Transfer of dual-use items

The transfer of certain dual-use items is subject to a prior ministerial authorisation.

Any application for authorisation shall be submitted to OCEIT using an available application form. The application will be processed within 60 working days from the day the file is complete. The individual authorisation is valid for 1 year, the global authorisation is valid for 3 years, renewable.

Who is concerned

Any operator who wishes to transfer a dual-use item listed in Annex IV of Regulation (EC) 428/2009.

Any operator who wishes to transfer a dual-use item other than those listed In Annex IV of Regulation (EC) 428/2009, from the territory of the Grand Duchy of Luxembourg to another Member State of the European Union, where, at the time of transfer:

  • the operator knows that the final destination of the items concerned is outside the European Union;
  •  export of those items to that final destination is subject to an authorisation requirement  in the Member State from which the items are to be transferred, and such  export directly from its territory is not authorised by a general authorisation or a global authorisation;
  • no processing or working is to be performed on the items in the EU Member State to which they are to be transferred.
     

List of Annex IV of Regulation (EC) 428/2009

The sections do not always show a full description of the goods, nor do they contain the notes contained in annexe I(7) which alone contains the full description

The indication of a product in the current annexe does not impact the application of provisions concerning the mass products in annexe I.

Expressions between double quotation marks are those defined in the list of general definitions in annexe I.

PART 1

(possibility of National General Authorisation for intra-Community trade)

Items of stealth technology

 

1C001

Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers.

N.B. SEE ALSO 1C101

1C101

Materials or devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures; other than those specified in 1C001, usable in ‘missiles’, "missile" subsystems or unmanned aerial vehicles specified in 9A012.

Note: 1C101 does not control materials if such goods are formulated solely for civil applications.

Technical Note: In 1C101 ‘missiles’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

1D103 "Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures.
1E101 "Technology" according to the GTN for the "use" of goods specified in 1C101 or 1D103.
1E102 "Technology" according to the GTN for the "development" of "software" specified in 1D103.
6B008

Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less and specially designed components therefor.

N.B. SEE ALSO 6B108

6B108                Systems specially designed for radar cross section measurement usable for "missiles" and their subsystems.

Items of the Community strategic control

 

1A007

Equipment and devices, specially designed to initiate charges and devices containing energetic materials, by electrical means, as follows:

N.B. SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232.

a. Explosive detonator firing sets designed to drive multiple controlled detonators specified in 1A007.b. below ;

b. Electrically driven explosive detonators as follows:

1. Exploding bridge (EB);

2. Exploding bridge wire (EBW);

3. Slapper;

4. Exploding foil initiators (EFI).

Note: 1A007.b. does not control detonators using only primary explosives, such as lead azide.

1C239 High explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2 % by weight thereof, with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8 000 m/s.
1E201 "Technology" according to the General Technology Note for the "use" of goods specified in 1C239.
3A229

High-current pulse generators, as follows:

N.B. SEE ALSO MILITARY GOODS CONTROLS

3A232

Multipoint initiation systems, other than those specified in 1A007 above , as follows:

N.B. SEE ALSO MILITARY GOODS CONTROLS

3E201 "Technology" according to the General Technology Note for the ‘use’ of equipment specified in 3A229 or 3A232.
6A001 Acoustics, limited to the following:
6A001.a.1.b.

Object detection or location systems having any of the following:

1. A transmitting frequency below 5 kHz; 6. Designed to withstand;

6A001.a.2.a.2. Hydrophones … Incorporating …
6A001.a.2.a.3. Hydrophones … Having any …
6A001.a.2.a.6. Hydrophones … Designed for …
6A001.a.2.b. Towed acoustic hydrophone arrays …
6A001.a.2.c. Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having "user-accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes.
6A001.a.2.e.

Bottom or bay cable systems having any of the following:

1. Incorporating hydrophones or

2. Incorporating multiplexed hydrophone group signal modules …;

6A001.a.2.f. Processing equipment, specially designed for real time application with bottom or bay cable systems, having "user-accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes.
6D003.a. "Software" for the "real-time processing" of acoustic data.
8A002.o.3.

