Joint Proposal for a COUNCIL REGULATION amending Regulation (EU) No 36/2012 concerning restrictive measures in view of the situation in Syria
Date: 2012-06-01
Institutions: European Commission, High Representative of the Union
Subjects: Syria, arms control, economic sanctions, international sanctions, luxury products industry, technology transfer, trade restriction

EUROPEAN 
COMMISSION 

HIGH REPRESENTATIVE OF THE_ 
EUROPEAN UNION FOR _FOREIGN AFFAIRS
AND _SECURITY POLICY

Brussels, 1.6.2012  
JOIN(2012) 16 final 

2012/0147 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

amending Regulation (EU) No 36/2012 concerning restrictive measures in view of the 
situation in Syria 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

(4) 

On  18  January  2012  the  Council  adopted  Regulation  (EU)  No  36/2012  concerning 
restrictive  measures  in  view  of  the  situation  in  Syria.  This  regulation  repealed  and 
replaced Regulation (EU) No 442/2011.  

On 28 February 2012 the Council amended Regulation (EU) No 36/2012 to extend the 
measures against Syria, including a prohibition on the sale, purchase, transportation or 
brokering  of  gold,  precious  metals  and  diamonds,  restrictive  measures  against  the 
Central  Bank  of  Syria,  and  additions  to  the  list  of  targeted  persons  and  entities.  In 
addition, the Council extended the list of targeted persons and entities several times: 
on 23 January, 23 March and 14 May 2012. 

Council  Decision  2012/206/CFSP  of  23  April  2012  provided  for  the  adoption  of 
additional  measures,  namely  a  prohibition  or  prior  authorisation  requirement  on  the 
sale,  supply,  transfer  or  export  of  goods  and  technology  which  might  be  used  for 
internal repression, and a ban on exports of luxury goods to Syria.  

The  High  Representative  for  Foreign  Affairs  and  Security  Policy  and  the  European 
Commission  propose  to  amend  Regulation  (EU)  No  36/2012  to  give  effect  to  these 
measures.

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2012/0147 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

amending Regulation (EU) No 36/2012 concerning restrictive measures in view of the 
situation in Syria 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 215 thereof,  

Having 
2011/782/CFSP concerning restrictive measures against Syria1,  

to  Council  Decision  2012/206/CFSP  amending  Council  Decision 

regard 

Having  regard  to  the  joint  proposal  from  the  High  Representative  of  the  Union  for  Foreign 
Affairs and Security Policy and the European Commission, 

Whereas: 

(1) 

(2) 

(3) 

On  18  January  2012  the  Council  adopted  Regulation  (EU)  No  36/2012  concerning 
restrictive measures in view of the situation in Syria2 with a view to giving effect to 
most of the measures provided for in Council Decision 2011/782/CFSP.  

In  view  of  the  continued  brutal  repression  and  violation  of  human  rights  by  the 
Government  of  Syria,  Council  Decision  2012/206/CFSP,  amending  Decision 
2011/782/CFSP,  provides  for  additional  measures,  namely  a  prohibition  or  prior 
authorisation  requirement  on  the  sale,  supply,  transfer  or  export  of  goods  and 
technology which might be used for internal repression, and a ban on exports of luxury 
goods to Syria.  

Those  measures  fall  within  the  scope  of  the  Treaty  on  the  Functioning  of  the 
European Union and regulatory action at the level of the Union is therefore necessary 
in  order  to  implement  them,  in  particular  with  a  view  to  ensuring  their  uniform 
application by economic operators in all Member States. 

(4) 

Regulation (EU) No 36/2012 should be amended to give effect to the new measures,  

1 
2 

OJ L 110, 24.4.2012, p. 36–37 
OJ L 16, 19.1.2012, p. 1–32. 

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HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EU) No 36/2012 is amended as follows: 

(1) 

Article 2 is replaced by the following: 

1. 

It shall be prohibited:  

"Article 2 

(a) 

to  sell,  supply,  transfer  or  export,  directly  or  indirectly,  equipment,  goods  or 
technology which might be used for internal repression or for the manufacture 
and  maintenance  of  products  which  might  be  used  for  internal  repression  as 
listed in Annex I, whether or not originating in the Union, to any person, entity 
or body in Syria or for use in Syria;  

(b) 

to participate, knowingly and intentionally, in activities the object or effect of 
which is to circumvent the prohibitions referred to in point (a); 

Paragraph 1 shall not apply to protective clothing, including flak jackets and helmets, 
temporarily  exported  to  Syria  by  United  Nations  (UN)  personnel,  personnel  of  the 
Union  or  its  Member  States,  representatives  of  the  media  or  humanitarian  and 
development workers and associated persons exclusively for their personal use. 

By  way  of  derogation  from  paragraph  1,  the  competent  authorities  in  the  Member 
States as identified on the websites listed in Annex III may authorise the sale, supply, 
transfer  or  export  of  equipment,  goods  or  technology  which  might  be  used  for 
internal repression, as listed in Annex I, Part A, B, C under such conditions as they 
deem  appropriate,  if  they  determine  that  such  equipment  is  intended  solely  for 
humanitarian or protective use.” 

2. 

3. 

(2) 

The following Article 2a is inserted: 

"Article 2a 

1. 

2. 

A prior authorisation shall be required for the sale, supply, transfer or export, directly 
or indirectly, of equipment, goods or technology listed in Annex IX, whether or not 
originating in the Union, to any person, entity or body in Syria or for use in Syria;  

The competent authorities in the Member States as identified on the websites listed in 
Annex III shall not grant any authorisation for any sale, supply, transfer or export of 
the  equipment, goods or technology  included in  Annex  IX,  if  they  have  reasonable 
grounds to determine that the sale, supply, transfer or export of the equipment, goods 
and technology is or may be intended for internal repression or for the manufacture 
and maintenance of products which might be used for internal repression.” 

(3) 

The following Article 3a is inserted: 

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“Article 3a 

1. 

1. 
The  provision  of  the  following  shall  be  subject  to  an  authorisation  from  the 
competent  authority  of  the  relevant  Member  State,  as  identified  in  the  websites 
referred to in Annex III: 

(a) 

(b) 

technical  assistance  or  brokering  services  related  to  equipment,  goods  or 
technology which might be used for internal repression or for the manufacture 
and  maintenance  of  products  which  might  be  used  for  internal  repression  as 
listed in Annex IX and to the provision, manufacture, maintenance and use of 
those items, directly or indirectly to any person, entity or body in Syria or for 
use in Syria; 

financing or financial assistance related to goods and technology referred to in 
Annex IX, including in particular grants, loans and export credit insurance, for 
any  sale,  supply,  transfer  or  export  of  such  items,  or  for  any  provision  of 
related technical assistance to any person, entity or body in Syria or for use in 
Syria. 

2. 

The  competent  authorities  shall  not  grant  any  authorisation  for  the  transactions 
referred  to  in  paragraph  1,  if  they  have  reasonable  grounds  to  determine  that  the 
action  is  or  may  be  intended  to  contribute  to  internal  repression  or  for  the 
manufacture  and  maintenance  of  products  which  might  be  used  for  internal 
repression.” 

(4) 

The following Article 3b is inserted:  

"Article 3b 

1. 

2. 

By way of derogation from Article 2, the competent authorities in the Member States 
as identified in the websites referred to in Annex III may grant, under such terms and 
conditions as they deem appropriate, an authorisation for a transaction or assistance 
or  brokering  services  in  relation  to  equipment,  goods  or  technology  referred  to  in 
Part  C  of  Annex  I  of  this  Regulation,  provided  that  the  equipment,  goods  or 
technology are for food, agricultural, medical or other humanitarian purposes. 

The  Member  State  concerned  shall  inform  the  other  Member  States  and  the 
Commission  of  any  authorisation  granted  under  this  Article,  within  four  weeks 
following the authorisation.” 

(5) 

The following Article 11b is inserted: 

It shall be prohibited: 

“Article 11b 

(a) 

(b) 

to  sell,  supply,  transfer  or  export,  directly  or  indirectly,  luxury  goods,  as  listed  in 
Annex X, to any person, entity or body in Syria or for use in Syria. 

to  participate,  knowingly  and  intentionally,  in  activities  whose  object  or  effect  is, 
directly or indirectly, to circumvent the prohibition referred to in point (a).” 

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Annex I to Regulation (EU) No 36/2012 is replaced by the text set out in Annex I to this 
Regulation. 

Article 2 

The  text  set  out  in  Annex  II  to  this  Regulation  is  added  to  Regulation  (EU)  No  36/2012  as 
Annex IX. 

Article 3 

The text set out in Annex III to this Regulation is added to Regulation (EU) No 36/2012 as 
Annex X. 

Article 4 

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

Article 5 

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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ANNEX I 

“ANNEX I 

Equipment, goods and technology which might be used for internal repression or for the 
manufacture and maintenance of products which might be used for internal repression  
as referred to in Article 2  

I.A.1.  Fire-arms, ammunition and related accessories therefor, as follows: 

PART A 

1.1  Firearms not controlled by ML 1 and ML 2 of the Common Military List; 

1.2  Ammunition specially designed for the firearms listed in item 1.1 and specially 

designed components therefor; 

1.3  Weapon-sights not controlled by the Common Military List. 

I.A.2.  Bombs and grenades not controlled by the Common Military List. 

I.A.3.  Vehicles as follows: 

3.1  Vehicles equipped with a water cannon, specially designed or modified for the 

purpose of riot control; 

3.2  Vehicles specially designed or modified to be electrified to repel borders; 

3.3  Vehicles  specially  designed  or  modified  to  remove  barricades,  including 

construction equipment with ballistic protection; 

3.4  Vehicles  specially  designed  for  the  transport  or  transfer  of  prisoners 

and/or detainees; 

3.5  Vehicles specially designed to deploy mobile barriers; 

3.6  Components for the vehicles specified in items 3.1 to 3.5 specially designed for 

the purposes of riot control. 

Note 1  This item does not control vehicles specially designed for the purposes 

of fire-fighting. 

