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EN
Official Journal of the European Union
8.12.2011
REGULATION (EU) No 1232/2011 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 16 November 2011
amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of
exports, transfer, brokering and transit of dual-use items
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
2009. However, the relevant provisions of Regulation
EUROPEAN UNION,
(EC) No 1334/2000 continue to apply for export auth
orisation applications made before that date.
Having regard to the Treaty on the Functioning of the European
Union, and in particular Article 207(2) thereof,
(5) In
order
to
create
new
Union
General
Export
Authori
sations for the export of certain specific dual-use items to
Having regard to the proposal from the European Commission,
certain specific destinations, the relevant provisions of
Regulation (EC) No 428/2009 need to be amended by
adding new Annexes thereto.
Acting in accordance with the ordinary legislative procedure ( 1 ),
(6) The
competent
authorities
of
the
Member
State
where
Whereas:
the exporter is established should be provided with the
possibility of prohibiting the use of the Union General
Export Authorisations under the conditions set out in
(1) Council
Regulation
(EC)
No
428/2009
of
5
May
2009
Regulation (EC) No 428/2009 as amended by this Regu
setting up a Community regime for the control of
lation.
exports, transfer, brokering and transit of dual-use
items ( 2 ) requires dual-use items (including software and
technology) to be subject to effective control when they
are exported from or transit through the Union, or are
(7)
Since the entry into force of the Treaty of Lisbon, arms
delivered to a third country as a result of brokering
embargoes under the Union’s common foreign and
services provided by a broker resident or established in
security policy are adopted by Council decisions.
the Union.
Pursuant to Article 9 of the Protocol (No 36) on transi
tional provisions, the legal effects of common positions
adopted by the Council under Title V of the Treaty on
European Union prior to the entry into force of the
(2) It
is
desirable
to
achieve
uniform
and
consistent
appli
cation of controls throughout the Union in order to
Treaty of Lisbon are to be preserved until they are
avoid unfair competition among Union exporters,
repealed, annulled or amended in implementation of
harmonise the scope of Union General Export Authori
the Treaties.
sations and conditions of their use among Union
exporters and ensure efficiency and effectiveness of the
security controls in the Union.
(8) Regulation
(EC)
No
428/2009
should
therefore
be
amended accordingly,
(3) In
its
communication
of
18
December
2006,
the
Commission put forward the idea of the creation of
new Union General Export Authorisations in a bid to
HAVE ADOPTED THIS REGULATION:
enhance the industry’s competitiveness and establish a
level playing field for all Union exporters when they
export certain specific dual-use items to certain specific
destinations while at the same time ensuring a high level
Article 1
of security and full compliance with international obli
gations.
Regulation (EC) No 428/2009 is hereby amended as follows:
(4) Regulation
(EC)
No
428/2009
repealed
Council
Regu
lation (EC) No 1334/2000 of 22 June 2000 setting up
(1) in Article 2, point 9 is replaced by the following:
a Community regime for the control of exports of dual-
use items and technology ( 3 ) with effect from 27 August
‘9. “Union General Export Authorisation” shall mean an
( 1 ) Position of the European Parliament of 27 September 2011 (not yet
export authorisation for exports to certain countries
published in the Official Journal) and Council decision of
of destination available to all exporters who respect its
27 October 2011.
( 2 ) OJ L 134, 29.5.2009, p. 1.
conditions and requirements for use as listed in
( 3 ) OJ L 159, 30.6.2000, p. 1.
Annexes IIa to IIf.’;

