Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (recast)
Modified by
- Regulation (EU) No 1232/2011 of the European Parliament and of the Councilof 16 November 2011amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, 32011R1232, December 8, 2011
- Regulation (EU) No 388/2012 of the European Parliament and of the Councilof 19 April 2012amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, 32012R0388, May 16, 2012
- Regulation (EU) No 599/2014 of the European Parliament and of the Councilof 16 April 2014amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, 32014R0599, June 12, 2014
- Commission Delegated Regulation (EU) No 1382/2014of 22 October 2014amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, 32014R1382, December 30, 2014
- Commission Delegated Regulation (EU) 2015/2420of 12 October 2015amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual use itemsCorrigendum to Commission Delegated Regulation (EU) 2015/2420 of 12 October 2015 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(Official Journal of the European Union L 340 of 24 December 2015), 32015R242032015R2420R(01), December 24, 2015
- Commission Delegated Regulation (EU) 2016/1969of 12 September 2016amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use itemsCorrigendum to Commission Delegated Regulation (EU) 2016/1969 of 12 September 2016 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(Official Journal of the European Union L 307 of 15 November 2016), 32016R196932016R1969R(01), November 15, 2016
- Commission Delegated Regulation (EU) 2017/2268of 26 September 2017amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use itemsCorrigendum to Commission Delegated Regulation (EU) 2017/2268 of 26 September 2017 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(Official Journal of the European Union L 334 of 15 December 2017), 32017R226832017R2268R(01), December 15, 2017
Corrected by
- Corrigendum to Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, 32009R0428R(03), August 27, 2009
- Corrigendum to Commission Delegated Regulation (EU) 2015/2420 of 12 October 2015 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, 32015R2420R(01), March 5, 2016
- Corrigendum to Commission Delegated Regulation (EU) 2016/1969 of 12 September 2016 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, 32016R1969R(01), January 31, 2017
- Corrigendum to Commission Delegated Regulation (EU) 2017/2268 of 26 September 2017 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, 32017R2268R(01), January 17, 2018
1. "dual-use items" shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include all goods which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices; 2. "export" shall mean: (i) an export procedure within the meaning of Article 161 of Regulation (EEC) No 2913/92 (the Community Customs Code); (ii) a re-export within the meaning of Article 182 of that Code but not including items in transit; and (iii) transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the European Community; it includes making available in an electronic form such software and technology to legal and natural persons and partnerships outside the Community. Export also applies to oral transmission of technology when the technology is described over the telephone;
3. "exporter" shall mean any natural or legal person or partnership: (i) on whose behalf an export declaration is made, that is to say the person who, at the time when the declaration is accepted, holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the customs territory of the Community. If no export contract has been concluded or if the holder of the contract does not act on its own behalf, the exporter shall mean the person who has the power for determining the sending of the item out of the customs territory of the Community; (ii) which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the Community.
Where the benefit of a right to dispose of the dual-use item belongs to a person established outside the Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the Community; 4. "export declaration" shall mean the act whereby a person indicates in the prescribed form and manner the wish to place dual-use items under an export procedure; 5. "brokering services" shall mean: the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or the selling or buying of dual-use items that are located in third countries for their transfer to another third country.
For the purposes of this Regulation the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion; 6. "broker" shall mean any natural or legal person or partnership resident or established in a Member State of the Community that carries out services defined under point 5 from the Community into the territory of a third country; 7. "transit" shall mean a transport of non-Community dual-use items entering and passing through the customs territory of the Community with a destination outside the Community; 8. "individual export authorisation" shall mean an authorisation granted to one specific exporter for one end user or consignee in a third country and covering one or more dual-use items; 9. "union general export authorisation" shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions and requirements for use as listed in Annexes IIa to IIf; 10. "global export authorisation" shall mean an authorisation granted to one specific exporter in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users and/or in one or more specified third countries; 11. "national general export authorisation" shall mean an export authorisation granted in accordance with Article 9(2) and defined by national legislation in conformity with Article 9 and Annex IIIc; 12. "customs territory of the European Union" shall mean the territory within the meaning of Article 3 of the Community Customs Code; 13. "non-Community dual-use items" shall mean items that have the status of non-Community goods within the meaning of Article 4(8) of the Community Customs Code.
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