Note 2  For the purposes of item 3.5 the term "vehicles" includes trailers. 

I.A.4.  Explosive substances and related equipment as follows: 

4.1  Equipment and devices specially designed to initiate explosions by electrical or 
non-electrical  means,  including  firing  sets,  detonators,  igniters,  boosters  and 
detonating  cord,  and  specially  designed  components  therefor;  except  those 
specially designed for a specific commercial use consisting of the actuation or 
operation  by  explosive  means  of  other  equipment  or  devices  the  function  of 
which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge 
arresters of fire sprinkler actuators); 

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4.2  Linear cutting explosive charges not controlled by the Common Military List; 

4.3  Other  explosives  not  controlled  by  the  Common  Military  List  and  related 

substances as follows: 

(a) 

amatol; 

(b)  nitrocellulose (containing more than 12,5 % nitrogen); 

(c) 

nitroglycol; 

(d)  pentaerythritol tetranitrate (PETN); 

(e) 

picryl chloride; 

(f) 

2,4,6-trinitrotoluene (TNT). 

I.A.5.  Protective  equipment  not  controlled  by  ML  13  of  the  Common  Military  List 

as follows: 

5.1  Body armour providing ballistic and/or stabbing protection; 

5.2  Helmets providing  ballistic and/or  fragmentation protection,  anti-riot  helmets, 

antiriot shields and ballistic shields. 

Note: This item does not control: 

– 

– 

equipment specially designed for sports activities; 

equipment specially designed for safety of work requirements. 

I.A.6.  Simulators, other than those controlled by ML 14 of the Common Military List, for 

training in the use of firearms, and specially designed software therefor. 

I.A.7.  Night  vision,  thermal  imaging  equipment  and  image  intensifier  tubes,  other  than 

those controlled by the Common Military List. 

I.A.8.  Razor barbed wire. 

I.A.9.  Military knives, combat knives and bayonets with blade lengths in excess of 10 cm. 

I.A.10.  Production equipment specially designed for the items specified in this list. 

I.A.11.  Specific technology for the development, production or use of the items specified in 

this list. 

PART B 

Introductory Notes 

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1. 

2. 

3. 

4. 

1. 

This Part comprises goods, software and technology listed in Annex I to Regulation 
(EC) No 428/2009. 

Unless  otherwise  stated,  the  reference  numbers  used  in  the  column  entitled  ‘No’ 
below refer the control list number and the column entitled 'Description' refers to the 
control  descriptions  of  dual  use  items  and  technology  set  out  in  Annex  I  to 
Regulation (EC) No 428/2009. 

Definitions of terms between 'single quotation marks' are given in a technical note to 
the relevant item. 

Definitions of terms between “double quotation marks” can be found in Annex I to 
Regulation (EC) No 428/2009. 

General Notes 

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  is/are  the 
principal  element  of  the  goods  and  can  feasibly  be  removed  or  used  for  other 
purposes. 

N.B.: In  judging  whether  the  controlled  component  or  components  is/are  to  be 
considered  the  principal  element,  it  is  necessary  to  weigh  the  factors  of 
quantity,  value  and  technological  know-how  involved  and  other  special 
circumstances which might establish the controlled component or components 
as the principal element of the goods being procured. 

2. 

The goods specified in this Annex include both new and used goods. 

General Technology Note (GTN) 

(To be read in conjunction with Section B) 

1. 

2. 

3. 

4. 

The  sale,  supply,  transfer  or  export  of  ”technology”  which  is  “required”  for  the 
“development”, “production” or “use” of goods the sale, supply, transfer or export of 
which is controlled in Parts A, B, C and D below, is controlled in accordance with 
the provisions of Part E. 

The “technology” “required” for the “development”, “production” or “use” of goods 
under  control  remains  under  control  even  when  it  is  applicable  to  non-controlled 
goods. 

Controls do not apply to that “technology” which is the minimum necessary for the 
installation, operation, maintenance (checking) and repair of those goods which are 
not  controlled  or  the  export  of  which  has  been  authorised  in  accordance  with  This 
Regulation. 

Controls  on  “technology”  transfer  do  not  apply  to  information  “in  the  public 
domain”, to “basic scientific research” or to the minimum necessary information for 
patent applications. 

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No 

A. EQUIPMENT 

Description 

I.B.1A004  Protective  and  detection  equipment  and  components,  other  than  those 

specified in military goods controls, as follows: 

a.  Gas  masks,  filter  canisters  and  decontamination  equipment 
therefore,  designed  or  modified  for  defence  against  any  of  the 
following, and specially designed components therefore: 

1.  Biological agents "adapted for use in war"; 

2.  Radioactive materials "adapted for use in war"; 

3.  Chemical warfare (CW) agents; or 

4.  "Riot control agents", including: 

a.  α-Bromobenzeneacetonitrile,  (Bromobenzyl  cyanide)  (CA) 
(CAS 5798-79-8); 

b.  [(2-chlorophenyl)  methylene] 
propanedinitrile, 
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1); 

(ο-

c.  2-Chloro-1-phenylethanone,  Phenylacyl 
chloroacetophenone) (CN) (CAS 532-27-4); 

chloride 

(ω-

d.  Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8); 

e.  10-Chloro-5,10-dihydrophenarsazine, 
chloride), (Adamsite), (DM) (CAS 578-94-9); 

(Phenarsazine 

f.  N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9); 

b.  Protective  suits,  gloves  and  shoes,  specially  designed  or  modified 

for defence against any of the following: 

1.  Biological agents "adapted for use in war"; 

2.  Radioactive materials "adapted for use in war"; or 

3.  Chemical warfare (CW) agents; 

c.  Detection  systems,  specially  designed  or  modified  for  detection  or 
identification  of  any  of  the  following,  and  specially  designed 
components therefor: 

 1.  Biological agents "adapted for use in war"; 

 2.  Radioactive materials "adapted for use in war"; or 

 3.  Chemical warfare (CW) agents. 

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No 

Description 

d.  Electronic  equipment  designed  for  automatically  detecting  or 
identifying the presence of "explosives" residues and utilising 'trace 
detection'  techniques  (e.g.,  surface  acoustic  wave,  ion  mobility 
spectrometry, 
spectrometry,  mass 
spectrometry). 

differential  mobility 

Technical Note: 

'Trace detection' is defined as the capability to detect less than 
1 ppm vapour, or 1 mg solid or liquid. 

Note 1: 
designed for laboratory use. 

1A004.d.  does  not  control  equipment  specially 

  Note 2: 

1A004.d.  does  not  control  non-contact  walk-

through security portals 

Note:  1A004 does not control: 

a. 

Personal radiation monitoring dosimeters; 

b.  Equipment  limited  by  design  or  function  to  protect 
against  hazards  specific  to  residential  safety  or  civil 
industries, including:  

1.  mining; 

2. 

3. 

4. 

quarrying; 

agriculture; 

pharmaceutical; 

5.  medical; 

6. 

7. 

veterinary; 

environmental; 

8.  waste management; 

9. 

food industry. 

Technical Notes: 

1A004 includes equipment and components that have been identified, 

successfully tested to national standards or otherwise proven 

effective, for the detection of or defence against radioactive 

materials "adapted for use in war", biological agents "adapted 

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No 

Description 

for use in war", chemical warfare agents, 'simulants' or "riot 

control agents", even if such equipment or components are 

used in civil industries such as mining, quarrying, agriculture, 

pharmaceuticals, medical, veterinary, environmental, waste 

management, or the food industry. 

'Simulant' is a substance or material that is used in place of toxic agent 

(chemical or biological) in training, research, testing or 

evaluation. 

I.B.9A012 

"Unmanned  aerial  vehicles"  ("UAVs"),  associated  systems,  equipment 
and components, as follows: 

"UAVs" having any of the following: 

1.  An autonomous flight control and navigation capability (e.g., an 

autopilot with an Inertial Navigation System); or 

2.  Capability  of  controlled-flight  out  of  the  direct  vision  range 
involving a human operator (e.g., televisual remote control); 

b.  Associated systems, equipment and components, as follows: 

1.  Equipment  specially  designed  for  remotely  controlling  the 

"UAVs" specified in 9A012.a.; 

2.  Systems  for  navigation,  attitude,  guidance  or  control,  other  than 
those specified in 7A in Annex I to Regulation (EC) No 428/2009 
and  specially  designed  to  provide  autonomous  flight  control  or 
navigation capability to "UAVs" specified in 9A012.a.; 

3.  Equipment  and  components,  specially  designed  to  convert  a 

manned "aircraft" to a "UAV" specified in 9A012.a.; 

4.  Air  breathing  reciprocating  or  rotary  internal  combustion  type 
engines,  specially  designed  or  modified  to  propel  "UAVs"  at 
altitudes above 50 000 feet (15 240 metres). 

I.B.9A350  Spraying or fogging systems, specially designed or modified for fitting 
to  aircraft,  "lighter-than-air  vehicles"  or  unmanned  aerial  vehicles,  and 
specially designed components therefor, as follows: 

Complete spraying or fogging systems capable of delivering, 

from a liquid suspension, an initial droplet 'VMD' of less 

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No 

Description 

than 50 µm at a flow rate of greater than two litres per 

minute; 

Spray booms or arrays of aerosol generating units capable of 

delivering, from a liquid suspension, an initial droplet 

'VMD' of less than 50 µm at a flow rate of greater than 

two litres per minute; 

Aerosol generating units specially designed for fitting to 

systems specified in 9A350.a. and b. 

Note:  Aerosol  generating  units  are devices specially designed or 
modified for fitting to aircraft such as nozzles, rotary drum 
atomizers and similar devices. 

Note: 

9A350  does  not  control  spraying  or  fogging  systems  and 
components  that  are  demonstrated  not  to  be  capable  of 
delivering biological agents in the form of infectious aerosols. 

Technical Notes: 

1.  Droplet 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: 

a.  Doppler laser method; 

Forward laser diffraction method. 