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(2) in Article 4(2), the words ‘decided by a common position
(7) Article 19 is amended as follows:
or a joint action’ are replaced by the words ‘imposed by a
decision or a common position’;
(a) in paragraph 2(a), the words ‘Community General
Export Authorisations’ are replaced by the words
‘Union General Export Authorisations’;
(3) Article 9 is amended as follows:
(b) paragraph 4 is replaced by the following:
(a) paragraph 1 is replaced by the following:
‘4. A
secure
and
encrypted
system
for
the
exchange
of information between Member States and, whenever
appropriate, the Commission shall be set up by the
‘1. Union
General
Export
Authorisations
for
certain
Commission, in consultation with the Dual-Use Coor
exports as set out in Annexes IIa to IIf are established
dination Group set up pursuant to Article 23. The
by this Regulation.
European Parliament shall be informed about the
system’s budget, development, provisional and final
set-up and functioning, and network costs.’;
The competent authorities of the Member State where
the exporter is established can prohibit the exporter
(8) in Article 23, the following paragraph is added:
from using these authorisations if there is reasonable
suspicion about his ability to comply with such auth
orisation or with a provision of the export control
‘3. The
Commission
shall
submit
an
annual
report
to
legislation.
the European Parliament on the activities, examinations
and consultations of the Dual-Use Coordination Group,
which shall be subject to Article 4 of Regulation (EC)
No 1049/2001 of the European Parliament and of the
The competent authorities of the Member States shall
Council of 30 May 2001 regarding public access to
exchange information on exporters deprived of the
European Parliament, Council and Commission
right to use a Union General Export Authorisation,
documents (*).
unless they determine that the exporter will not
attempt to export dual-use items through another
___________
Member State. The system referred to in
(*) OJ L 145, 31.5.2001, p. 43.’;
Article 19(4) shall be used for this purpose.’;
(9) Article 25 is replaced by the following:
(b) in paragraph 4, point (a) is replaced by the following:
‘Article 25
‘(a) exclude from their scope items listed in
1. Each
Member
State
shall
inform
the
Commission
of
Annex IIg’;
the laws, regulations and administrative provisions adopted
in implementation of this Regulation, including the
measures referred to in Article 24. The Commission
shall forward the information to the other Member States.
(c) in paragraph 4(c), the words ‘decided by a common
position or joint action’ are replaced by the words
‘imposed by a decision or a common position’;
2. Every
3
years
the
Commission
shall
review
the
implementation of this Regulation and present a compre
hensive implementation and impact assessment report to
(4) in the first sentence of Article 11(1), the reference to
the European Parliament and the Council, which may
‘Annex II’ is replaced by a reference to ‘Annex IIa’;
include proposals for its amendment. Member States
shall provide to the Commission all appropriate
information for the preparation of the report.
(5) in Article 12(1)(b), the words ‘a common position or joint
action’ are replaced by the words ‘a decision or a common
3. Special
sections
of
the
report
shall
deal
with:
position’;
(a) the Dual-Use Coordination Group and its activities.
Information that the Commission provides on the
(6) in Article 13, paragraph 6 is replaced by the following:
Dual-Use Coordination Group’s examinations and
consultations shall be treated as confidential pursuant
to Article 4 of Regulation (EC) No
1049/2001.
Information shall in any case be considered to be
‘6. All
notifications
required
pursuant
to
this
Article
confidential if its disclosure is likely to have a
shall be made via secure electronic means including the
significantly adverse effect upon the supplier or the
system referred to in Article 19(4).’;
source of such information;

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(b) the implementation of Article 19(4), and shall report
‘UNION GENERAL EXPORT AUTHORISATION NO EU001
on the stage reached in the set-up of the secure and
encrypted system for the exchange of information
(referred to in Article 9(1) of this Regulation)
between Member States and the Commission;
Exports to Australia, Canada, Japan, New Zealand,
Norway, Switzerland, including Liechtenstein, and
(c) the implementation of Article 15(1);
United States of America
Issuing authority: European Union’;
(d) the implementation of Article 15(2);
(b) Part 1 is replaced by the following:
(e) comprehensive information provided on the measures
taken by the Member States pursuant to Article 24 and
‘Part 1
notified to the Commission under paragraph 1 of this
Article.
This general export authorisation covers all dual-use
items specified in any entry in Annex I to this Regu
4. No
later
than
31
December
2013,
the
Commission
lation, except those listed in Annex IIg.’;
shall submit to the European Parliament and to the
Council a report evaluating the implementation of this
(c) Part 2 is deleted;
Regulation with a specific focus on the implementation
of Annex IIb, Union General Export Authorisation No
(d) Part 3 is renumbered as Part 2 and is amended as
EU002, accompanied by, if appropriate, a legislative
follows:
proposal to amend this Regulation, in particular as
regards the issue of low-value shipments.’;
(i) in the first paragraph, the word ‘Community’ is
(10) the following Article is inserted:
replaced by the word ‘Union’;
‘Article 25a
(ii) the word ‘Switzerland’ is replaced by the words
‘Switzerland, including Liechtenstein’;
Without prejudice to the provisions on mutual adminis
trative assistance agreements or protocols in customs
matters concluded between the Union and third countries,
(iii) the words ‘the Community General Export Auth
the Council may authorise the Commission to negotiate
orisation’ and ‘this Community General Export
with third countries agreements providing for the mutual
Authorisation’ are replaced by the words ‘this
recognition of export controls of dual-use items covered
authorisation’;
by this Regulation and in particular to eliminate authori
sation requirements for re-exports within the territory of
(iv) the words ‘decided by a common position or joint
the Union. These negotiations shall be conducted in
action’ are replaced by the words ‘imposed by a
accordance with the procedures established in
decision or a common position’;
Article 207(3) of the Treaty on the Functioning of the
European Union and the Treaty establishing the
(12) Annexes IIb to IIg, as set out in the Annex to this Regu
European Atomic Energy Community, as appropriate.’;
lation, are inserted.
(11) Annex II is renumbered as Annex IIa and is amended as
follows:
Article 2
This Regulation shall enter into force on the 30th day following
(a) the title is replaced by the following:
its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 16 November 2011.
For the European Parliament
For the Council
The President
The President
J. BUZEK
W. SZCZUKA

