation  of  Member  States’  licensing  officers  was  conducted  within  the 
framework  of  the  sub-group  on  new  CGEAs  of  the  Working  Party  on  Dual-Use  Goods 

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established  by  the  German  Presidency  in  response  to  the  Commission’s  afore-mentioned 
initiative, which met for the first time on 20 March 2007. 

This  initiative  does  not  create  new  administrative  burdens  for  companies,  as  it  would  allow 
the  export  of  specified  controlled  items  by  any  exporter  established  in  any  Member  State 
without  an  administrative  obligation  to  apply  for  an  authorisation  before  the  export  takes 
place (individual or global authorisation) provided the shipment and destinations are eligible 
and the conditions are met. The objective is to provide exporters with a more comprehensive 
instrument than national authorisations — valid throughout the European Union. 

Since  there  is  no  direct  correlation  between  Commodity  Codes  and  goods  described  in  the 
Dual-Use Control, only very limited statistics are available, and thus it proved impossible to 
measure  the  exact  impact.  However,  it  is  clear  that  the  initiative  will  have  a  positive 
operational impact on exporters, that there will be no negative impact at EU level and that this 
narrow  legislative  initiative  would  have  no  far-reaching  economic,  social  or  environmental 
impact beyond the dual-use goods regime.  

Nonetheless,  the  draft  proposal  is  quite  broad  in  scope  —  as  it  covers  most  of  what  is 
presently covered by national general export authorisations in the 7 Member States that apply 
such authorisations (namely, UK, Germany, France, Sweden, Netherlands, Italy, and Greece). 
Indeed,  EU  action  in  this  area  will  only  have  added  value  if  the  resulting  scope  of  EU 
legislation  covers  at  least  a  substantial  part  of  the  scope  of  existing  national  general  export 
authorisations. 

Based on discussions within the sub-group on new CGEAs of the Working Party on Dual-Use 
Goods, which continued its work under the Portuguese Presidency, the Commission can now 
present to the Council a proposal for new Community General Authorisations for certain non-
sensitive dual-use items to certain non-sensitive countries. The draft proposal covers six new 
CGEAs.  Compared  to  the  preferences  expressed  by  the  Working  Party  sub-group  on  new 
CGEAs,  this  proposal  has  added  a  number  of  countries  and  items  and  made  a  number  of 
changes to the conditions of use of the authorisations. 

Commission proposal 

In the light of the above, six new Annexes should be added to Regulation (EC) No 1334/2000 
and Articles 6 and 7 amended accordingly. 

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2008/0249 (ACC) 

Proposal for a 

COUNCIL REGULATION 

amending 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  1334/2000  of  22  June  2000  setting  up  a  Community 
regime for the control of exports of dual-use items and technology1 requires dual-use 
items (including software and technology) to be subject to effective control when they 
are exported from the Community. 

It is desirable to achieve uniform and consistent application of controls throughout the 
Community  in  order  to  avoid  unfair  competition  among  Community  exporters  and 
ensure efficiency of the security controls in the Community.  

In its Communication of 18 December 20062, the Commission put forward the idea of 
the creation of new Community General Export Authorisations in a bid to simplify the 
current  legal  system,  enhance  the  industry’s  competitiveness  and  establish  a  level 
playing  field  for  all  Community  exporters  when  they  export  certain  items  to  certain 
destinations. 

In  order  to  create  new  Community  General  Export  Authorisations  for  certain  non-
sensitive  dual-use  items  to  certain  non-sensitive  countries,  the  relevant  provisions  of 
Regulation (EC) No 1334/2000 need to be amended by the addition of new Annexes. 

The  competent  authorities  of  the  Member  State  where  the  exporter  is  established 
should  be  provided  with  the  possibility  of  not  permitting  the  use  of  the  Community 
General Export Authorisations foreseen in this Regulation where the exporter has been 
sanctioned  of  an  export-related  offence  punishable  by  the  withdrawal  of  the  right  to 
use these authorisations.  

1 
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OJ L 159, 30.6.2000, p. 1.  
COM (2006) 828 final. 