In  9A350  'VMD'  means  Volume  Median  Diameter  and  for  water-

2. 
based systems this equates to Mass Median Diameter (MMD). 

B. TEST AND PRODUCTION EQUIPMENT 

No 

Description 

I.B.2B350 

Chemical  manufacturing  facilities,  equipment  and  components,  as 
follows: 

a.  Reaction  vessels  or  reactors,  with  or  without  agitators,  with  total 
internal  (geometric)  volume  greater  than  0,1  m3  (100  litres)  and 
less  than  20  m3  (20 000 litres),  where  all  surfaces  that  come  in 
direct  contact  with  the  chemical(s)  being  processed  or  contained 

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No 

Description 

are made from any of the following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coating  or  glass 
lining); 

4.  Nickel or 'alloys' with more than 40 % nickel by weight; 

5. 

6. 

7. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; or 

8.  Niobium (columbium) or niobium 'alloys'; 

b.  Agitators  for  use  in  reaction  vessels  or  reactors  specified  in 
2B350.a.;  and  impellers,  blades  or  shafts  designed  for  such 
agitators,  where  all  surfaces  of  the  agitator  that  come  in  direct 
contact  with  the  chemical(s)  being  processed  or  contained  are 
made from any of the following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4.  Nickel or 'alloys' with more than 40 % nickel by weight; 

5. 

6. 

7. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; or 

8.  Niobium (columbium) or niobium 'alloys'; 

c.  Storage  tanks,  containers  or  receivers  with  a  total  internal 
(geometric)  volume  greater  than  0,1 m3  (100  litres)  where  all 
surfaces  that  come  in  direct  contact  with  the  chemical(s)  being 
the 
processed  or 

are  made 

contained 

any  of 

from 

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No 

Description 

following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4.  Nickel or 'alloys' with more than 40 % nickel by weight; 

5. 

6. 

7. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; or 

8.  Niobium (columbium) or niobium 'alloys'; 

d.  Heat  exchangers  or  condensers  with  a  heat  transfer  surface  area 
greater than 0,15 m2, and less than 20 m2; and tubes, plates, coils 
or blocks (cores) designed for such heat exchangers or condensers, 
where all surfaces that come in direct contact with the chemical(s) 
being processed are made from any of the following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4.  Graphite or 'carbon graphite'; 

5.  Nickel or 'alloys' with more than 40 % nickel by weight; 

6. 

7. 

8. 

9. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; 

Silicon carbide; 

10.  Titanium carbide; or 

11.  Niobium (columbium) or niobium 'alloys'; 

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No 

Description 

e.  Distillation or absorption columns of internal diameter greater than 
0,1  m;  and  liquid  distributors,  vapour  distributors  or  liquid 
collectors  designed  for  such  distillation  or  absorption  columns, 
where all surfaces that come in direct contact with the chemical(s) 
being processed are made from any of the following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4.  Graphite or 'carbon graphite'; 

5.  Nickel or 'alloys' with more than 40 % nickel by weight; 

6. 

7. 

8. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; or 

9.  Niobium (columbium) or niobium 'alloys';  

f.  Remotely  operated  filling  equipment  in  which  all  surfaces  that 
come  in  direct  contact  with  the  chemical(s)  being  processed  are 
made from any of the following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; or 

2.  Nickel or 'alloys' with more than 40 % nickel by weight; 

g.  Valves with 'nominal sizes' greater than 10 mm and casings (valve 
bodies)  or  preformed  casing  liners  designed  for  such  valves,  in 
which all surfaces that come in direct contact with the chemical(s) 
being processed or contained are made from any of the following 
materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

EN 

16 

   EN 

No 

Description 

4.  Nickel or 'alloys' with more than 40 % nickel by weight; 

5. 

6. 

7. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; 

8.  Niobium (columbium) or niobium 'alloys'; or 

9.  Ceramic materials as follows: 

a. 

Silicon carbide with purity of 80 % or more by weight; 

b.  Aluminium oxide (alumina) with purity of 99,9 % or more by 
weight; 

c. 

Zirconium oxide (zirconia); 

Technical Note: 

The  'nominal  size'  is  defined  as  the  smaller  of  the  inlet  and  outlet 
diameters. 

h.  Multi-walled  piping  incorporating  a  leak  detection  port,  in  which 
all surfaces that come in direct contact with the chemical(s) being 
processed  or  contained  are  made  from  any  of  the  following 
materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

2. 
more than 35 % fluorine by weight); 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4.  Graphite or 'carbon graphite'; 

5.  Nickel or 'alloys' with more than 40 % nickel by weight; 

6. 

7. 

8. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

Zirconium or zirconium 'alloys'; or 

9.  Niobium (columbium) or niobium 'alloys'; 

i.  Multiple-seal  and  seal-less  pumps,  with  manufacturer's  specified 

EN 

17 

   EN 

No 

Description 

maximum  flow-rate  greater  than  0,6  m3/hour,  or  vacuum  pumps 
with  manufacturer's  specified  maximum  flow-rate  greater  than  5 
m3/hour  (under  standard  temperature  (273  K  (0oC))  and  pressure 
(101,3 kPa)  conditions);  and  casings  (pump  bodies),  preformed 
casing  liners,  impellers,  rotors  or  jet  pump  nozzles  designed  for 
such pumps, in which all surfaces that come in direct contact with 
the  chemical(s)  being  processed  are  made  from  any  of  the 
following materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

2.  Ceramics; 

3. 

Ferrosilicon (high silicon iron alloys); 

Fluoropolymers  (polymeric  or  elastomeric  materials  with 

4. 
more than 35 % fluorine by weight); 

5.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

6.  Graphite or 'carbon graphite'; 

7.  Nickel or 'alloys' with more than 40 % nickel by weight; 

8. 

9. 

Tantalum or tantalum 'alloys'; 

Titanium or titanium 'alloys'; 

10.  Zirconium or zirconium 'alloys'; or 

11.  Niobium (columbium) or niobium 'alloys'; 

j. 

Incinerators  designed  to  destroy  chemicals  specified  in  entry 
1C350,  having  specially  designed  waste  supply  systems,  special 
handling 
facilities  and  an  average  combustion  chamber 
temperature greater than 1 273 K (1 000oC), in which all surfaces 
in  the waste supply system that come into direct contact with the 
waste  products  are  made  from  or  lined  with  any  of  the  following 
materials: 

'Alloys' with more than 25 % nickel and 20 % chromium by 

1. 
weight; 

2.  Ceramics; or 

3.  Nickel or 'alloys' with more than 40 % nickel by weight. 

Technical Notes: 

EN 

18 

   EN 

No 

Description 

1. 

'Carbon  graphite'  is  a  composition  consisting  of  amorphous 
carbon and graphite, in which the graphite content is eight percent 
or more by weight. 

2.  For the listed materials in the above entries, the term 'alloy' when 
not  accompanied  by  a  specific  elemental  concentration 
is 
understood as identifying those alloys where the identified metal is 
present in a higher percentage by weight than any other element. 

I.B.2B351 

 Toxic  gas  monitoring  systems  and 
their  dedicated  detecting 
components,  other  than  those  specified  in  1A004,  as  follows;  and 
detectors; sensor devices; and replaceable sensor cartridges therefor: 

a.  Designed for continuous operation and usable for the detection of 
chemical  warfare  agents  or  chemicals  specified  in  1C350,  at 
concentrations of less than 0,3 mg/m3; or 

b.  Designed for the detection of cholinesterase-inhibiting activity. 

I.B.2B352 

 Equipment capable of use in handling biological materials, as follows: 

a.  Complete  biological  containment  facilities  at  P3,  P4  containment 

level; 

Technical Note: 

P3 or P4 (BL3, BL4, L3, L4) containment levels are as specified in the 
WHO Laboratory Biosafety manual (3rd edition Geneva 2004). 

b.  Fermenters capable of cultivation of pathogenic "microorganisms", 
viruses or capable of toxin production, without the propagation of 
aerosols, and having a total capacity of 20 litres or more; 

Technical Note: 

Fermenters  include  bioreactors,  chemostats  and  continuous-flow 
systems. 

c.  Centrifugal  separators,  capable  of  continuous  separation  without 
following 

the  propagation  of  aerosols,  having  all 
characteristics: 

the 

1. 

Flow rate exceeding 100 litres per hour; 

2.  Components of polished stainless steel or titanium; 

3.  One or more sealing joints within the steam containment area; 
and 

4.  Capable of in-situ steam sterilisation in a closed state; 

EN 

19 

   EN 

No 

Description 

Technical Note: 

Centrifugal separators include decanters. 

d.  Cross  (tangential)  flow  filtration  equipment  and  components  as 

follows: 

1.  Cross  (tangential)  flow  filtration  equipment  capable  of 
separation of pathogenic “microorganisms”, viruses, toxins or 
cell  cultures,  without  the  propagation  of  aerosols,  having  all 
of the following characteristics: 

a.  A total filtration area equal to or greater than 1 m2; and 

b.  Having either of the following characteristics: 

1.  Capable of being sterilised or disinfected in-situ; or 

2.  Using disposable or single-use filtration components; 

Technical Note: 

In 2B352.d.1.b. sterlised denotes the elimination of all viable microbes 
from the equipment through the  use of either  physical  (e.g.  steam) or 
chemical  agents.  Disinfected  denotes  the  destruction  of  potential 
microbial  infectivity  in  the  equipment  through  the  use  of  chemical 
agents  with  a  germicidal  effect.  Disinfection  and  sterilisation  are 
distinct  from  sanitisation,  the  latter  referring  to  cleaning  procedures 
designed  to  lower  the  microbial  content  of  equipment  without 
necessarily  achieving  elimination  of  all  microbial  infectivity  or 
viability. 

2.  Cross  (tangential)  flow  filtration  components  (e.g.  modules, 
elements,  cassettes, cartridges,  units or plates) with filtration area 
equal  to  or  greater  than 0,2 m2  for  each  component  and  designed 
for use in cross (tangential) flow filtration equipment specified in 
2B352.d.; 

Note: 

2B352.d. does not control reverse osmosis equipment, as 
specified by the manufacturer. 

e.  Steam  sterilisable  freeze  drying  equipment  with  a  condenser 
capacity exceeding 10 kg of ice in 24 hours and less than 1 000 kg 
of ice in 24 hours; 

f.  Protective and containment equipment, as follows: 

1. 

Protective  full  or  half  suits,  or  hoods  dependent  upon  a 
tethered  external  air  supply  and  operating  under  positive 
pressure; 

EN 

20 

   EN 

No 

Description 

Note:  2B352.f.1. does not control suits designed to be worn with 

self-contained breathing apparatus. 

2.  Class  III  biological  safety  cabinets  or  isolators  with  similar 

performance standards; 

Note: 

In  2B352.f.2.,  isolators  include  flexible  isolators,  dry 
boxes, anaerobic chambers, glove boxes and laminar flow 
hoods (closed with vertical flow). 

g.  Chambers  designed 

testing  with 
aerosol 
"microorganisms",  viruses  or  "toxins"  and  having  a  capacity  of 
1 m3 or greater. 

challenge 

for 

No 

C. MATERIALS 

Description 

I.B.1C350  Chemicals, which may be used as precursors for toxic chemical agents, 

as follows, and "chemical mixtures" containing one or more thereof: 

N.B.:  SEE ALSO MILITARY GOODS CONTROLS AND 1C450. 

1.  Thiodiglycol (111-48-8); 

2.  Phosphorus oxychloride (10025-87-3); 

3.  Dimethyl methylphosphonate (756-79-6); 

4.  SEE 

MILITARY 

GOODS 

CONTROLS 

FOR 

Methyl phosphonyl difluoride (676-99-3); 

5.  Methyl phosphonyl dichloride (676-97-1); 

6.  Dimethyl phosphite (DMP) (868-85-9); 

7.  Phosphorus trichloride (7719-12-2); 

8.  Trimethyl phosphite (TMP) (121-45-9); 

9.  Thionyl chloride (7719-09-7); 

10.  3-Hydroxy-1-methylpiperidine (3554-74-3); 

11.  N,N-Diisopropyl-(beta)-aminoethyl chloride (96-79-7); 

12.  N,N-Diisopropyl-(beta)-aminoethane thiol (5842-07-9); 

EN 

21 

   EN 

 
No 

Description 

13.  3-Quinuclidinol (1619-34-7); 

14.  Potassium fluoride (7789-23-3); 

15.  2-Chloroethanol (107-07-3); 

16.  Dimethylamine (124-40-3); 

17.  Diethyl ethylphosphonate (78-38-6); 

18.  Diethyl-N,N-dimethylphosphoramidate (2404-03-7); 

19.  Diethyl phosphite (762-04-9); 

20.  Dimethylamine hydrochloride (506-59-2); 

21.  Ethyl phosphinyl dichloride (1498-40-4); 

22.  Ethyl phosphonyl dichloride (1066-50-8); 

23.  SEE 

MILITARY 

GOODS 

CONTROLS 

FOR 

Ethyl phosphonyl difluoride (753-98-0); 

24.  Hydrogen fluoride (7664-39-3); 

25.  Methyl benzilate (76-89-1); 

26.  Methyl phosphinyl dichloride (676-83-5); 

27.  N,N-Diisopropyl-(beta)-amino ethanol (96-80-0); 

28.  Pinacolyl alcohol (464-07-3); 

29.  SEE 

MILITARY 

GOODS 

CONTROLS 

O-Ethyl-2-diisopropylaminoethyl  methyl  phosphonite 
(57856-11-8); 

FOR 
(QL) 

30.  Triethyl phosphite (122-52-1); 

31.  Arsenic trichloride (7784-34-1); 

32.  Benzilic acid (76-93-7); 

33.  Diethyl methylphosphonite (15715-41-0); 

34.  Dimethyl ethylphosphonate (6163-75-3); 

35.  Ethyl phosphinyl difluoride (430-78-4); 

36.  Methyl phosphinyl difluoride (753-59-3); 

EN 

22 

   EN 

No 

Description 

37.  3-Quinuclidone (3731-38-2); 

38.  Phosphorus pentachloride (10026-13-8); 

39.  Pinacolone (75-97-8); 

40.  Potassium cyanide (151-50-8); 

41.  Potassium bifluoride (7789-29-9); 

42.  Ammonium 
(1341-49-7); 

hydrogen 

fluoride 

or 

ammonium 

bifluoride 

43.  Sodium fluoride (7681-49-4); 

44.  Sodium bifluoride (1333-83-1); 

45.  Sodium cyanide (143-33-9); 

46.  Triethanolamine (102-71-6); 

47.  Phosphorus pentasulphide (1314-80-3); 

48.  Di-isopropylamine (108-18-9); 

49.  Diethylaminoethanol (100-37-8); 

50.  Sodium sulphide (1313-82-2); 

51.  Sulphur monochloride (10025-67-9); 

52.  Sulphur dichloride (10545-99-0); 

53.  Triethanolamine hydrochloride (637-39-8); 

54.  N,N-Diisopropyl-(Beta)-aminoethyl 

hydrochloride (4261-68-1); 

55.  Methylphosphonic acid (993-13-5); 

56.  Diethyl methylphosphonate (683-08-9); 

57.  N,N-Dimethylaminophosphoryl dichloride (677-43-0); 

58.  Triisopropyl phosphite (116-17-6); 

59.  Ethyldiethanolamine (139-87-7); 

60.  O,O-Diethyl phosphorothioate (2465-65-8); 

61.  O,O-Diethyl phosphorodithioate (298-06-6); 

chloride 

EN 

23 

   EN 

No 

Description 

62.  Sodium hexafluorosilicate (16893-85-9); 

63.  Methylphosphonothioic dichloride (676-98-2). 

Note  1:  For  exports  to  "States  not  Party  to  the  Chemical  Weapons 
Convention",  1C350  does  not  control  "chemical  mixtures" 
containing one or more of the chemicals specified in entries 
1C350.1,  .3,  .5,  .11,  .12,  .13, .17, .18, .21, .22,  .26,  .27, .28, 
.31, .32, .33, .34, .35, .36, .54, .55, .56, .57 and .63 in which 
no  individually  specified  chemical  constitutes  more  than 
10 % by the weight of the mixture. 

Note 3: 1C350 does not control "chemical mixtures" containing one or 
more of the chemicals specified in entries 1C350 .2, .6, .7, .8, 
.9, .10, .14, .15, .16, .19, .20, .24, .25, .30, .37, .38, .39, .40, 
.41, .42, .43, .44, .45, .46, .47, .48, .49, .50, .51, .52, .53, .58, 
.59,  .60,  .61  and  .62  in  which  no  individually  specified 
chemical  constitutes  more  than  30 %  by  the  weight  of  the 
mixture.  

Note 4: 1C350 does not control products identified as consumer goods 
packaged  for  retail  sale  for  personal  use  or  packaged  for 
individual use. 

I.B.1C351  Human pathogens, zoonoses and "toxins", as follows: 

a.  Viruses,  whether  natural,  enhanced  or  modified,  either  in  the  form 
of  "isolated  live  cultures"  or  as  material  including  living  material 
which  has  been  deliberately  inoculated  or  contaminated  with  such 
cultures, as follows: 

1.  Andes virus; 

2.  Chapare virus; 

3.  Chikungunya virus; 

4.  Choclo virus; 

5.  Congo-Crimean haemorrhagic fever virus; 

6.  Dengue fever virus; 

7.  Dobrava-Belgrade virus; 

8.  Eastern equine encephalitis virus; 

9.  Ebola virus; 

10. Guanarito virus; 

EN 

24 

   EN 

No 

Description 

11. Hantaan virus; 

12. Hendra virus (Equine morbillivirus); 

13. Japanese encephalitis virus; 

14. Junin virus; 

15. Kyasanur Forest virus; 

16. Laguna Negra virus; 

17. Lassa fever virus; 

18. Louping ill virus; 

19. Lujo virus; 

20. Lymphocytic choriomeningitis virus; 

21. Machupo virus; 

22. Marburg virus; 

23. Monkey pox virus; 

24. Murray Valley encephalitis virus; 

25. Nipah virus; 

26. Omsk haemorrhagic fever virus; 

27. Oropouche virus; 

28. Powassan virus; 

29. Rift Valley fever virus; 

30. Rocio virus; 

31. Sabia virus; 

32. Seoul virus; 

33. Sin nombre virus; 

34. St Louis encephalitis virus; 

35. Tick-borne  encephalitis  virus 

(Russian  Spring-Summer 

encephalitis virus); 

EN 

25 

   EN 

No 

Description 

36. Variola virus; 

37. Venezuelan equine encephalitis virus; 

38. Western equine encephalitis virus; 

39. Yellow fever virus; 

b.  Rickettsiae,  whether  natural,  enhanced  or  modified,  either  in  the 
form  of  "isolated  live  cultures"  or  as  material  including  living 
material  which  has  been  deliberately  inoculated  or  contaminated 
with such cultures, as follows: 

1.  Coxiella burnetii; 

2.  Bartonella  quintana 

(Rochalimaea  quintana,  Rickettsia 

quintana); 

3.  Rickettsia prowasecki; 

4.  Rickettsia rickettsii; 

c.  Bacteria, whether natural, enhanced or modified, either in the form 
of  "isolated  live  cultures"  or  as  material  including  living  material 
which  has  been  deliberately  inoculated  or  contaminated  with  such 
cultures, as follows: 

1.  Bacillus anthracis; 

2.  Brucella abortus; 

3.  Brucella melitensis; 

4.  Brucella suis; 

5.  Chlamydia psittaci; 

6.  Clostridium botulinum; 

7. 

Francisella tularensis; 

8.  Burkholderia mallei (Pseudomonas mallei); 

9.  Burkholderia pseudomallei (Pseudomonas pseudomallei); 

10.  Salmonella typhi; 

11.  Shigella dysenteriae; 

12.  Vibrio cholerae; 

EN 

26 

   EN 

No 

Description 

13.  Yersinia pestis; 

14.  Clostridium perfringens epsilon toxin producing types; 

15.  Enterohaemorrhagic Escherichia coli, serotype O157 and other 

verotoxin producing serotypes; 

d.  "Toxins", as follows, and "sub-unit of toxins" thereof: 

1.  Botulinum toxins; 

2.  Clostridium perfringens toxins; 

3.  Conotoxin; 

4.  Ricin; 

5. 

6. 

7. 

8. 

Saxitoxin; 

Shiga toxin; 

Staphylococcus aureus toxins; 

Tetrodotoxin; 

9.  Verotoxin and shiga-like ribosome inactivating proteins; 

10.  Microcystin (Cyanginosin); 

11.  Aflatoxins; 

12.  Abrin; 

13.  Cholera toxin; 

14.  Diacetoxyscirpenol toxin; 

15.  T-2 toxin; 

16.  HT-2 toxin; 

17.  Modeccin; 

18.  Volkensin; 

19.  Viscum album Lectin 1 (Viscumin);  

Note: 

1C351.d.  does  not  control  botulinum  toxins  or  conotoxins  in 
product form meeting all of the following criteria: 

1.  Are  pharmaceutical  formulations  designed  for  human 

EN 

27 

   EN 

No 

Description 

administration in the treatment of medical conditions; 

2.  Are pre-packaged for distribution as medical products; 

3.  Are  authorised  by  a  state  authority  to  be  marketed  as 

medical products. 

e.  Fungi, whether natural, enhanced or modified, either in the form of 
"isolated  live  cultures"  or  as  material  including  living  material 
which  has  been  deliberately  inoculated  or  contaminated  with  such 
cultures, as follows: 

1.  Coccidioides immitis; 

2.  Coccidioides posadasii. 

Note: 

1C351 does not control "vaccines" or "immunotoxins". 

I.B.1C352  Animal pathogens, as follows: 

a.  Viruses,  whether  natural,  enhanced  or  modified,  either  in  the  form 
of  "isolated  live  cultures"  or  as  material  including  living  material 
which  has  been  deliberately  inoculated  or  contaminated  with  such 
cultures, as follows: 

1.  African swine fever virus; 

2.  Avian influenza virus, which are: 

a.  Uncharacterised; or 

b.  Defined  in  Annex  I(2)  of  Council  Directive  2005/94/EC 
of 20 December 2005  on  Community  measures  for 
the 
control  of  avian  influenza  (OJ  L  10,  14.1.2006,  p.  16)  as 
having high pathogenicity, as follows: 

1.  Type  A  viruses  with  an  IVPI  (intravenous  pathogenicity 
index) in 6 week old chickens of greater than 1,2; or 

2.  Type  A  viruses  of  the  subtypes  H5  or  H7  with  genome 
sequences  codified  for  multiple  basic  amino  acids  at  the 
cleavage  site  of  the  haemagglutinin  molecule  similar  to 
that  observed  for  other  HPAI  viruses,  indicating  that  the 
haemagglutinin  molecule  can  be  cleaved  by  a  host 
ubiquitous protease; 

3.  Bluetongue virus; 

4. 

Foot and mouth disease virus; 

EN 

28 

   EN 

No 

Description 

5.  Goat pox virus; 

6. 

7. 

8. 

Porcine herpes virus (Aujeszky's disease); 

Swine fever virus (Hog cholera virus); 

Lyssa virus; 

9.  Newcastle disease virus; 

10.  Peste des petits ruminants virus; 

11.  Porcine enterovirus type 9 (swine vesicular disease virus); 

12.  Rinderpest virus; 

13.  Sheep pox virus; 

14.  Teschen disease virus; 

15.  Vesicular stomatitis virus; 

16.  Lumpy skin disease virus; 

17.  African horse sickness virus. 

b.  Mycoplasmas, whether natural, enhanced or modified, either in the 
form  of  "isolated  live  cultures"  or  as  material  including  living 
material  which  has  been  deliberately  inoculated  or  contaminated 
with such cultures, as follows: 

1.  Mycoplasma  mycoides  subspecies  mycoides  SC 

(small 

colony); 

2.  Mycoplasma capricolum subspecies capripneumoniae. 

Note: 

1C352 does not control "vaccines". 

I.B.1C353  Genetic elements and genetically modified organisms, as follows: 

a.  Genetically  modified  organisms  or  genetic  elements  that  contain 
nucleic  acid  sequences  associated  with  pathogenicity  of  organisms 
specified  in  1C351.a.,  1C351.b.,  1C351.c,  1C351.e.,  1C352  or 
1C354; 

b.  Genetically  modified  organisms  or  genetic  elements  that  contain 
nucleic  acid  sequences  coding  for  any  of  the  "toxins"  specified  in 
1C351.d. or "sub-units of toxins" thereof. 

Technical Notes: 

EN 

29 

   EN 

No 

Description 

1.  Genetic  elements  include,  inter  alia,  chromosomes,  genomes, 
plasmids,  transposons  and  vectors  whether  genetically  modified  or 
unmodified. 

2.  Nucleic acid sequences associated with the pathogenicity of any of 
the  micro-organisms  specified  in  1C351.a.,  1C351.b.,  1C351.c., 
1C351.e.,  1C352  or 1C354  means  any  sequence  specific  to  the 
specified micro-organism that: 

a.  In  itself  or  through  its  transcribed  or  translated  products 
represents  a  significant  hazard  to  human,  animal  or  plant 
health; or 

b.  Is known to enhance the ability of a specified micro-organism, 
or  any  other  organism  into  which  it  may  be  inserted  or 
otherwise  integrated,  to  cause  serious  harm  to  humans, 
animals or plant health. 

Note: 

1C353  does  not  apply  to  nucleic  acid  sequences  associated 
with the pathogenicity of enterohaemorrhagic Escherichia coli, 
serotype  O157  and  other  verotoxin  producing  strains,  other 
than those coding for the verotoxin, or for its sub-units. 

I.B.1C354  Plant pathogens, as follows: 

a.  Viruses,  whether  natural,  enhanced  or  modified,  either  in  the  form 
of  "isolated  live  cultures"  or  as  material  including  living  material 
which  has  been  deliberately  inoculated  or  contaminated  with  such 
cultures, as follows: 

1.  Potato Andean latent tymovirus; 

2.  Potato spindle tuber viroid; 

b.  Bacteria, whether natural, enhanced or modified, either in the form 
of "isolated live cultures" or as material which has been deliberately 
inoculated or contaminated with such cultures, as follows: 

1.  Xanthomonas albilineans; 

2.  Xanthomonas campestris pv. citri including strains referred to as 
Xanthomonas campestris pv.  citri types A,B,C,D,E or  otherwise 
classified  as  Xanthomonas  citri,  Xanthomonas  campestris  pv. 
aurantifolia or Xanthomonas campestris pv. citrumelo; 

3.  Xanthomonas  oryzae  pv.  Oryzae  (Pseudomonas  campestris  pv. 

Oryzae); 

4.  Clavibacter michiganensis subsp. Sepedonicus (Corynebacterium 
subsp.  Sepedonicum  or  Corynebacterium 

michiganensis 

EN 

30 

   EN 

No 

Description 

Sepedonicum); 

5.  Ralstonia 

solanacearum  Races  2  and  3 

(Pseudomonas 
solanacearum Races 2 and 3 or Burkholderia solanacearum Races 
2 and 3); 

c.  Fungi, whether natural, enhanced or modified, either in the form of 
"isolated  live  cultures"  or  as  material  which  has  been  deliberately 
inoculated or contaminated with such cultures, as follows: 

1.  Colletotrichum 
kahawae); 

coffeanum 

var. virulans 

(Colletotrichum 

2.  Cochliobolus miyabeanus (Helminthosporium oryzae); 

3.  Microcyclus ulei (syn. Dothidella ulei); 

4.  Puccinia graminis (syn. Puccinia graminis f. sp. tritici); 

5.  Puccinia striiformis (syn. Puccinia glumarum); 

6.  Magnaporthe grisea (pyricularia grisea/pyricularia oryzae). 

I.B.1C450  Toxic  chemicals  and  toxic  chemical  precursors,  as  follows,  and 

"chemical mixtures" containing one or more thereof: 

N.B.:  SEE  ALSO  ENTRY  1C350,  1C351.d.  AND  MILITARY 

GOODS CONTROLS. 

a.  Toxic chemicals, as follows: 

1.  Amiton: 

S-[2-(diethylamino)ethyl] 
phosphorothiolate  (78-53-5)  and  corresponding  alkylated  or 
protonated salts; 

O,O-Diethyl 

2.  PFIB: 

1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene 

(382-21-8); 

3.  SEE  MILITARY 

GOODS 

CONTROLS 

FOR 

BZ: 3-Quinuclidinyl benzilate (6581-06-2); 

4.  Phosgene: Carbonyl dichloride (75-44-5); 

5.  Cyanogen chloride (506-77-4); 

6.  Hydrogen cyanide (74-90-8); 

7.  Chloropicrin: Trichloronitromethane (76-06-2); 

Note 1:  For  exports  to  "States  not  Party  to  the  Chemical  Weapons 
Convention",  1C450  does  not  control  "chemical  mixtures" 

EN 

31 

   EN 

No 

Description 

containing  one  or  more  of  the  chemicals  specified  in  entries 
1C450.a.1.  and 
.a.2.  in  which  no  individually  specified 
chemical  constitutes  more  than  1 %  by  the  weight  of  the 
mixture. 

Note 3:  1C450 does not control "chemical mixtures" containing one or 
more  of  the  chemicals  specified  in  entries  1C450.a.4.,  .a.5., 
.a.6.  and  .a.7.  in  which  no  individually  specified  chemical 
constitutes more than 30 % by the weight of the mixture.  