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ANNEX
‘ANNEX IIb
UNION GENERAL EXPORT AUTHORISATION No EU002
(referred to in Article 9(1) of this Regulation)
Exports of certain dual-use items to certain destinations
Issuing authority: European Union
Part 1 – Items
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
— 1A001,
— 1A003,
— 1A004,
— 1C003b-c,
— 1C004,
— 1C005,
— 1C006,
— 1C008,
— 1C009,
— 2B008,
— 3A001a3,
— 3A001a6-12,
— 3A002c-f,
— 3C001,
— 3C002,
— 3C003,
— 3C004,
— 3C005,
— 3C006.
Part 2 – Destinations
This authorisation is valid throughout the Union for exports to the following destinations:
— Argentina,
— Croatia,
— Iceland,
— South Africa,
— South Korea,
— Turkey.

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Part 3 – Conditions and requirements for use
1. This authorisation does not authorise the export of items where:
(1) the exporter has been informed by the competent authorities of the Member State in which he is established as
defined in Article 9(6) of this Regulation 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, operation, maintenance, storage, detection,
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;
(b) for a military end-use as defined in Article 4(2) of this Regulation in a country subject to an arms embargo
imposed by a decision or a common position adopted by the Council or a decision of the Organisation for
Security and Cooperation in Europe or an arms embargo imposed by a binding resolution of the Security
Council of the United Nations; or
(c) 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;
(2) the exporter, under his obligation to exercise due diligence, 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);
(3) 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. Exporters must mention the EU reference number X002 and specify that the items are being exported under Union
General Export Authorisation EU002 in box 44 of the Single Administrative Document.
3. Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is
established of the first use of this authorisation no later than 30 days after the date when the first export took place
or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the
exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the
notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in
the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State
from which the export is made might require on items exported under this authorisation are defined by Member
States.
A Member State may require the exporters established in that Member State to register prior to the first use of this
authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without
delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third paragraphs shall be based on those defined for the
use of national general export authorisations granted by those Member States which provide for such authorisations.

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ANNEX IIc
UNION GENERAL EXPORT AUTHORISATION No EU003
(referred to in Article 9(1) of this Regulation)
Export after repair/replacement
Issuing authority: European Union
Part 1 — Items
1. This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation except
those listed in paragraph 2 where:
(a) the items were reimported into the customs territory of the European Union for the purpose of maintenance,
repair or replacement, and are exported or re-exported to the country of consignment without any changes to
their original characteristics within a period of 5 years after the date when the original export authorisation has
been granted; or
(b) the items are exported to the country of consignment in exchange for items of the same quality and number
which were reimported into the customs territory of the European Union for maintenance, repair or replacement
within a period of 5 years after the date when the original export authorisation has been granted.
2. Items excluded:
(a) all items listed in Annex IIg;
(b) all items in Sections D and E set out in Annex I to this Regulation;
(c) the following items specified in Annex I to this Regulation:
— 1A002a,
— 1C012a,
— 1C227,
— 1C228,
— 1C229,
— 1C230,
— 1C231,
— 1C236,
— 1C237,
— 1C240,
— 1C350,
— 1C450,
— 5A001b5,
— 5A002a2 to 5A002a9,
— 5B002 Equipment as follows:
a. equipment specially designed for the “development” or “production” of equipment specified by 5A002a2 to
5A002a9;