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(6) 

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

HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 1334/2000 is amended as follows: 

(1) 

Article 6 is amended as follows: 

(a) 

Paragraph 1 shall be replaced by the following: 

“1.  Community  general  export  authorisations  for  certain  exports  as  set  out  in 
Annexes IIa to g are established by this Regulation. 

The competent authorities of the Member State where the exporter is established can 
refuse the use of these authorisations in cases of an exporter who has been sanctioned 
of  an  export-related  offence  punishable  by  the  withdrawal  of  the  right  to  use  these 
authorisations.  

Member  States  will  notify  the  Commission  and  the  competent  authorities  of  the 
Member States the  names  of  the national exporters who are banned from using the 
authorisation and the period during which this ban applies according to the sanction 
attributed by the national system.”  

(b) 

Paragraph 3 is replaced by the following: 

“3. 

Items listed in Annex IIh shall not be included in a general authorisation.” 

(2) 

In Article 7(1), the first sentence is replaced by the following: 

“1.  Where dual-use items for which an application has been made for an individual 
export  authorisation  to  a  destination  not  listed  in  Annex  IIa  or  to  any  destination 
where  dual-use  items  listed  in  Annex  IV  are  or  will  be  located  in  one  or  more 
Member  States  other  than  the  one  where  the  application  has  been  made,  that  fact 
shall be indicated in the application.” 

(3) 

The Annexes are amended as follows: 

(a) 

Annex II is renumbered as Annex IIa and is amended as follows: 

(i) 

Part 1, paragraph 2, is replaced by the following: 

“All dual-use items specified in any entry in Annex I to this Regulation except those 
listed in Annex IIh.”  

(ii)  Part 2 is deleted. 

(iii)  Part 3 is renumbered as Part 2. 

(b) 

Annexes IIb to h, as set out in Annex to this Regulation, are inserted. 

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Article 2 

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

Done at Brussels,  

For the Council 
The President 

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ANNEX  

“ANNEX IIb 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU002  

Low Value Shipments 

Issuing authority: European Community 

Part 1  

1-1) This general export authorisation in accordance with Article 6(1) is valid throughout the 
Community subject to the following provisions of this authorisation: 

Any item specified in any entry in Annex I to this Regulation, except those listed in Part.1.2 
below,  may  be  exported  from  the  European  Community  by  any  exporter  established  in  any 
Member State to any destination in any country specified in Part 2 below.  

1-2) Excluded items: 

– 

– 

All items specified in Annex IIh to this Regulation, 

All items in categories D and E and items specified in  

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

1A002a 

1A004 

1C012a  

1C227 

1C228 

1C229 

1C230 

1C231 

1C236  

1C237  

1C240  

1C350  

1C450 

5A001b5  

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– 

– 

– 

– 

– 

– 

– 

– 

– 

5A002 

5B002  

6A001a2a1  

6A001a2a5  

6A002a1c  

6A008l3  

8A001b  

8A001d  

9A011  

Part 2 — Countries of destination 

This export authorisation is valid for exports to the following destinations: 

Argentina 

Brazil 

Iceland 

South Africa 

South Korea 

Turkey 

Part 3 — Conditions and requirements for use of this authorisation 

1. 

Only  exporters  with  Authorised  Economic  Operator  status  for  security  and  safety 
purposes granted by a Member State on the basis of Article 5a of Council Regulation 
(EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code3 
(CC), and Articles 14a-14q of Commission Regulation (EEC) No 2454/93 of 2 July 
19934 laying down its Implementing Provisions may export items under the authority 
of this authorisation.  

2. 

This authorisation does not authorise the export of items:  

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that the items in question are or may 
be intended, in their entirety or in part,  

(a) 

for  use  in  connection  with  the  development,  production,  handling, 
identification  or 
operation,  maintenance, 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 

storage,  detection, 

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OJ L 302, 19.10.1992, p. 1. 
OJ L 253, 11.10.1993, p. 1. 

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the  development,  production, 
nuclear  explosive  devices,  or 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

for  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for  use  as  parts  or  components  of  military  items  listed  in  national 
military lists that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

(b) 

(c) 

(2) 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in subparagraph (1); or 

(3) 

to a destination within a customs-free zone or to a free warehouse; 

3. 

unless the items exported constitute a low-value shipment. 