Note 4:  1C450 does not control products identified as consumer goods 
packaged  for  retail  sale  for  personal  use  or  packaged  for 
individual use. 

b.  Toxic chemical precursors, as follows: 

1.  Chemicals,  other  than  those  specified  in  the  Military  Goods 
Controls  or  in 1C350,  containing  a  phosphorus  atom  to  which 
is bonded one methyl, ethyl or propyl (normal or iso) group but 
not further carbon atoms; 

Note:  1C450.b.1  does  not  control  Fonofos:  O-Ethyl  S-phenyl 

ethylphosphonothiolothionate (944-22-9); 

2.  N,N-Dialkyl  [methyl,  ethyl  or  propyl  (normal  or 
dihalides, 

phosphoramidic 
Dimethylaminophosphoryl dichloride; 

other 

than 

iso)] 
N,N-

N.B.:  See  1C350.57. 
dichloride. 

for  N,N-Dimethylaminophosphoryl 

3.  Dialkyl  [methyl,  ethyl  or  propyl  (normal  or  iso)]  N,N-dialkyl 
[methyl,  ethyl  or  propyl  (normal  or  iso)]-phosphoramidates, 
other  than  Diethyl-N,N-dimethylphosphoramidate  which  is 
specified in 1C350; 

4.  N,N-Dialkyl  [methyl,  ethyl  or  propyl  (normal  or 

iso)] 
aminoethyl-2-chlorides  and  corresponding  protonated  salts, 
than  N,N-Diisopropyl-(beta)-aminoethyl  chloride  or 
other 
N,N-Diisopropyl-(beta)-aminoethyl 
chloride  hydrochloride 
which are specified in 1C350; 

5.  N,N-Dialkyl  [methyl,  ethyl  or  propyl  (normal  or 

iso)] 
aminoethane-2-ols  and  corresponding  protonated  salts,  other 
than N,N-Diisopropyl-(beta)-aminoethanol (96-80-0) and N,N-
Diethylaminoethanol (100-37-8) which are specified in 1C350; 

Note: 

1C450.b.5. does not control the following: 

EN 

32 

   EN 

 
No 

Description 

a.  N,N-Dimethylaminoethanol 

(108-01-0) 

and 

corresponding protonated salts; 

b.  Protonated 
(100-37-8); 

salts 

of 

N,N-Diethylaminoethanol 

6.  N,N-Dialkyl  [methyl,  ethyl  or  propyl  (normal  or 

iso)] 
aminoethane-2-thiols and corresponding protonated salts, other 
than  N,N-Diisopropyl-(beta)-aminoethane 
is 
specified in 1C350; 

thiol  which 

7. 

See 1C350 for ethyldiethanolamine (139-87-7); 

8.  Methyldiethanolamine (105-59-9). 

Note 1:  For  exports  to  "States  not  Party  to  the  Chemical  Weapons 
Convention",  1C450  does  not  control  "chemical  mixtures" 
containing  one  or  more  of  the  chemicals  specified  in  entries 
1C450.b.1.,  .b.2.,  .b.3.,  .b.4.,  .b.5.  and  .b.6.  in  which  no 
individually  specified  chemical  constitutes  more  than  10 %  by 
the weight of the mixture. 

Note 3:  1C450 does not control "chemical mixtures" containing one or 
more of the chemicals specified in entry 1C450.b.8. in which no 
individually  specified  chemical  constitutes  more  than  30 %  by 
the weight of the mixture. 

Note 4:  1C450 does not control products identified as consumer goods 
packaged  for  retail  sale  for  personal  use  or  packaged  for 
individual use. 

No 

I.B.1D003 

D. SOFTWARE 

Description 

"Software"  specially  designed  or  modified  to  enable  equipment  to 
perform the functions of equipment specified in 1A004.c. or 1A004.d. 

I.B.2D351 

"Software", other than that specified in 1D003, specially designed for 
"use" of equipment specified in 2B351. 

I.B.9D001 

 "Software"  specially  designed  or  modified  for  the  "development"  of 
equipment or "technology", specified in 9A012. 

I.B.9D002 

"Software"  specially  designed  or  modified  for  the  "production"  of 
equipment specified in 9A012. 

EN 

33 

   EN 

 
 
No 

I.B.1E001 

I.B.2E001 

E. TECHNOLOGY 

Description 

 "Technology"  according  to  the  General  Technology  Note  for  the 
"development" or "production" of equipment or materials specified in 
1A004, 1C350 to1C354 or 1C450. 

 "Technology"  according  to  the  General  Technology  Note  for  the 
"development" of equipment or "software" specified in 2B350, 2B351, 
2B352 or 2D351 

I.B.2E002 

 "Technology"  according  to  the  General  Technology  Note  for  the 
"production" of equipment specified in 2B350, 2B351 or 2B352. 

I.B.2E301 

 "Technology" according to the General Technology Note for the "use" 
of goods specified in 2B350 to 2B352. 

I.B.9E001 

"Technology"  according  to  the  General  Technology  Note  for  the 
"development"  of  equipment  or  "software",  specified  in  9A012  or 
9A350. 

I.B.9E002 

"Technology"  according  to  the  General  Technology  Note  for  the 
"production" of equipment specified in 9A350. 

I.B.9E101 

"Technology" according to the General Technology Note for the 

"production" of 'UAV's specified in 9A012. 

Technical Note: 

 In 9E101.b. 'UAV' means unmanned aerial vehicle systems capable of 
a range exceeding 300 km. 

I.B.9E102 

"Technology" according to the General Technology Note for the "use" 
'UAV's specified in 9A012. 

Technical Note: 

 In 9E101.b. 'UAV' means unmanned aerial vehicle systems capable of 
a range exceeding 300 km. 

PART C 

Equipment, goods or technology referred to in Article 2 and in Article 3b 

Introductory Notes 

1. 

Unless  otherwise  stated,  reference  numbers  used  in  the  column  below  entitled 
'Description'  refer  to  the  descriptions  of  dual  use  items  and  technology  set  out  in 
Annex I to Regulation (EC) No 428/2009. 

EN 

34 

   EN 

 
2. 

3. 

4. 

A  reference  number  in  the  column  below  entitled  'Related  item  from  Annex  I  to 
Regulation (EC) No 428/2009' means that the characteristics of the item described in 
the  'Description'  column  lie  outside  the  parameters  set  out  in  the  description  of  the 
dual use entry referred to. 

Definitions of terms between 'single quotation marks' are given in a technical note to 
the relevant item. 

Definitions of terms between "double quotation marks" can be found in Annex I to 
Regulation (EC) No 428/2009. 

EN 

35 

   EN 

General Notes 

1. 

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  is/are  the 
principal  element  of  the  goods  and  can  feasibly  be  removed  or  used  for  other 
purposes. 

N.B.: In  judging  whether  the  controlled  component  or  components  is/are  to  be 
considered  the  principal  element,  it  is  necessary  to  weigh  the  factors  of 
quantity,  value  and  technological  know-how  involved  and  other  special 
circumstances which might establish the controlled component or components 
as the principal element of the goods being procured. 

2. 

The goods specified in this Annex include both new and used goods. 

General Technology Note (GTN) 

(To be read in conjunction with Section B) 

1. 

2. 

The  sale,  supply,  transfer  or  export  of  ”technology”  which  is  “required”  for  the 
“development”, “production” or “use” of goods the sale, supply, transfer or export of 
which  is  controlled  in  Part  A  (Goods)  below,  is  controlled  in  accordance  with  the 
provisions of Section B. 

The “technology” “required” for the “development”, “production” or “use” of goods 
under  control  remains  under  control  even  when  it  is  applicable  to  non-controlled 
goods. 

EN 

36 

   EN 

4. 

5. 

Controls do not apply to that “technology” which is the minimum necessary for the 
installation, operation, maintenance (checking) and repair of those goods which are 
not  controlled  or  the  export  of  which  has  been  authorised  in  accordance  with  This 
Regulation. 

Controls  on  “technology”  transfer  do  not  apply  to  information  “in  the  public 
domain”, to “basic scientific research” or to the minimum necessary information for 
patent applications. 

EN 

37 

   EN 

I.C.A. GOODS 

(Materials and chemicals) 

No 

Description 

Related item 
from Annex I 
to Regulation 
(EC) No 428/
2009 

I.C.A.001  Chemicals at 95 % concentration or greater, as follows: 

1. Ethylene dichloride, (CAS 107-06-2) 

I.C.A.002  Chemicals at 95 % concentration or greater, as follows: 

1. Nitromethane, (CAS 75-52-5) 

2. Picric acid, (CAS 88-89-1) 

I.C.A.003  Chemicals at 95 % concentration or greater, as follows: 

1. Aluminum chloride, (CAS 7446-70-0) 

2. Arsenic, (CAS 7440-38-2)  

3. Arsenic trioxide, (CAS 1327-53-3) 

4. Bis(2-chloroethyl)ethylamine hydrochloride, (CAS 3590-07-
6)  

5.  Bis(2-chloroethyl)methylamine  hydrochloride,  (CAS  55-86-
7) 

6. Tris(2-chloroethyl)amine hydrochloride, (CAS 817-09-4) 

I.C.B. TECHNOLOGY 

B.001 

’Technology’ required for the “development”, 
“production” or “use” of the items in Part A. (Goods) 
above. 
Technical Note: 
The term 'technology' includes software.” 

EN 

38 

   EN 

 
 
 
 
 
 
 
 
 
ANNEX II 

“ANNEX IX 

1. 

2. 

3. 

4. 

1. 

Equipment, goods or technology referred to in Article 2a 

Introductory Notes 

Unless  otherwise  stated,  reference  numbers  used  in  the  column  below  entitled 
'Description'  refer  to  the  descriptions  of  dual  use  items  and  technology  set  out  in 
Annex I to Regulation (EC) No 428/2009. 

A  reference  number  in  the  column  below  entitled  'Related  item  from  Annex  I  to 
Regulation (EC) No 428/2009' means that the characteristics of the item described in 
the  'Description'  column  lie  outside  the  parameters  set  out  in  the  description  of  the 
dual use entry referred to. 

Definitions of terms between 'single quotation marks' are given in a technical note to 
the relevant item. 