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b. measuring equipment specially designed to evaluate and validate the “information security” functions of
equipment specified by 5A002a2 to 5A002a9,
— 6A001a2a1,
— 6A001a2a5,
— 6A002a1c,
— 6A008l3,
— 8A001b,
— 8A001d,
— 9A011.
Part 2 — Destinations
This authorisation is valid throughout the Union for exports to the following destinations:
Albania
Mexico
Argentina
Montenegro
Bosnia and Herzegovina
Morocco
Brazil
Russia
Chile
Serbia
China (including Hong Kong and Macao)
Singapore
Croatia
South Africa
former Yugoslav Republic of Macedonia, the
South Korea
French Overseas Territories
Tunisia
Iceland
Turkey
India
Ukraine
Kazakhstan
United Arab Emirates
Part 3 — Conditions and requirements for use
1. This authorisation can only be used when the initial export has taken place under a Union General Export Auth
orisation 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 reimported into the
customs territory of the European Union for the purposes of maintenance, repair or replacement. This authorisation is
valid only for exports to the original end-user.
2. This authorisation does not authorise the export of items where:
(1) the exporter has been informed by the competent authorities of the Member State in which he is established as
defined in Article 9(6) of this Regulation 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, operation, maintenance, storage, detection,
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;
(b) for a military end-use as defined in Article 4(2) of this Regulation where the purchasing country or country of
destination is subject to an arms embargo imposed by a decision or a common position adopted by the
Council or a decision of the Organisation for Security and Cooperation in Europe or an arms embargo
imposed by a binding resolution of the Security Council of the United Nations; or

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(c) 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) 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);
(3) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination
covered by this authorisation;
(4) the initial authorisation has been annulled, suspended, modified or revoked;
(5) the exporter, under his obligation to exercise due diligence, is aware that the end-use of the items in question is
different from that specified in the original export authorisation.
3. On exportation of any of the items pursuant to this authorisation, exporters must:
(1) mention the reference number of the initial export authorisation in the export declaration to customs together
with the name of the Member State that granted the authorisation, the EU reference number X002 and specify that
the items are being exported under Union General Export Authorisation EU003 in box 44 of the Single Adminis
trative Document;
(2) provide customs officers, if so requested, with documentary evidence of the date of importation of the items into
the Union, of any maintenance, repair or replacement of the items carried out in the Union and of the fact that
the items are being returned to the end-user and the country from which they were imported into the Union.
4. Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is
established of the first use of this authorisation no later than 30 days after the date when the first export took place
or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the
exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the
notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in
the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State
from which the export is made might require on items exported under this authorisation are defined by Member
States.
A Member State may require the exporter established in that Member State to register prior to the first use of this
authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without
delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for
the use of national general export authorisations granted by those Member States which provide for such auth
orisations.
5. This authorisation covers items for “repair”, “replacement” and “maintenance”. This may involve coincidental
improvement on the original goods, e.g. resulting from the use of modern spare parts or from use of a later built
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.

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ANNEX IId
UNION GENERAL EXPORT AUTHORISATION No EU004
(referred to in Article 9(1) of this Regulation)
Temporary export for exhibition or fair
Issuing authority: European Union
Part 1 – Items
This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation except:
(a) all items listed in Annex IIg;
(b) all items in Section D set out in Annex I to this Regulation (this does not include software necessary to the proper
functioning of the equipment for the purpose of the demonstration);
(c) all items in Section E set out in Annex I to this Regulation;
(d) the following items specified in Annex I to this Regulation:
— 1A002a,
— 1C002.b.4,
— 1C010,
— 1C012.a,
— 1C227,
— 1C228,
— 1C229,
— 1C230,
— 1C231,
— 1C236,
— 1C237,
— 1C240,
— 1C350,
— 1C450,
— 5A001b5,
— 5A002a2 to 5A002a9,
— 5B002 Equipment as follows:
a. equipment specially designed for the “development” or “production” of equipment specified by 5A002a2 to
5A002a9;
b. measuring equipment specially designed to evaluate and validate the “information security” functions of
equipment specified by 5A002a2 to 5A002a9,
— 6A001,
— 6A002a,
— 6A008l3,
— 8A001b,
— 8A001d,
— 9A011.

