The Dual-Use Items (Export Control) Regulations 2000

Made: 20th September 2000

Laid before Parliament: 25th September 2000

Coming into force: 28th September 2000

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Citation, commencement and revocation

1

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Interpretation

2

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Granting and revocation etc. of licences

3

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Exports of dual-use items

4

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Exceptions

5

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Customs and Excise powers

6

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Misleading applications for licences etc.

7

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Failure to comply with licence conditions

8

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Registration with the Secretary of State and provision of information

9

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Record keeping and inspection

10

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Penalties for failure to comply with these Regulations

11

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Application of the Customs and Excise Management Act 1979

12

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Exclusion, modification and amendment of the Export of Goods (Control) Order 1994

13

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Transitional

14

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SCHEDULE 1 — REGULATIONS REVOKED

• Dual-Use and Related Goods (Export Control) Regulations 1996 (S.I. 1996/2721).

• Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1997 (S.I. 1997/324).

• Dual-Use and Related Goods (Export Control) (Amendment No. 3) Regulations 1997 (S.I. 1997/1694).

• Dual-Use and Related Goods (Export Control) (Amendment No. 4) Regulations 1997 (S.I. 1997/2759).

• Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1998 (S.I. 1998/272).

• Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1999 (S.I. 1999/984).

• Dual-Use and Related Goods (Export Control) (Amendment No. 2) Regulations 1999 (S.I. 1999/1778).

• Dual-Use and Related Goods (Export Control) (Amendment No. 3) Regulations 1999 (S.I. 1999/2091).

• Dual-Use and Related Goods (Export Control) (Amendment) Regulations 2000 (S.I. 2000/994).

SCHEDULE 2 — PROHIBITED ITEMS—ANY DESTINATION

Interpretations, exclusions and definitions

1

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2

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3

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4

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CATEGORY 1— — MATERIALS, CHEMICALS, MICROORGANISMS & TOXINS

Equipment, Assemblies and Components.

1A

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1A905

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Materials.

1C

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1C950

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1C 993

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1C992

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Technology.

1E

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1E950

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CATEGORY 1— — MATERIALS, CHEMICALS, MICROORGANISMS & TOXINS

Telecommunications.

Part 1

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Equipment, Assemblies and Components.

5A1

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5A990

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5E990

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CATEGORY 5— — TELECOMMUNICATIONS AND INFORMATION SECURITY

Equipment, Assemblies and Components.

8A

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8A990

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Software.

8D

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8D990

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Technology.

8E

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8E990

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CATEGORY 8— — MARINE

Equipment, Assemblies and Components.

9A

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9A990

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9A991

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Technology.

9E

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9E990

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9E991

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SCHEDULE 3

PART I — ITEMS IN RELATION TO WHICH THE REQUIREMENT IN REGULATION 9 (3) DOES NOT APPLY

Any item specified in entry 5A002 or 5D002 of Annex I if:

• (1) it is generally available to the public by being sold, without restriction, from stock at retail selling points by means of:

• (a) over the counter transactions,

• (b) mail order transactions,

• (c) electronic transactions, or

• (d) telephone order transactions;

• (2) its cryptographic functionality cannot easily be changed by the user;

• (3) it is designed for installation by the user without further substantial support by the supplier; and

• (4) details of it are accessible and will be provided, upon request, to the Secretary of State in order to enable him to ascertain whether the conditions in paragraphs (1) to (3) of this Part are satisfied.

PART II — INFORMATION TO BE KEPT IN RELATION TO CERTAIN ITEMS LISTED IN PART 2 OF CATEGORY 5 IN ANNEX I

1

A general description of the item, such as might be contained in a product brochure.

2

Descriptions of all relevant encryption algorithms and key management schemes, and descriptions of how they are used by the item (for example, which algorithm is used for authentication, which for confidentiality and which for key exchange); and details (for example, source code) of how they are implemented (for example, how keys are generated and distributed, how key length is governed and how the algorithm and keys are called by the software).

3

Details of any measures taken to preclude user modification of the encryption algorithm, key management scheme or key length.

4

Details of pre- or post-processing of data, such as compression of plain text or packetization of encrypted data.

5

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6

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Signed

Stephen Byers — Secretary of State for Trade and Industry — 2000-09-20

Explanatory note

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Footnotes

[^f00001]: S.I. 1983/1706 and 2000/1813.

[^f00002]: 1972 c. 68.

[^f00003]: S.I. 1994/1191 as amended by S.I. 1994/1632 and 2711, 1996/2663, 1997/323, 1008, 2464 and 2758 1999/63, 335, 1777, 2610 and 3411, 2000/109 and 1239.

[^f00004]: O.J. No. L367, 31.12.94, p. 1.

[^f00005]: 1979 c. 2.

[^f00006]: O.J. No. L159, 30.6.00, p. 1.

[^f00007]: 1984 c. 60.

[^f00008]: S.I. 1989/1341 (N.I.12).

[^f00009]: Section 138 was amended by the Police and Criminal Evidence Act 1984 (c. 60), sections 114(1) and 119, Schedule 6 paragraph 37 and Schedule 7 Part I, by the Finance Act 1988 (c. 39), section 11, and by S.I. 1989/1341.