Definitions of terms between "double quotation marks" can be found in Annex I to 
Regulation (EC) No 428/2009. 

General Notes 

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  is/are  the 
principal  element  of  the  goods  and  can  feasibly  be  removed  or  used  for  other 
purposes. 

N.B.: In  judging  whether  the  controlled  component  or  components  is/are  to  be 
considered  the  principal  element,  it  is  necessary  to  weigh  the  factors  of 
quantity,  value  and  technological  know-how  involved  and  other  special 
circumstances which might establish the controlled component or components 
as the principal element of the goods being procured. 

2. 

The goods specified in this Annex include both new and used goods. 

General Technology Note (GTN) 

(To be read in conjunction with Section B) 

1. 

2. 

The  sale,  supply,  transfer  or  export  of  ”technology”  which  is  “required”  for  the 
“development”, “production” or “use” of goods the sale, supply, transfer or export of 
which  is  controlled  in  Part  A  (Goods)  below,  is  controlled  in  accordance  with  the 
provisions of Section B. 

The “technology” “required” for the “development”, “production” or “use” of goods 
under  control  remains  under  control  even  when  it  is  applicable  to  non-controlled 
goods. 

EN 

39 

   EN 

3. 

4. 

Controls do not apply to that “technology” which is the minimum necessary for the 
installation, operation, maintenance (checking) and repair of those goods which are 
not  controlled  or  the  export  of  which  has  been  authorised  in  accordance  with  This 
Regulation. 

Controls  on  “technology”  transfer  do  not  apply  to  information  “in  the  public 
domain”, to “basic scientific research” or to the minimum necessary information for 
patent applications. 

IX.A. GOODS 

EN 

40 

   EN 

IX.A1. Materials, chemicals, 'micro-organisms' and 'toxins' 

No 

Description 

IX.A1.001  Chemicals at 95 % concentration or greater, as follows: 

Related item 
from Annex I 
to Regulation 
(EC) No 428/
2009 

Tributylphosphite, (CAS 102-85-2)  

Isocyanatomethane, (CAS 624-83-9) 

Quinaldine, (CAS 91-63-4) 

2-bromochloroethane, (CAS 107-04-0) 

IX.A1.002  Chemicals at 95 % concentration or greater, as follows: 

Benzil, (CAS 134-81-6) 

Diethylamine, (CAS 109-89-7) 

Diethyl ether, (CAS 60-29-7) 

Dimethyl ether, (CAS 115-10-6) 

Dimethylaminoethanol, (CAS 108-01-0) 

IX.A1.003  Chemicals at 95 % concentration or greater, as follows: 

2-methoxyethanol, (CAS 109-86-4) 

Butyrylcholinesterase (BCHE) 

Diethylenetriamine, (CAS 111-40-0) 

Dichloromethane, (CAS 75-09-3) 

Dimethylanaline, (CAS 121-69-7) 

Ethyl bromide, (CAS 74-96-4) 

Ethyl chloride, (CAS 75-00-3) 

Ethylamine, (CAS 75-04-7) 

Hexamine, (CAS 100-97-0) 

Isopropyl bromide, (CAS 75-26-3) 

Isopropyl ether, (CAS 108-20-3) 

EN 

41 

   EN 

 
 
 
IX.A1. Materials, chemicals, 'micro-organisms' and 'toxins' 

No 

Description 

Related item 
from Annex I 
to Regulation 
(EC) No 428/
2009 

Methylamine, (CAS 74-89-5) 

Methyl bromide, (CAS 74-83-9) 

Monoisopropylamine, (CAS 75-31-0) 

Obidoxime chloride, (CAS 114-90-9) 

Potassium bromide, (CAS 7758-02-3) 

Pyridine, (CAS 110-86-1) 

Pyridostigmine bromide, (CAS 101-26-8) 

Sodium bromide, (CAS 7647-15-6) 

Sodium metal, (CAS 7440-23-5) 

Tributylamine, (CAS 102-82-9) 

Triethylamine, (CAS 121-44-8) 

Trimethylamine, (CAS 75-50-3) 

EN 

42 

   EN 

 
IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

IX.A2.001 

Floor-mounted  fume  hoods  (walk-in-style)  with  a  minimum 
nominal width of 2.5 meters. 

IX.A2.002 

Full  face-mask  air-purifying  and  air-supplying  respirators  other 
than those specified in 1A004 or 2B352f1 

1A004.a 

IX.A2.003  Class  II  biological  safety  cabinets  or  isolators  with  similar 

2B352.f.2 

performance standards. 

IX.A2.004  Batch centrifuges with a rotor capacity of 4 L or greater, usable 

with biological materials. 

IX.A2.005 

Fermenters capable of cultivation of pathogenic “micro-
organisms”, viruses or for toxin production, without the 
propagation of aerosols, having a capacity of 5 L or more but 
less than 20 L.  

2B352.b 

Technical Note: 

Fermenters include bioreactors, chemostats and 
continuous-flow systems. 

IX.A2.007  Conventional  or  turbulent  air-flow  clean-air  rooms  and  self 
contained  fan-HEPA  or  ULPA  filter  units  that  may  be  used  for 
P3 or P4 (BSL 3, BSL 4, L3, L4) containments facilities. 

2B352.a 

IX.A2.008  Chemical  manufacturing  facilities,  equipment  and  components, 
other than those specified in 2B350 or A2.009 in Annex Ia and 
Annex Ib as follows: 

a.  Reaction  vessels  or  reactors,  with  or  without  agitators, 
with  total  internal  (geometric)  volume  greater  than  0,1  m3 
(100  litres)  and  less  than  20  m3  (20 000 litres),  where  all 
surfaces  that  come  in  direct  contact  with  the  fluid(s)  being 
processed  or  contained  are  made  from  the  following 
materials:  

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon; 

2B350.a-e 

2B350.g 

2B350.i 

EN 

43 

   EN 

 
 
 
 
IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

b.  Agitators  for  use  in  reaction  vessels  or  reactors  specified 
in  2B350.a.;  where  all  surfaces  that  come  in  direct  contact 
with the fluid(s) being processed or contained are made from 
the following materials:  

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon; 

c. Storage tanks, containers or receivers with a total internal 
(geometric) volume greater than 0,1 m3 (100 litres) where all 
surfaces  that  come  in  direct  contact  with  the  fluid(s)  being 
processed  or  contained  are  made  from  the  following 
materials:  

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon; 

d.  Heat  exchangers  or  condensers  with  a  heat  transfer 
surface  area  greater  than  0.05  m²,  and  less  than  30  m²; 
and  tubes,  plates,  coils  or  blocks  (cores)  designed  for 
such  heat  exchangers  or  condensers,  where  all  surfaces 
that  come  in  direct  contact  with  the  fluid(s)  being 
processed are made from the following materials: 

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon; 

Technical Note:  

The  materials  used  for  gaskets  and  seals  and  other 
implementation of sealing functions do not determine the 
control status of the heat exchanger. 

e.  Distillation  or  absorption  columns  of  internal  diameter 
greater than 0.1 m; where all surfaces that come in direct 
contact with the fluid(s) being processed are made from 

EN 

44 

   EN 

 
 
 
 
 
 
IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

the following materials: 

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon; 

f.  Valves  with  'nominal  sizes'  greater  than  10  mm  and 
casings (valve bodies) designed for such valves where all 
surfaces  that  come  in  direct  contact  with  the  fluid(s) 
being  processed  or  contained  are  made  from  the 
following materials: 

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 

chromium and less than or equal to 1.2% carbon; 

Technical Note:  

1.  The  materials  used  for  gaskets  and  seals  and  other 
implementation of sealing functions do not determine the 
control status of the valve. 

2.  The  'nominal  size'  is  defined  as  the  smaller  of  the  inlet 

and outlet diameters. 

g.  Multiple-seal  and  seal-less  pumps,  with  manufacturer's 
specified  maximum  flow-rate  greater  than  0,6  m3/hour, 
in which all surfaces that come in direct contact with the 
chemical(s) being processed are any of the following: 

1.  Stainless  steels  with  more  than  or  equal  to  10.5  % 
chromium and less than or equal to 1.2% carbon. 

h. Vacuum pumps with a manufacturer’s specified 

maximum flow-rate greater than 1 m3/h (under standard 
temperature (273 K (0oC)) and pressure (101,3 kPa) 
conditions), and casings (pump bodies) and preformed 
casing-liners, impellers, rotors and jet pump nozzles 
designed for such pumps, in which all surfaces that come 
into direct contact with the chemicals being processed 
are made from any of the following materials: 

1. 

'Alloys' with more than 25 % nickel and 20 % 

EN 

45 

   EN 

 
 
 
IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

chromium by weight; 

2.  Ceramics; 

3.  ‘Ferrosilicon’; 

4.  Fluoropolymers (polymeric or elastomeric 
materials with more than 35 % fluorine by 
weight); 

5.  Glass (including vitrified or enamelled coatings 

or glass lining); 

6.  Graphite or 'carbon graphite'; 

7.  Nickel or 'alloys' with more than 40 % nickel by 

weight; 

8. Stainless steel with 20 % nickel and 19 % 

chromium or more by weight; 

9.  Tantalum or tantalum 'alloys'; 

10. Titanium or titanium 'alloys'; 

11. Zirconium or zirconium 'alloys'; or 

12. Niobium (columbium) or niobium 'alloys'; 

Technical Notes:  

1. The materials used for diaphragms or gaskets and 

seals and other implementation of sealing 
functions do not determine the status of control of 
the pump, 

2. „Carbon graphite“ is a composition consisting of 
amorphous carbon and graphite, in which the 
graphite content is 8 % or more by weight, 

3. Ferrosilicons are silicon iron alloys with more than 

8 % silicon by weight or more. 

For the listed materials in the above entries, the term 'alloy' 
when  not  accompanied  by  a  specific  elemental 
concentration  is  understood  as  identifying  those  alloys 
where  the  identified  metal  is  present  in  a  higher 
percentage by weight than any other element. 