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Part 2 – Destinations
This authorisation is valid throughout the Union for exports to the following destinations:
Albania, Argentina, Bosnia and Herzegovina, Brazil, Chile, China (including Hong Kong and Macao), Croatia, the former
Yugoslav Republic of Macedonia, French Overseas Territories, Iceland, India, Kazakhstan, Mexico, Montenegro, Morocco,
Russia, Serbia, Singapore, South Africa, South Korea, Tunisia, Turkey, Ukraine, and United Arab Emirates.
Part 3 – Conditions and requirements for use
1. This authorisation authorises the export of items listed in Part 1 on condition that the export concerns temporary
export for exhibition or fair as defined in point 6 and that the items are reimported within a period of 120 days after
the initial export, complete and without modification, into the customs territory of the European Union.
2. The competent authority of the Member State where the exporter is established as defined in Article 9(6) of this
Regulation may, at the exporter’s request, waive the requirement that the items are to be reimported as stated in
paragraph 1. To waive the requirement, the procedure for individual authorisations laid down in Articles 9(2) and
14(1) of this Regulation shall apply accordingly.
3. This authorisation does not authorise the export of items where:
(1) 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, operation, maintenance, storage, detection,
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;
(b) for a military end-use as defined in Article 4(2) of this Regulation where the purchasing country or country
of destination is subject to an arms embargo imposed by a decision or a common position adopted by the
Council or a decision of the Organisation for Security and Cooperation in Europe or an arms embargo
imposed by a binding resolution of the Security Council of the United Nations; or
(c) 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) 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);
(3) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination
covered by this authorisation;
(4) the exporter has been informed by a competent authority of the Member State in which he is established, 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 national security classification marking, equivalent to
or above CONFIDENTIEL UE/EU CONFIDENTIAL;
(5) their return, in their original state, without the removal, copying or dissemination of any component or software,
cannot be guaranteed by the exporter, or where a transfer of technology is connected with a presentation;
(6) the relevant items are to be exported for a private presentation or demonstration (e.g. in in-house showrooms);
(7) the relevant items are to be merged into any production process;
(8) the relevant items are to be used for their intended purpose, except to the minimum extent required for effective
demonstration, but without making specific test outputs available to third parties;
(9) the export is to take place as a result of a commercial transaction, in particular as regards the sale, rental or lease
of the relevant items;

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(10) the relevant items are to be stored at an exhibition or fair only for the purpose of sale, rent or lease, without
being presented or demonstrated;
(11) the exporter makes any arrangement which would prevent him from keeping the relevant items under his control
during the whole period of the temporary export.
4. Exporters must mention the EU reference number X002 and specify that the items are being exported under Union
General Export Authorisation EU004 in box 44 of the Single Administrative Document.
5. Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is
established of the first use of this authorisation no later than 30 days after the date when the first export took place
or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the
exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the
notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in
the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State
from which the export is made might require on items exported under this authorisation are defined by Member
States.
A Member State may require exporters established in that Member State to register prior to the first use of this
authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without
delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for
the use of national general export authorisations granted by those Member States which provide for such auth
orisations.
6. For the purpose of this authorisation, “exhibition or fair” means commercial events of a specific duration at which
several exhibitors make demonstrations of their products to trade visitors or to the general public.

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ANNEX IIe
UNION GENERAL EXPORT AUTHORISATION NO EU005
(referred to in Article 9(1) of this Regulation)
Telecommunications
Issuing authority: European Union
Part 1 – Items
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
(a) the following items of Category 5, Part l:
(i) items, including specially designed or developed components and accessories therefore specified in 5A001b2 and
5A001c and d;
(ii) items specified in 5B001 and 5D001, where test, inspection and production equipment is concerned and software
for items mentioned under (i);
(b) technology controlled by 5E001a, where required for the installation, operation, maintenance or repair of items
specified under (a) and intended for the same end-user.
Part 2 – Destinations
This authorisation is valid throughout the Union for exports to the following destinations:
Argentina, China (including Hong Kong and Macao), Croatia, India, Russia, South Africa, South Korea, Turkey, and
Ukraine.
Part 3 – Conditions and requirements for use
1. This authorisation does not authorise the export of items where:
(1) the exporter has been informed by the competent authorities of the Member State in which he is established as
defined in Article 9(6) of this Regulation 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, operation, maintenance, storage, detection,
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;
(b) for a military end-use as defined in Article 4(2) of this Regulation where the purchasing country or country of
destination is subject to an arms embargo imposed by a decision or a common position adopted by the
Council or a decision of the Organisation for Security and Cooperation in Europe or an arms embargo
imposed by a binding resolution of the Security Council of the United Nations;
(c) 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; or
(d) for use in connection with a violation of human rights, democratic principles or freedom of speech as defined
by the Charter of Fundamental Rights of the European Union, by using interception technologies and digital
data transfer devices for monitoring mobile phones and text messages and targeted surveillance of Internet use
(e.g. via Monitoring Centres and Lawful Interception Gateways);
(2) the exporter, under his obligation to exercise due diligence, 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;

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(3) the exporter, under his obligation to exercise due diligence, is aware that the items in question will be re-exported
to any destination other than those listed in Part 2 of this Annex or in Part 2 of Annex IIa or to Member States;
(4) 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. Exporters must mention the EU reference number X002 and specify that the items are being exported under Union
General Export Authorisation EU005 in box 44 of the Single Administrative Document.
3. Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is
established of the first use of this authorisation no later than 30 days after the date when the first export took place
or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the
exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the
notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in
the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State
from which the export is made might require on items exported under this authorisation are defined by Member
States.
A Member State may require exporters established in that Member State to register prior to the first use of this
authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without
delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for
the use of national general export authorisations granted by those Member States which provide for such auth
orisations.

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ANNEX IIf
UNION GENERAL EXPORT AUTHORISATION No EU006
(referred to in Article 9(1) of this Regulation)
Chemicals
Part 1 – Items
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
1C350:
1. Thiodiglycol (111-48-8);
2. Phosphorus oxychloride (10025-87-3);
3. Dimethyl methylphosphonate (756-79-6);
5. Methylphosphonyl 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);
13. Quinuclidin-3-ol (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);
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);
30. Triethyl phosphite (122-52-1);

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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);
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 hydrogen fluoride or ammonium bifluoride (1341-49-7);
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 chloride 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);
62. Sodium hexafluorosilicate (16893-85-9);
63. Methylphosphonothioic dichloride (676-98-2).

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1C450 a:
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);
1C450 b:
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;
2. N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophos
phoryl dichloride which is specified in 1C350.57;
3. Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphora
midates, 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, other
than N,N-Diisopropyl-(beta)-aminoethyl chloride or 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;
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 thiol which is specified in 1C350;
8. Methyldiethanolamine (105-59-9).
Part 2 – Destinations
This authorisation is valid throughout the Union for exports to the following destinations:
Argentina, Croatia, Iceland, South Korea, Turkey, and Ukraine.
Part 3 – Conditions and requirements for use
1. This authorisation does not authorise the export of items where:
(1) the exporter has been informed by the competent authorities of the Member State in which he is established as
defined in Article 9(6) of this Regulation 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, operation, maintenance, storage, detection,
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;
(b) for a military end-use as defined in Article 4(2) of this Regulation where the purchasing country or country of
destination is subject to an arms embargo imposed by a decision or a common position adopted by the
Council or a decision of the Organisation for Security and Cooperation in Europe or an arms embargo
imposed by a binding resolution of the Security Council of the United Nations; or
(c) 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) the exporter, under his obligation to exercise due diligence, 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;

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(3) the exporter, under his obligation to exercise due diligence, is aware that the items in question will be re-exported
to any destination other than those listed in Part 2 of this Annex or in Part 2 of Annex IIa or to Member States; or
(4) 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. Exporters must mention the EU reference number X002 and specify that the items are being exported under Union
General Export Authorisation EU006 in box 44 of the Single Administrative Document.
3. Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is
established of the first use of this authorisation no later than 30 days after the date when the first export took place
or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the
exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the
notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in
the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State
from which the export is made might require on items exported under this authorisation are defined by Member
States.
A Member State may require exporters established in that Member State to register prior to the first use of this
authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without
delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for
the use of national general export authorisations granted by those Member States which provide for such auth
orisations.

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ANNEX IIg
(List referred to in Article 9(4)(a) of this Regulation and Annexes IIa, IIc and IId to this Regulation)
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 “…” of goods specified in
Category 0, in so far 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 “…” of
goods specified in Category 0, in so far 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,
— 1C450a.1. amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate (78-53-5) and corresponding alkylated or
protonated salts,
— 1C450a.2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-21-8),
— 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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STATEMENT BY THE COMMISSION
The Commission intends to review this Regulation no later than 31 December 2013, in particular as regards
assessing the possibility of introducing a General Export Authorisation on low-value shipments.
STATEMENT BY THE EUROPEAN PARLIAMENT, THE COUNCIL AND THE COMMISSION ON
LOW-VALUE SHIPMENTS
This Regulation does not affect the National General Export Authorisations on low-value shipments issued
by Member States in accordance with Article 9(4) of Regulation (EC) No 428/2009.

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