Noise reduction systems designed for use on vessels of 1 000 tonnes displacement or more, as follows:

b. Active noise reduction or cancellation systems, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source.

8E002.a. "Technology" for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction.

Items of the Community strategic control — Cryptography — Category 5 Part 2

 

5A004             

Equipment designed or modified to perform 'cryptanalytic functions'. Note:5A004 includes systems or equipment, designed or modified to perform 'cryptanalytic functions' by means of reverse engineering.

Technical Note: 'Cryptanalytic functions' are functions designed to defeat cryptographic mechanisms in order to derive confidential variables or sensitive data, including clear text, passwords or cryptographic keys.

5D002.c

"Software" having the characteristics of, or performing or simulating the functions of, any of the following:

3. Equipment specified in 5A004.

5E002.a. Only "technology" for the "development", "production" or "use" of the goods specified in 5A004 or 5D002.c. above.

Items of the MTCR technology

 

7A117                "Guidance sets", usable in "missiles" capable of achieving system accuracy of 3,33 % or less of the range (e.g., a ‘CEP’ of 10 km or less at a range of 300 km), except "guidance sets" designed for missiles with a range under 300 km or manned aircraft.
7B001

Test, calibration or alignment equipment specially designed for equipment specified in 7A117 above.

Note: 7B001 does not control test, calibration or alignment equipment for Maintenance Level I or Maintenance Level II.

7B003 Equipment specially designed for the "production" of equipment specified in 7A117 above.
7B103 "Production facilities" specially designed for equipment specified in 7A117 above.
7D101 "Software" specially designed for the "use" of equipment specified in 7B003 or 7B103 above.
7E001 "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 7A117, 7B003, 7B103 or 7D101 above .
7E002 "Technology" according to the General Technology Note for the "production" of equipment specified in 7A117, 7B003 and 7B103 above.
7E101 "Technology" according to the General Technology Note for the "use" of equipment specified in 7A117, 7B003, 7B103 and 7D101 above.
9A004

Space launch vehicles capable of delivering at least a 500 kg payload to a range of at least 300 km .

N.B. SEE ALSO 9A104.

Note 1: 9A004 does not control payloads.

9A005

Liquid rocket propulsion systems containing any of the systems or components specified in 9A006 usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below.

N.B. SEE ALSO 9A105 and 9A119.

9A007.a.

Solid rocket propulsion systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , with any of the following:

N.B. SEE ALSO 9A119.

a. Total impulse capacity exceeding 1,1 MNs.

9A008.d.

Components, as follows, specially designed for solid rocket propulsion systems:

N.B.SEE ALSO 9A108.c.

d. Movable nozzle or secondary fluid injection thrust vector control systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , capable of any of the following:

1. Omni-axial movement exceeding ± 5o.

2. Angular vector rotations of 20o/s or more; or 3. Angular vector accelerations of 40o/s2 or more.

9A104

Sounding rockets, capable of delivering at least a 500 kg payload to a range of at least 300 km.

N.B. SEE ALSO 9A004.

9A105.a.

Liquid propellant rocket engines, as follows:

N.B. SEE ALSO 9A119.

a. Liquid propellant rocket engines usable in ‘missiles’, other than those specified in 9A005, integrated, or designed or modified to be integrated, into a liquid propellant propulsion system which has a total impulse capacity equal to or greater than 1,1 MNs having a total impulse capacity equal to or greater than 1,1 MNs; except liquid propellant apogee engines designed or modified for satellite applications and having all of the following:

1. nozzle throat diameter of 20 mm or less; and

2. combustion chamber pressure of 15 bar or less.

9A106.c.

Systems or components, other than those specified in 9A006, usable in "missiles", as follows, specially designed for liquid rocket propulsion systems:

Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km.

Technical Note: Examples of methods of achieving thrust vector control specified in 9A106.c. are: 1. flexible nozzle; 2. fluid or secondary gas injection; 3. movable engine or nozzle; 4. deflection of exhaust gas stream (jet vanes or probes); or 5. thrust tabs.

9A108.c.

Components, other than those specified in 9A008, usable in ‘missiles’ as follows, specially designed for solid rocket propulsion systems: c. Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km.

Technical Note: Examples of methods of achieving thrust vector control specified in 9A108.c. are:

1. flexible nozzle;

2. fluid or secondary gas injection;

3. movable engine or nozzle;

4. deflection of exhaust gas stream (jet vanes or probes); or

5. thrust tabs.

9A116

Reentry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows, except for reentry vehicles designed for non-weapon payloads:

a. Reentry vehicles;

b. Heat shields and components therefor fabricated of ceramic or ablative materials;

c. Heat sinks and components therefor fabricated of light-weight, high heat capacity materials;

d. Electronic equipment specially designed for reentry vehicles.

9A119 Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of delivering at least a 500 kg payload to a range of 300 km, other than those specified in 9A005 or 9A007.a. above.
9B115 Specially designed "production equipment" for the systems, sub-systems and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above.
9B116 Specially designed "production facilities" for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above .
9D101 ‘Software’ specially designed for the ‘use’ of goods specified in 9B116 above.
9E001 "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115, 9B116 or 9D101 above.
9E002 "Technology" according to the General Technology Note for the "production" of equipment specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115 or 9B116 above. Note: For "technology" for the repair of controlled structures, laminates or materials, see 1E002.f.
9E101 "Technology" according to the General Technology Note for the "development" or "production" of goods specified in 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above.
9E102 Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 9D101 above.

Exemptions

Annex IV does not control the following items of the MTCR technology:

  • that are transferred on the basis of orders pursuant to a contractual relationship placed by the European Space Agency (ESA) or that are transferred by ESA to accomplish its official tasks;
  • that are transferred on the basis of orders pursuant to a contractual relationship placed by a Member State's national space organisation or that are transferred by it to accomplish its official tasks;
  • that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a Community space launch development and production programme signed by two or more European governments;
  • that are transferred to a State-controlled space launching site in the territory of a Member State, unless that Member State controls such transfers within the terms of this Regulation.

 

PART II

(no National General Authorisation for intra-Community trade)

 

Items of the CWC (Chemical Weapons Convention)

 

1C351.d.4.       Ricin
1C351.d.5.         Saxitoxin

 

Items of the NSG technology

All Category 0 of Annex I is included in Annex IV, subject to the following:

  • 0C001: this item is not included in Annex IV.
  • 0C002: this item is not included in Annex IV, with the exception of special fissile materials as follows:

a) separated plutonium;

‘uranium enriched in the isotopes 235 or 233’ to more than 20 %.

  • 0C003 only if for use in a "nuclear reactor" (within 0A001.a);
  • 0D001 (software) is included in Annex IV except insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV;
  • 0E001 (technology) is included in Annex IV except insofar as these related to 0C001 or to those items of 0C002 that are excluded from Annex IV.

 

1B226             

Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.

Note: 1B226 includes separators:

a. Capable of enriching stable isotopes;

b. With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.

1C012

Materials as follows: Technical Note: These materials are typically used for nuclear heat sources. b.‘Previously separated’ neptunium-237 in any form.

Note: 1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.

1B231

Tritium facilities or plants, and equipment therefor, as follows: a. Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium;

b. Equipment for tritium facilities or plants, as follows:

1. Hydrogen or helium refrigeration units capable of cooling to 23 K (– 250 °C) or less, with heat removal capacity greater than 150 W;

2. Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium.

1B233

Lithium isotope separation facilities or plants, and equipment therefor, as follows:

a. Facilities or plants for the separation of lithium isotopes;

b. Equipment for the separation of lithium isotopes, as follows:

1. Packed liquid-liquid exchange columns specially designed for lithium amalgams;

2. Mercury or lithium amalgam pumps;

3. Lithium amalgam electrolysis cells;

4. Evaporators for concentrated lithium hydroxide solution.

1C233

Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows:

  • elemental lithium;
  • alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing.

Note: 1C233 does not control thermoluminescent dosimeters.

Technical Note: The natural isotopic abundance of lithium-6 is approximately 6,5 weight % (7,5 atom %).

1C235

Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1 000 , and products or devices containing any of the foregoing.

Note:1 C235 does not control a product or device containing less than 1,48 × 103 GBq (40 Ci) of tritium.

1E001 "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1C012.b.
1E201 "Technology" according to the General Technology Note for the "use" of goods specified in 1B226, 1B231, 1B233, 1C233 or 1C235.
3A228

Switching devices, as follows: a. Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:

1. Containing three or more electrodes;

2. Anode peak voltage rating of 2,5 kV or more;

3. Anode peak current rating of 100 A or more; and

4. Anode delay time of 10 μs or less.

Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes.

b. Triggered spark-gaps having both of the following characteristics

1. An anode delay time of 15 μs or less; and

2. Rated for a peak current of 500 A or more.

3A231

Neutron generator systems, including tubes, having both of the following characteristics:

a. Designed for operation without an external vacuum system; and b. utilising electrostatic acceleration to induce a tritium-deuterium nuclear reaction.

3E201 "Technology" according to the General Technology Note for the "use" of equipment specified in 3A229 or 3A232.
6A203

Cameras and components, other than those specified in 6A003, as follows:

a. Mechanical rotating mirror streak cameras, as follows, and specially designed components therefor:

1. Streak cameras with writing speeds greater than 0,5 mm per microsecond;

b. Mechanical rotating mirror framing cameras, as follows, and specially designed components therefor:

1. Framing cameras with recording rates greater than 225 000 frames per second;

Note: In 6A203.a. components of such cameras include their synchronizing electronics units and rotor assemblies consisting of turbines, mirrors and bearings.

6A225

Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.

Note: 6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).

6A226

Pressure sensors, as follows:

a. Manganin gauges for pressures greater than 10 GPa;

b. Quartz pressure transducers for pressures greater than 10 GPa.

Preliminary steps

In order to be able to submit the application electronically, the operator must first make an express request (on free paper or by email) to OCEIT and get their approval.

Costs

Neither the application for authorisation nor the issuance of the transfer authorisation by OCEIT shall give rise to the levying of any taxes or fees.

How to proceed

Filing an application

The operator shall submit his / her application for an individual or global authorisation to OCEIT using the application form.

The application is made by mail or electronically (if the operator has previously obtained OCEIT’s approval).

The application (or the declaration) shall be signed by a person authorised to commit the applicant. By this signature, the applicant certifies the accuracy of the information provided in the application and that of the content of any documents attached to it. He/she undertakes as well to provide the goods concerned with a destination in accordance with his/her application.

Supporting documents

  • The supporting documents to be attached to the application for an individual or global authorisation are the following:
  • detailed explanatory letter of the operation;
  • end-use certificate (or, after OCEIT’s approval, an exporter commitment);
  • invoice / proforma invoice;
  • sales agreement;
  • recent extract from RCS (less than 3 months).

For items listed in Annex I, Category 5, Part 2, and not listed in Annex IV of Regulation (EC) 428/2009, the following documents and information are to be provided:

  • Indication of the commercial reference of the cryptology mean, and of the version.
    General description of the means and its features.
    Indication of the category in which the means is to be classified (Personal computer encryption software. Operating system. Electronic messaging. Wireless communication system. Network encryption means. Telephone or fax. Other (to be specified)
  • Presentation of the cryptology services provided (Authentication. Signature Integrity checking. Confidentiality. Timestamping. Secure archiving. Cryptographic key management. Key or data certification. Other (to be specified). Specify the names of the algorithms used and the maximum length of the cryptographic keys for each algorithm.
  • Presentation of the implementation of the algorithms (software, hardware).
  • Presentation of the security standards of the means
  • Presentation of the type of data concerned by the service
  • Document concerning the technical characteristics of the good, including the following elements:

1. Elements necessary to implement the means of cryptology:

a) 2 models of the cryptology means ;

b) the installation guides of the means;

c) activation procedures of the means, if applicable (license number, activation number, hardware device, etc.);

d) key injection or network activation devices, if applicable.