[^f00010]: Section 145(6) was amended by the Police and Criminal Evidence Act 1984 (c. 60), section 114(1); section 146(1) was modified by S.I. 1990/2167; section 146A was inserted by the Finance Act 1989 (c. 26), section 16(1) and (4); section 147(1) was repealed by the Finance Act 1989 (c. 26), section 16(2) and (4), section 187(1) and Schedule 17, Part I; section 147(2) was amended by the Magistrates' Courts Act 1980 (c. 43), section 154 and Schedule 7, paragraph 176; section 147(5) was repealed by the Criminal Justice Act 1982 (c. 48), section 77 and Schedule 14, paragraph 42 and section 78 and Schedule 16; section 148 was extended by S.I. 1993/1813; section 151 was amended by the Magistrates' Courts Act 1980 (c. 43), section 154 and Schedule 7, paragraph 177; section 153(4) was inserted by the Finance Act 1981 (c. 35), section 11(1) and Schedule 8, Part I, paragraph 9; section 154(2) was modified by S.I. 1990/2167.

Dual-Use and Related Goods (Export Control) Regulations 1996 (S.I. 1996/2721).

Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1997 (S.I. 1997/324).

Dual-Use and Related Goods (Export Control) (Amendment No. 3) Regulations 1997 (S.I. 1997/1694).

Dual-Use and Related Goods (Export Control) (Amendment No. 4) Regulations 1997 (S.I. 1997/2759).

Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1998 (S.I. 1998/272).

Dual-Use and Related Goods (Export Control) (Amendment) Regulations 1999 (S.I. 1999/984).

Dual-Use and Related Goods (Export Control) (Amendment No. 2) Regulations 1999 (S.I. 1999/1778).

Dual-Use and Related Goods (Export Control) (Amendment No. 3) Regulations 1999 (S.I. 1999/2091).

Dual-Use and Related Goods (Export Control) (Amendment) Regulations 2000 (S.I. 2000/994).

Interpretations, exclusions and definitions

Equipment, Assemblies and Components.

Portable devices, other than those specified in entry PL 5001 of Part III of Schedule 1 to “the 1994 Order", designed for self-protection by the administration of an incapacitating substance, and specially designed components therefor.

Materials.

Chemical mixtures, as follows—

• (a) 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 and .54 and entries 1C450.b.l, .b.2 , .b.3, .b.4, .b.5 and .b.6 of “Annex I", where the chemical constitutes more than 10% by weight of the mixture;

• (b) 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 and .53 of “Annex I", where the chemical constitutes more than 25% by weight of the mixture;

• (c) Mixtures containing one or both of the chemicals specified in entries 1C450.a.1 and .a.2 of “Annex I", where the chemical constitutes more than 1% by weight of the mixture;

• (d) Mixtures containing one or more of the chemicals specified in entries 1C450.a.4, .a.5, .a.6, .a.7, .b.7, and .b.8 of “Annex I", where the chemical constitutes more than 30% by weight of the mixture;

except:

Other explosives and propellants 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) Trinitrophenylmethylnitramine (tetryl);

• (g) 2, 4, 6-Trinitrotoluene (TNT).

Vaccines for protection against either of the following:

• (a) bacillus anthracis; or

• (b) botulinum toxin.

Technology.

Telecommunications.

Equipment, Assemblies and Components.

Tropospheric scatter communications equipment using analogue or digital modulation techniques and specially designed components therefor.

“Technology" according to the “General Technology Note" for the “development", “production" or “use" of “items" specified in entry 5A990 of this Schedule.

Vessels and inflatable craft in an inflated or uninflated state, and equipment and components designed therefor, other than any vessel, craft, equipment or component specified in entry ML9 in Part III of Schedule 1 to “the 1994 Order" or in “Annex I".

Software.

Technology.

CATEGORY 9— — AIRCRAFT, SPACE VEHICLES, PROPULSION SYSTEMS AND RELATED EQUIPMENT

Equipment, Assemblies and Components.

Technology.

Any item specified in entry 5A002 or 5D002 of Annex I if:

• (1) it is generally available to the public by being sold, without restriction, from stock at retail selling points by means of:

• (a) over the counter transactions,

• (b) mail order transactions,

• (c) electronic transactions, or

• (d) telephone order transactions;

• (2) its cryptographic functionality cannot easily be changed by the user;

• (3) it is designed for installation by the user without further substantial support by the supplier; ...

• (4) details of it are accessible and will be provided, upon request, to the Secretary of State in order to enable him to ascertain whether the conditions in paragraphs (1) to (3) of this Part are satisfied ;

• (5) Subject to (7) any cryptography development software in entry 5D002 of Annex 1, other than software having the characteristics, or performing or simulating the functions, of equipment designed or modified to perform cryptanalytic functions;

• (6) Subject to (7) any cryptography development technology in entry 5E002, other than technology for the development, production or use of:

• (a) equipment designed or modified to perform cryptanalytic functions, or

• (b) software having the characteristics, or performing or simulating the functions, of equipment designed or modified to perform cryptanalytic functions;

• (7) The provisions in sub-paragraphs (5) and (6) are limited to cases in which the item is for use by the exporter, or by any subsidiary or parent undertaking of the exporter, or by a business or academic collaborator of the exporter, in his or their own commercial cryptographic product development activities but only insofar as they are activities pursuant to the agreement establishing the collaboration; and

• (8) In paragraph (7) “business or academic collaborator” and “parent undertaking” and “subsidiary undertaking” shall have the following meanings: