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Export Control – Update to Annex I of the Dual-Use Regulation

  • United Kingdom
  • Competition, EU and Trade - Export controls and sanctions


Regulation (EC) No 428/2009 (the “Dual-Use Regulation”) governs the control of dual-use items in relation to export, transit and brokering services in the EU. Annex I to the Dual-Use Regulation establishes a common list of dual-use items to be controlled and, according to the European Commission, this list needs to be updated regularly so as to “ensure full compliance with international security obligations, to guarantee transparency and to maintain the competitiveness of exporters”.

In 2011, the European Commission launched a broad public consultation on the implementation of export controls under the Dual-Use Regulation. The resulting report identified a number of issues raised by contributors to the consultation and paved the way for a long-term reform process of the current export control scheme. 

On 22 October 2014, the European Commission updated the EU list of dual-use goods as set out in Annex I to reflect the changes made by the Wassenaar Arrangement in 2012 and 2013.

The new Regulation and corresponding Annex I contains over 400 changes from the European Commission’s previous iteration in 2012, which as superficially described by the Commission, include but are not limited to:

  • changes to technical parameters for nuclear reactor parts and components, such as frequency changers;
  • new controls on certain chemicals, such as plant pathogens;
  • new controls on special materials, electronics and computers, telecommunications and information security equipment, sensors and lasers, aerospace and propulsion, for example underwater survey equipment, carbon monoxide lasers and hydro-acoustic sensors; and
  • the addition or removal of various dual-use items, such as graphite, frequency changers, machine tools, viruses and toxins, integrated circuits, explosives and cybertools etc.

The Regulation and new Annex I will come into force the day after its publication in the Official Journal which, as of today’s date, has not yet occurred. Until then, the existing Annex I is still in force and should be relied on, unless Member States have approved the use of a later version of the Wassenaar Arrangement list through domestic legislation.

Please click here to view a comprehensive note of these changes

A copy of the draft Regulation and new Annex I can be viewed at these links:

1) Draft Regulation
2) Annex I