(4) 
Box  44 in the Single Administrative Document (SAD) shall include a note stating 
that  "These  items  are  being  exported  under  the  Community  General  Export 
Authorisation No EU002 (Low Value Shipments)".  

4. 

Any exporter who uses this authorisation must: 

(1) 

(2) 

inform the competent authorities of the Member State where he is established 
(as  defined  in  Article  6(6))  of  first  use  of  the  authorisation  no  later  than  30 
days after the date of first export; 

inform  the  foreign  purchaser,  before  exportation,  that  the  items  he  plans  to 
export  pursuant  to  this  authorisation  cannot  be  re-exported  to  an  ultimate 
destination  in  a  country  which  is  not  a  Member  State  of  the  European 
Community or a French overseas collectivity and is not mentioned in Part 2 
of this authorisation. 

For  the  purposes  of  this  authorisation,  “a  low-value  shipment”  means  items  which 
are comprised in a single export order and are dispatched by an exporter to a named 
consignee  in  one  or  more  consignments  the  aggregate  value  of  which  does  not 
exceed €5 000. For this purpose, “value” means the price billed to the consignee; if 
there is no consignee or determinable price, it is the statistical value.  

Orders may not be split to meet the value limit. 

Restriction  on  annual  value  of  orders.  The  total  value  of  exports  per  calendar  year 
from  the  same  exporter  to  the  same  ultimate  or  intermediate  consignee  of 
commodities classified under a single entry in Annex I may not exceed 12 times the 
value limit set in this Community general export authorisation. However, there is no 
restriction on the number of shipments provided that the value is not exceeded. 

5. 

6. 

7. 

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ANNEX IIc 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU003 

Export after Repair / Replacement 

Issuing authority: European Community 

Part 1 — Items 

1-1)  This  is  general  export  authorisation  in  accordance  with  Article  6(1)  and  covers  the 
following items: 

All dual-use items specified in any entry in Annex I except those listed in paragraph 
1-2 below: 

a.  where the items were imported into the European Community territory for the 
purpose  of  maintenance  or  repair,  and  are  exported  to  the  country  of 
consignment without any changes to their original characteristics, or 

b.  where  the  items  are  exported  to  the  country  of  consignment  in  exchange  for 
items  of  the  same  quality  and  number  which  were  re-imported  into  the 
European Community territory for repair or replacement under warranty. 

1-2) Items excluded  

a.  All items specified in Annex IIh , 

b.  All items in categories D and E and items specified in: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

1A002a 

1C012a  

1C227 

1C228  

1C229  

1C230  

1C231  

1C236  

1C237  

1C240  

1C350  

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– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

1C450 

5A001b5 

5B002.  Equipment  specially  designed  for  the  “development”  and/or 
“production”  of  equipment  or  functions  specified  in  5A002.a.2  to  9, 
including measuring, test, repair or production equipment 

6A001a2a1  

6A001a2a5  

6A002a1c  

6A008l3  

8A001b  

8A001d 

9A011 

Part 2 — Countries of destination 

The  export  authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

Algeria,  Andorra,  Antigua  and  Barbuda,  Argentina,  Aruba,  Bahamas,  Bahrain,  Bangladesh, 
Barbados,  Belize,  Benin,  Bhutan,  Bolivia,  Botswana,  Brazil,  British  Virgin  Islands,  Brunei, 
Cameroon,  Cape  Verde,  Chile,  China,  Comoros  Islands,  Costa  Rica,  Djibouti,  Dominica, 
Dominican  Republic,  Ecuador,  Egypt,  El  Salvador,  Equatorial  Guinea,  Falkland  Islands,  Faroe 
islands,  Fiji,  French  Guyana,  French  OT,  Gabon,  Gambia,  Gibraltar,  Greenland,  Grenada, 
Guadeloupe, Guam, Guatemala, Ghana, Guinea Bissau, Guyana, Honduras, Hong Kong Special 
Administrative Region, Iceland, India, Indonesia, Israel, Jordan, Kuwait, Lesotho, Liechtenstein, 
Macau,  Madagascar,  Malawi,  Malaysia,  Maldives,  Mali,  Martinique,  Mauritius,  Mexico, 
Monaco,  Montserrat,  Morocco,  Namibia,  Netherlands  Antilles,  New  Caledonia,  Nicaragua, 
Niger,  Nigeria,  Oman,  Panama,  Papua  New  Guinea,  Peru,  Philippines,  Puerto  Rico,  Qatar, 
Russia, Samoa, San Marino, Sao Tome e Principe, Saudi Arabia, Senegal, Seychelles, Singapore, 
Solomon  Islands,  South  Africa,  South  Korea,  Sri  Lanka,  St.  Helena,  St.  Kitts  and  Nevis,  St. 
Vincent,  Surinam,  Swaziland,  Taiwan,  Thailand,  Togo,  Trinidad  and  Tobago,  Tunisia,  Turkey, 
Turks  and  Caicos  Islands,  United  Arab  Emirates,  Uruguay,  US  Virgin  Islands,  Vanuatu, 
Venezuela. 

Part 3 — Conditions and requirements for use of this authorisation 

1. 

This general authorisation can only be used when the initial export has taken place 
under a Community General  Export Authorisation or an initial export authorisation 
has  been  granted  by  the  competent  authorities  of  the  Member  State  where  the 
original exporter was established for the export of the items which have subsequently 
been re-imported into the Community Custom territory for the purposes of repair or 
replacement under warranty, as defined below.  

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2. 

This authorisation does not authorise the export of items:  

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that the items in question are or may 
be intended, in their entirety or in part,  

(a) 

(b) 

(c) 

for  use  in  connection  with  the  development,  production,  handling, 
operation,  maintenance, 
identification  or 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 
nuclear  explosive  devices  or 
the  development,  production, 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

storage,  detection, 

for  a  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for use as parts or components of military items listed in the national 
military list that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

(2) 

(3) 

(4) 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in sub-paragraph (1); 

where  the  relevant  items  are  exported  to  a  customs-free  zone  or  a  free 
warehouse which is located in a destination covered by this authorisation; 

for an essentially identical transaction where the initial authorisation has been 
revoked.  

3. 

On exportation of any of the goods pursuant to this authorisation, exporters must:  

(1)  mention the reference number of the initial export authorisation in the export 
declaration to the customs together with the name of the Member State that 
granted  the  authorisation.  This  should  be  mentioned  together  with  the  EU 
reference  number  of  the  CGEA  in  box  44  of  the  single  administrative 
document;  

(2) 

provide customs officers, if so requested, with documentary evidence of the 
date of importation of the goods into the European Community, of any repairs 
to the goods carried out in the European Community and of the fact that the 
items are being returned to the person and the country from which they were 
imported into the European Community.  

4. 

Any exporter who uses this authorisation must notify the competent authorities of the 
Member State where he is established (as defined in Article 6(6)) of first use of the 
authorisation no later than 30 days after the date when the first export takes place. 

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Definitions 

5. 

6. 

For  the  purpose  of  this  authorisation,  “repair”  means  making  good  any  remediable 
defects,  and  maintenance  or  restoration  work.  This  may  involve  coincidental 
improvement  on  the  original  goods,  i.e.  resulting  from  the  use  of  modern 
replacement components or from use of a later build standard for reliability or safety 
reasons,  provided  that  this  does  not  result  in  any  enhancement  to  the  functional 
capability of the items or provide the items with new or additional functions. It may 
also involve improvements of a purely cosmetic nature, e.g. paint work.  

For the purpose of this authorisation, “replacement under warranty” does not include 
any enhancement to the functional capability of the original goods or providing new 
or additional functions.  

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ANNEX IId 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU004 

Temporary Export for Exhibition or Fair 

Issuing authority: European Community 

Part 1  

1. 

2. 

This is general export authorisation in accordance with Article 6(1). 

Subject to the following provisions of this authorisation, any items specified in any 
entry  in  Annex  I  except  those  listed  in  paragraph  3  below  may  be  exported 
temporarily  out  of  the  Community  territory  for  exhibitions  or  fairs  (no  longer  than 
three months) and are to be re-imported unchanged into Community territory. 

3. 

Items excluded 

a.  All items specified in Annex IIh, 

b.  All items in categories D and E and items specified in: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

1A002a 

1B001 

1C002.b.4 

1C010 

1C012.a  

1C227 

1C228  

1C229  

1C230  

1C231  

1C236  

1C237  

1C240  

1C350  

1C450  

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Category 3 — Electronics 

– 

3A001.a.2, a.5 

Category 5 — Telecommunications and information security 

– 

– 

– 

5A001b5 

5A002. Except commercial, civil cellular radio base stations not capable 
of  encryption  of  telecommunications,  except  via  the  air  interface  or  for 
base  station  operations,  administration,  maintenance  or  provisioning 
functions.  

5B002.  Equipment  specially  designed  for  the  “development”  and/or 
“production”  of  equipment  or  functions  specified  in  5A002.a.2  to  9, 
including measuring, test, repair or production equipment.  

Category 6 — Sensors and lasers 

– 

– 

– 

– 

– 

– 

6A001  

6A002a  

6A008l3  

8A001b  

8A001d 

9A011 

Part 2 — Countries of destination 

This  export  authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

Argentina 

Bahrain  

Bolivia 

Brazil 

Brunei 

Chile 

China 

Ecuador 

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Egypt 

Hong Kong Special Administrative Region 

Iceland  

Jordan 

Kuwait 

Malaysia 

Mauritius 

Mexico 

Morocco 

Oman 

Philippines  

Qatar 

Russia  

Saudi Arabia 

Singapore 

South Africa 

South Korea 

Tunisia 

Turkey 

Ukraine  

Part 3 — Conditions and requirements for use of this authorisation 

1. 

This general authorisation does not authorise the export of items:  

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that they are or may be intended, in 
their entirety or in part,  

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(a) 

(b) 

(c) 

for  use  in  connection  with  the  development,  production,  handling, 
operation,  maintenance, 
identification  or 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 
nuclear  explosive  devices,  or 
the  development,  production, 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

storage,  detection, 

for  a  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for use as parts or components of military items listed in the national 
military list that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2); 

where  the  relevant  items  are  exported  to  a  customs-free  zone  or  a  free 
warehouse which is located in a destination covered by this authorisation; 

where  the  exporter  has  been  informed  by  a  competent  authority,  or  is 
otherwise aware (e.g. from information received from the manufacturer), that 
the  items  in  question  have  been  classified  by  the  competent  authority  as 
having  a  protective  marking  of  CONFIDENTIEL UE  or  above  or  an 
equivalent national security classification marking, as appropriate. 

(2) 

(3) 

(4) 

2. 

3. 

4. 

Box  44 in the Single Administrative Document (SAD) shall include a note stating 
that  "These  items  are  being  exported  under  the  Community  General  Export 
Authorisation No EU004 (Temporary Export for Exhibition or Fair)". 

Any  exporter  who  uses  this  general  authorisation  must  notify  the  competent 
authorities of the Member State where he is established (as defined in Article 6(6)) of 
the first use of this authorisation no later than 30 days after the date when the first 
export takes place. 

Interpretation  

For  the  purpose  of  this  authorisation,  “exhibition”  means  any  trade  or  industrial 
exhibition, fair or similar public show or display which is not organised for private 
purposes in shops or business premises with a view to the sale of foreign products, 
during which the products remain under customs control. 

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ANNEX IIe 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU005 

Computers and related equipment 

Issuing authority: European Community 

Part 1 

This export authorisation is in accordance with Article 6(1) and covers the following items in 
Annex I: 

1. 

2. 

3. 

Digital  computers  specified  in  4A003a  or  4A003b,  where  the  computers  do  not 
exceed  an  “Adjusted  Peak  Performance”  (“APP”)  greater  than  0.8  Weighted 
TeraFLOPS (WT). 

Electronic  assemblies  specified  in  4A003c,  specially  designed  or  modified  to 
enhance  performance  by  aggregation  of  processors  so  that  an  “Adjusted  Peak 
Performance”  (“APP”)  of  the  aggregation  greater  than  0.8  Weighted  TeraFLOPS 
(WT) is not exceeded. 

Spare  parts,  including  microprocessors  for  the  above-mentioned  equipment,  where 
they  are  exclusively  specified  in  4A003a,  4A003b  or  4A003c  and  do  not  enhance 
performance  of  the  equipment  beyond  an  “Adjusted  Peak  Performance”  (“APP”) 
greater than 0.8 Weighted TeraFLOPS (WT). 

4. 

Items described in entries 3A001.a.5, 4A003.e, 4A003.g.  

Part 2 — Countries of destination 

The  export  authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

Algeria,  Andorra,  Antigua  and  Barbuda,  Argentina,  Aruba,  Bahamas,  Bahrain, 
Barbados, Belize, Benin,  Bhutan,  Bolivia, Botswana,  Brazil,  British  Virgin  Islands, 
Brunei,  Cameroon,  Cape  Verde,  Chile,  Comoros  Islands,  Costa  Rica,  Croatia, 
Djibouti,  Dominica,  Dominican  Republic,  Ecuador,  Egypt,  El  Salvador,  Equatorial 
Guinea,  Falkland  Islands,  Faroe  islands,  Fiji,  French  Guyana,  French  OT,  Gabon, 
Gambia,  Gibraltar,  Greenland,  Grenada,  Guadeloupe,  Guam,  Guatemala,  Ghana, 
Guinea Bissau, Guyana, Honduras, Hong Kong SAR, Iceland, India, Jordan, Kuwait, 
Lesotho, Liechtenstein, Madagascar, Malawi, Malaysia, Maldives, Mali, Martinique, 
Mauritius,  Mexico,  Moldova,  Monaco,  Mongolia,  Montserrat,  Morocco,  Namibia, 
Netherlands Antilles, New Caledonia, Nicaragua, Niger, Oman, Panama, Papua New 
Guinea,  Peru,  Philippines,  Puerto  Rico,  Qatar,  Russia,  Samoa,  San  Marino,  Sao 
Tome  e  Principe,  Saudi  Arabia,  Senegal,  Seychelles,  Singapore,  Solomon  Islands, 
South  Africa,  South  Korea,  St.  Helena,  St.  Kitts  and  Nevis,  St.  Vincent,  Surinam, 
Swaziland, Togo, Trinidad and Tobago, Tunisia, Turkey, Turks and Caicos Islands, 
UAE, Ukraine, Uruguay, US Virgin Islands, Vanuatu. 

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Part 3 — Conditions and requirements for use of this authorisation 

1. 

This authorisation does not authorise the export of items:  

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that they are or may be intended, in 
their entirety or in part,  

(a) 

(b) 

(c) 

for  use  in  connection  with  the  development,  production,  handling, 
operation,  maintenance, 
identification  or 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 
the  development,  production, 
nuclear  explosive  devices  or 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

storage,  detection, 

for  a  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for use as parts or components of military items listed in the national 
military list that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

(2) 

(3) 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2); 

where  the  relevant  items  are  exported  to  a  customs-free  zone  or  a  free 
warehouse which is located in a destination covered by this authorisation. 

2. 

Any exporter who uses this authorisation must:  

(1) 

(2) 

inform the competent authorities of the Member State where he is established 
(as  defined  in  Article  6(6))  of  first  use  of  the  authorisation  no  later  than  30 
days after the date of first export; 

inform  the  foreign  purchaser,  before  exportation,  that  the  items  he  plans  to 
export  pursuant  to  this  authorisation  cannot  be  re-exported  to  an  ultimate 
destination  in  a  country  which  is  not  a  Member  State  of  the  European 
Community or a French overseas collectivity and is not mentioned in Part 2 
of this authorisation.  

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ANNEX IIf 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU006 

Telecommunications and Information Security 

Issuing authority: European Community 

Part 1 Items  

This export authorisation is in accordance with Article 6(1) and covers the following items in 
Annex I: 

1. 

The following items of Category 5 Part l: 

(a) 

(b) 

Items,  including  specially  designed  or  developed  components  and 
accessories therefor specified in 5A001b No 2 and 5A001c and d. 

Items  specified  in  5B001  and  5D001,  where  test,  inspection  and 
production equipment is concerned and software for items mentioned 
under a). 

2. 

3. 

Technology  controlled  by  5E001a,  where  required  for  the  installation,  operation, 
maintenance  or  repair  of  items  specified  under  1  and  intended  for  the  same  final 
consignee. 

Items,  including  specially  designed  or  developed  components  and  accessories 
therefor specified in Category 5 Part 2 A to D (Information Security), as follows:  

(a) 

items  specified  in  the  following  entries  unless  their  cryptographic 
functions  have  been  designed  or  modified  for  government  end-users 
within the European Community: 

– 

– 

5A002a1; 

software  in  entry  5D002c1  having  the  characteristics,  or 
performing or simulating the functions, of equipment in entry 
5A002a1; 

(b) 

(c) 

equipment specified in 5B002 for items referred to under a) ; 

software  as  part  of  equipment  whose  features  or  functions  are 
specified under b). 

4. 

Technology for the use of goods specified in 3a) to 3c). 

Part 2 — Countries of destination 

This  export  authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

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Argentina 

Croatia  

Russia 

South Africa 

South Korea 

Turkey 

Ukraine 

Part 3 — Conditions and requirements for use of this authorisation 

1. 

This authorisation does not authorise the export of items: 

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that they are or may be intended, in 
their entirety or in part,  

(a) 

(b) 

(c) 

for  use  in  connection  with  the  development,  production,  handling, 
identification  or 
operation,  maintenance, 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 
nuclear  explosive  devices,  or 
the  development,  production, 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

storage,  detection, 

for  a  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for use as parts or components of military items listed in the national 
military list that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

(2) 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2). 

2. 

This  authorisation  may  not  be  used  where  the  relevant  items  are  exported  to  a 
customs-free zone or a free warehouse which is located in a destination covered by 
this authorisation. 

3. 

Any exporter who uses this authorisation must:  

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(1) 

(2) 

inform the competent authorities of the Member State where he is established 
(as  defined  in  Article  6(6))  of  first  use  of  the  authorisation  no  later  than  30 
days after the date of first export; 

inform  the  foreign  purchaser,  before  exportation,  that  the  items  he  plans  to 
export  pursuant  to  this  authorisation  cannot  be  re-exported  to  an  ultimate 
destination  in  a  country  which  is  not  a  Member  State  of  the  European 
Community or a French overseas collectivity and is not mentioned in Part 2 
of this authorisation.  

Definition  

4. 

A  government  end-user  is  any  central,  regional  or  local  government  department, 
agency  or  other  entity  performing  governmental  functions  within  the  European 
Community.

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ANNEX IIg 

COMMUNITY GENERAL EXPORT AUTHORISATION No EU007 

Chemicals 

Part 1 — Items 

This  export  authorisation  is  in  accordance  with  Article  6(1)  and  covers  items  included  in 
entries 1C350 (excluding headings 4, 23 and 29) and 1C450 (excluding heading a.3) of Annex 
I.  

Part 2 — Countries of destination 

The  Authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

Argentina;  Bangladesh,  Belize,  Benin,  Bolivia,  Brazil;  Cameroun,  Chile;  Cook 
Island,  Costa  Rica;  Dominica,  Ecuador,  El  Salvador,  Fiji,  Georgia,  Guatemala, 
Guyana,  India,  Lesotho,  Maldives,  Mauritius,  Mexico,  Namibia,  Nicaragua,  Oman, 
Panama,  Paraguay,  Russia,  St  Lucia,  Seychelles,  Peru,  Sri  Lanka,  South  Africa; 
Swaziland, Turkey; Uruguay, Ukraine; Republic of Korea. 

1. 

This Authorisation does not authorise the export of items: 

Part 3 — Conditions of use 

(1) 

where  the  exporter  has  been  informed  by  the  competent  authorities  of  the 
Member State in which he is established that they are or may be intended, in 
their entirety or in part,  

(a) 

(b) 

(c) 

for  use  in  connection  with  the  development,  production,  handling, 
identification  or 
operation,  maintenance, 
dissemination  of  chemical,  biological  or  nuclear  weapons  or  other 
nuclear  explosive  devices,  or 
the  development,  production, 
maintenance  or  storage  of  missiles  capable  of  delivering  such 
weapons, 

storage,  detection, 

for  a  military  end-use  where  the  purchasing  country  or  country  of 
destination  is  subject  to  an  arms  embargo  imposed  by  a  Common 
Position  or  Joint  Action  adopted  by  the  Council  of  the  European 
Union or a decision of the OSCE or imposed by a binding resolution 
of the Security Council of the United Nations, or 

for use as parts or components of military items listed in the national 
military list that have been exported from the territory of the Member 
State concerned without authorisation or in breach of an authorisation 
prescribed by the national legislation of that Member State; 

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2. 

3. 

(2) 

where  the  exporter  is  aware  that  the  items  in  question  are  intended,  in  their 
entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2). 

This  authorisation  may  not  be  used  when  the  relevant  items  are  exported  to  a 
customs-free zone or a free warehouse which is located in a destination covered by 
this authorisation. 

No shipment shall contain more than 20kg of any of the following entries in Annex I 
to this Regulation: 

1C350 headings 3, 5-8, 11-13, 17-19, 21-22, 26-28, 30-36, 38, 46, 51-52 and 54.  

4. 

Any exporter who uses this authorisation must:  

(1) 

(2) 

inform the competent authorities of the Member State where he is established 
(as  defined  in  Article  6(6))  of  first  use  of  the  authorisation  no  later  than  30 
days after the date of first export; 

inform  the  foreign  purchaser,  before  exportation,  that  the  items  he  plans  to 
export  pursuant  to  this  authorisation  cannot  be  re-exported  to  an  ultimate 
destination  in  a  country  which  is  not  a  Member  State  of  the  European 
Community or a French overseas collectivity and is not mentioned in Part 2 
of this authorisation.  

5. 

6. 

Any  exporter  who  intends  to  use  this  authorisation  has  to  register  prior  to  the  first 
shipment  and  designate  the  person  or  service  in  the  company  responsible  for 
compliance with the scope and conditions of use of this authorisation. 

Any exporter who has shipped more than 100kg of the items mentioned in Part 3.3 to 
the  same  end-user  must  report  the  situation  to  their  national  competent  authorities 
that shall take decisions regarding the use of this authorisation for future shipments 
to that end-user. 

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(List referred to in Article 6(3) of and Annexes IIa to IId) 

ANNEX IIh 

The entries do not always provide a complete description of the items and the related 
notes in Annex I. Only Annex I provides a complete description of the items. 

The mention of an item in this Annex does not affect the application of the General 
Software Note (GSN) in Annex I. 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

All items specified in Annex IV. 

0C001  ″Natural  uranium″  or  ″depleted  uranium″  or  thorium  in  the  form  of  metal, 
alloy,  chemical  compound  or  concentrate  and  any  other  material  containing  one  or 
more of the foregoing. 

0C002 ″Special fissile materials″ other than those specified in Annex IV. 

0D001  ″Software″  specially  designed  or  modified  for 
the  ″development″, 
″production″ or ″use″ of goods specified in Category 0, insofar as it relates to 0C001 
or to those items of 0C002 that are excluded from Annex IV. 

0E001  ″Technology″  in  accordance  with  the  Nuclear  Technology  Note  for  the 
″development″, ″production″ or ″use″ of goods specified in Category 0, insofar as it 
relates to 0C001 or to those items of 0C002 that are excluded from Annex IV. 

1A102  Resaturated  pyrolised  carbon-carbon  components  designed  for  space  launch 
vehicles specified in 9A004 or sounding rockets specified in 9A104. 

1C351 Human pathogens, zoonoses and ″toxins″. 

1C352 Animal pathogens. 

1C353 Genetic elements and genetically modified organisms. 

1C354 Plant pathogens. 

7E104  ″Technology″  for  the  integration  of  flight  control,  guidance  and  propulsion 
data into a flight management system for optimisation of rocket system trajectory. 

9A009.a.  Hybrid  rocket  propulsion  systems  with  total  impulse  capacity  exceeding 
1.1 MNs. 

9A117  Staging  mechanisms,  separation  mechanisms  and  interstages  usable  in 
“missiles”. 

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