EN 

46 

   EN 

IX.A2. Materials Processing 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Chemical  manufacturing 

and 
components, other than specified in 2B350 or A2.008 as 
follows: 

equipment 

facilities, 

No 

IX.A2.
009 

Reaction vessels or reactors, with or without agitators, 

with a total internal (geometric) volume greater 

than 0.1 m³ (100 litres) and less than 20 m³ (20 

000 litres) where all surfaces that come in direct 

contact with the fluid(s) being processed or 

contained are made from the following materials:  

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight;  

Agitators for use in reaction vessels or reactors 

specified in a) where all surfaces that come in 

direct contact with the fluid(s) being processed or 

contained are made from the following materials:  

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight; 

Storage tanks, containers or receivers with a total 

internal (geometric) volume greater than 0.1 m³ 

(100 litres) where all surfaces that come in direct 

contact with the fluid(s) being processed or 

contained are made from the following materials:  

EN 

47 

   EN 

 
 
 
 
IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight; 

Heat exchangers or condensers with a heat transfer 

surface area greater than 0.05 m², and less than 30 

m²; and tubes, plates, coils or blocks (cores) 

designed for such heat exchangers or condensers, 

where all surfaces that come in direct contact with 

the fluid(s) being processed are made from the 

following materials:  

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight; 

Technical Note:  

The  materials  used  for  gaskets  and  seals  and  other 
implementation of sealing functions do not determine the 
control status of the heat exchanger. 

Destillation or absorption columns of internal diameter 

greater than 0.1 m; and liquid distributors, vapor 

distributors or liquid collectors, in which all 

surfaces that come in direct contact with the 

chemical(s) being processed are any of the 

following: 

Stainless steel with 20 % nickel and 19 % chromium or 

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IX.A2. Materials Processing 

No 

Description 

more by weight 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Valves having a nominal diameter of 10 mm or more, 

and casings (valve bodies), balls or plugs designed 

for such valves, in which all surfaces that come in 

direct contact with the chemical(s) being 

processed or contained are any of the following: 

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight, 

Technical note:  

The 'nominal size' is defined as the smaller of the inlet 
and outlet port diameters. 

Multiple-seal and seal-less pumps with manufacturer's 

specified maximum flow-rate greater than 0.6 

m³/hour (measured under standard temperature 

(273 K or 0 °C) and pressure (101,3 kPa) 

conditions); and casings (pump bodies), 

preformed casing liners, impellers, rotors or jet 

pump nozzles designed for such pumps, in which 

all surfaces that come in direct contact with the 

chemical(s) being processed are any of the 

following materials: 

Ceramics; 

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IX.A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Ferrosilicon (silicon iron alloys with more than 8 % 

silicon by weight or more) 

Stainless steel with 20 % nickel and 19 % chromium or 

more by weight; 

Technical Notes:  

The materials used for diaphragms or gaskets and seals 

and other implementation of sealing functions do 

not determine the control status of the pump. 

Technical Note: 

For the listed materials in the above entries, the term 'alloy' 
when  not  accompanied  by  a  specific  elemental 
concentration  is  understood  as  identifying  those  alloys 
where  the  identified  metal  is  present  in  a  higher 
percentage by weight than any other element. 

B. TECHNOLOGY 

No 

Description 

Related item from 
Annex I to 
Regulation 
(EC) No 428/2009 

IX.B.001 

required 

’Technology’ 
“development”, 
“production” or “use”  of the items in Part A.  (Goods) 
above. 

the 

for 

Technical Note: 

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The term 'technology' includes software. 

”

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ANNEX III 

“ANNEX X 

Luxury goods referred to in Article 11b 

1. Pure-bred horses  

CN Codes: 0101 21 00 

2.  Caviar  and  caviar  substitutes;  in  the  case  of  caviar  substitutes,  if  the  sales  prices 
exceeds 20 € per 100 grams  

CN Codes: ex1604 31 00, ex 1604 32 00 

3. Truffles  

CN Codes: 2003 90 10 

4.  Wines  (including  sparkling  wines)  exceeding  a  sales  price  of  30  €  per  litre,  spirits 
exceeding and spirituous beverages exceeding a sales price of 50 € per litre 

CN Codes: ex 2204 21 to ex 2204 29 

5. Cigars and cigarillos exceeding a sales price of 10 € each cigar or cigarillo 

CN Codes: ex 2402 10 00 

6.  Perfumes,  toilet  waters  and  cosmetics,  including  beauty  and  make-up  products 
exceeding a sales price of 50 € each 

CN Codes: ex 3303 00 10, ex 3303 00 90, ex 3304, ex 3307, ex 3401 

7.  Leather,  saddlery  and  travel  goods,  handbags  and  similar  articles  exceeding  a  sales 
price of 200 € each  

CNCodes: ex 4201 00 00, ex 4202, ex 4205 00 90  

8.  Garments,  clothing  accessories  and  shoes  (regardless  of  their  material)  articles 
exceeding a sales price of 600 € per item 

CN Codes: ex 4203, ex 4303, ex 61, ex 62, ex 6401, ex 6402, ex 6403, ex 6404, ex 6405, ex 
6504, ex 6605 00, ex 6506 99, ex 6601 91 00, ex 6601 99, ex 6602 00 00 

9.  Pearls,  precious  and  semi-precious  stones,  articles  of  pearls,  jewellery,  gold  or 
silversmith articles  

CN Codes: 7101, 7102, 7103, 7104 20, 7104 90, 7105, 7106, 7107, 7108, 7109, 7110, 7111, 
7113, 7114, 7115, 7116  

10. Coins and banknotes, not being legal tender 

CN Codes: ex 4907 00, 7118 10, ex 7118 90 

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11. Cutlery of precious metal or plated or clad with precious metal  

CN Codes: ex 7114, ex 7115, ex 8214, ex 8215, ex 9307 

12.  Tableware  of  porcelain,  china,  stone-  or  earthenware  or  fine  pottery  exceeding  a 
sales price of 500 € each 

CN Codes: ex 6911 10 00, ex 6912 00 30, ex 6912 00 50 

13. Lead crystal glassware exceeding a sales price of 200 € each 

CN Codes:  ex 7009 91 00,  ex 7009 92 00, ex 7010, ex 7013 22, ex 7013 33, ex 7013 41, ex 
7013 91, ex 7018 10, ex 7018 90, ex 7020 00 80, ex 9405 10 50, ex 9405 20 50, ex 9405 50, ex 
9405 91 

14. Electrical/electronic or optical apparatus for recording and reproducing sound and 
images exceeding a sales price of 1000 € per item 

CN  Codes:  ex  8519,  ex  8521,  ex  8525 80 30,  ex  8525 80 91,  ex  8525 80 99,  ex  8527 13,  ex 
8527 21, ex 8527 91, ex 8528 71, ex 8528 72, ex 9006, ex 9007 

15.  Luxury  vehicles  for  the  transport  of  persons  on  earth,  air  or  sea,  as  well  as  their 
accessories and spare parts; in the case of new vehicles, if the sales prices exceeds 25.000 
€; in the case of used vehicles, if the  sales price exceeds 15.000 €. This prohibition does 
not apply to vehicles for the use of UN and EU diplomatic and consular personnel posted 
in Syria 

CN  Codes:  ex  4011 10 00,  ex  4011 20,  ex  4011 30 00,  ex  4011 40,  ex  4011 50 00,  ex 
4011 69 00, ex 4011 99 00, ex 7009 10 00, ex 8407, ex 8408, ex 8409, ex 8411, ex 8483, ex 
8511, ex 8512 20, ex 8512 30 10, ex 8512 40 00, ex 8526 91, ex 8527, ex 8544 30 00, ex 8603, 
ex 8605 00 00, ex 8607, ex 8702, ex 8703, ex 8706, ex 8707, ex 8708, ex 8711, ex 8712 00, ex 
8714,  ex  8716 10,  ex  8716 40 00,  ex  8716 80 00,  ex  8716 90,  ex  8801 00,  ex  8802 11 00,  ex 
8802 12 00,  ex  8802 20 00,  ex  8802 30 00,  ex  8802 40 00,  ex  8803 10 00,  ex  8803 20 00,  ex 
8803 30 00, ex 8803 90 10, ex 8803 90 90, ex 8805 10, ex 8901 10, ex 8903 

16.  Clocks  and  watches  and  their  parts  if  the  individual  item  exceeds  a  sales  price  of 
500 € 

CN Codes: ex 9101,  

ex 9102, ex 9103, ex 9104, ex 9105, ex 9108, ex 9109, ex 9110, ex 9111, ex 9112, ex 9113, ex 
9114 

17. Works of art, collectors' pieces and antiques  

CN Codes: 97 

18.  Articles  and  equipment  for  skiing,  golf,  diving  and  water  sports,  if  the  individual 
item exceeds a sales price of 500 € 

CN Codes: ex 4015 19 00, ex 4015 90 00, ex 6112 20 00, ex 6112 31, ex 6112 39, ex 6112 41, 
ex 6112 49, ex 6113 00, ex 6114, ex 6210 20 00, ex 6210 30 00, ex 6210 40 00, ex 6210 50 00, 
ex  6211 11 00,  ex  6211 12 00,  ex  6211 20,  ex  6211 32 90,  ex  6211 33 90,  ex  6211 39 00,  ex 

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6211 42 90,  ex  6211 43 90,  ex  6211 49 00,  ex  6402 12,  ex  6403 12 00,  ex  6404 11 00,  ex 
6404 19 90,  ex  9004 90, ex  9020,  ex 9506 11,  ex 9506 12,  ex 9506 19 00,  ex  9506 21 00,  ex 
9506 29 00, ex 9506 31 00, ex 9506 32 00, ex 9506 39, ex 9507 

19.  Articles  and  equipment  for  billiard,  automatic  bowling,  casino  games  and  games 
operated by coins or banknotes, if the individual item exceeds a sales price of 500 € 

CN Codes: ex 9504 20, ex 9504 30, ex 9504 40 00, ex 9504 90 80 ” 

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