2. Elements related to cryptology algorithms:

a) description of the cryptology function offered by the means (encryption, signature, key management, etc.);

b) either the complete description of the cryptology processes used, in the form of a synoptic and mathematical description and a simulation in a high-level language;
or the reference to a previously lodged file for a means using the same cryptology methods ; or the reference to a recognized and unequivocal standard, and whose technical details are easily and unconditionally accessible, with the parameters and the operating procedures of its implementation;

c) if the encryption method implemented in the means is not a recognized standard, 3 reference outputs of the encryption method, in electronic format, from a clear text and an arbitrary chosen key, which will also be provided, in order to verify the conformity of the implementation of the process with the description thereof;

3. elements related to the management of the keys:

a) distribution mode of the keys;

b) generation process of the keys;

c) retention format of the keys;

d) transmission format of the keys.

4. The elements relating to the protection of the encryption method, namely the description of the technical measures implemented to prevent the alteration of the encryption method or the associated key management.

5. Elements relating to data processing:

a) description of pretreatments experienced by clear data before their encryption (compression, formatting, adding a header, etc.);

b) description of the post-processing of the encrypted data, after their encryption (adding a header, formatting, packaging, etc.);

c) 3 reference outputs of the means, in electronic format, made from a clear text and an arbitrary chosen key, which will also be provided, in order to verify the implementation of the means in relation to the description of this.

6. Elements relating to implementation of the cryptology:

a) the source code of the means, and the elements allowing a recompilation of the source code or the references of the associated compilers;

b) the references of the components integrating the cryptology functions of the means and the names of the manufacturers of each of these components;

c) the cryptology functions implemented by each of these components;

d) the technical documentation of the components performing the cryptological functions;

e) the types of memories (flash, ROM, EPROM, etc.) in which are stored the functions and cryptology parameters as well as the references of these memories.

7. the description of the services offered to users of the service.

8. the description of the cryptological functions implemented by the service provider.

9. the description of the premises used to implement the service.

10. the description of hardware and computer software including cryptography used by the provider.

11. the description of the physical protection and access control systems for the premises and IT systems of the service provider.

12. When the service consists of the management of cryptographic keys or electronic certificates for the benefit of users:

a) the description of the procedure for generating keys and certificates;

b) the description of the procedure for distributing and delivering keys and certificates to users;

c) the description of the technical and organizational measures implemented for the protection and preservation of keys;

d) the description of the key recovery procedure (only for the confidentiality service);

e) the references of the means of cryptology implemented by the users of the service, when these means are specifically designed to work with the keys or certificates issued by this service.

Deadlines for reply

Any application for an individual or global authorisation shall be acknowledged by OCEIT.

In case of an incomplete application, the applicant shall be informed of the need to provide additional documents and any consequences for the period for processing the application.

The application for authorisation shall be processed within 60 working days of the day on which the file is complete.

This 60 day period may be extended for a maximum of 30 working days. The extension and its duration shall be duly reasoned and notified by OCEIT before the expiry of the initial period.

In the absence of a reply within the period provided for, the application for authorisation shall be considered as granted.

Validity period

Authorisations shall be valid:

  • 1 year for individual authorisations, renewable for a period of 6 months;
  • 3 years for global authorisations, renewable for a period of 18 months.

Obligations

The operator shall transmit to OCEIT, at the latest 10 working days after the expiry date, the obsolete authorisation which is in his/her possession.

The operator shall report to OCEIT any loss of an authorisation document.

The operator must comply with the special conditions contained in the authorisation.

The operator shall keep detailed and complete registers of operations carried out pursuant to the authorisation. These registers shall contain the commercial documents, such as invoices, manifests, transport documents or other shipping documents, showing the following information:

  • the description of the goods and their references in the lists of Annex I or Annex IV of Regulation (EC) 428/2009;
  • the quantity and value of the imported products;
  • the dates of transfer;
  • the end-use and end-user of the goods.

For the transfer of dual-use items listed in Annex I of Regulation (EC) 428/2009, the supplier shall clearly indicate on all commercial documents (sales agreements, order confirmations, dispatch note) that those items are subject to control if exported outside of the European Union.

The exporter shall keep the registers for a period of 10 years from the end of the calendar year in which the transaction took place. He/she shall present them to the ministers at their request during that period.

The operator shall provide, without delay, at the first request of the ministers or OCEIT, the elements and documents necessary to verify the conformity of the operation carried out or foreseen.

Disputes

In the event the authorisation is denied, a legal action may be lodged, by an Avocat à la Cour, against the administrative decision within the period of 3 months from the date of the notification of the administrative decision to the concerned person.

Penalties

A prohibition (limited to 6 months or definite) or another restriction to carry out one or more activities, and/or the suspension for a maximum period of 6 months from the use of a general European Union or national authorisation, or a global authorisation, and/ or a penalty payment (which cannot be higher than EUR 1,250per day, but cannot exceed EUR 25,000) may be pronounced against anyone who:

  • refuses to provide the documents or other information requested of them by the ministers or OCEIT;
  • provides the ministers or OCEIT with documents or other information that is found to be incomplete or false;
  • impedes the exercise of the powers of the ministers or OCEIT;
  • does not follow the orders of the ministers or OCEIT.

May be punished by an imprisonment of 5 to 10 years and/or a fine of an amount of EUR 25,000 to EUR 1,000,000, anyone who is transferring dual-use items without having been granted the required authorisation or without respecting the prohibition applicable to the operation.

May be punished by an imprisonment of 6 months to 5 years and/or a fine of EUR 7,500 to EUR 75,000, anyone who:

  • fails to keep the registers or does not keep them during the period of 10 years (starting with the end of the calendar year during which the operation took place);
  • fails to present the registers at the first request of the ministers;
  • omits, repeatedly or significantly, to fill in one or more of the mandatory information in the registers;
  • provides, in the context of an application for authorisation, information that is false or incomplete;
  • does not fulfil the commitments made in the declarations of use and applications for authorisation submitted to the ministers;
  • fails to provide information within the time limits and in the manner set out.

Review of the file

The ministers may, at any time, withdraw, suspend for a period not exceeding 90 days or restrict the use of the authorisations they have issued.

Such a review may happen in exceptional circumstances justifying urgent measures, for reasons of protection of the essential security interests of the State, for reasons of public order or national or eternal security, such as transport safety, storage safety, the risk of diversion, the prevention of crime, or for non-compliance with the conditions specified in the authorisation.

Forms / Online services

Annexe 15 - Biens à double usage transfert intracommunautaire demande d'autorisation

Les informations qui vous concernent recueillies sur ce formulaire font l’objet d’un traitement par l’administration concernée afin de mener à bien votre demande.

Ces informations sont conservées pour la durée nécessaire par l’administration à la réalisation de la finalité du traitement

Les destinataires de vos données sont les administrations compétentes dans le cadre du traitement de votre demande. Veuillez-vous adresser à l’administration concernée par votre demande pour connaître les destinataires des données figurant sur ce formulaire. Conformément au règlement (UE) 2016/679 relatif à la protection des personnes physiques à l'égard du traitement des données à caractère personnel et à la libre circulation de ces données, vous bénéficiez d’un droit d’accès, de rectification et le cas échéant d’effacement des informations vous concernant. Vous disposez également du droit de retirer votre consentement à tout moment.

En outre et excepté le cas où le traitement de vos données présente un caractère obligatoire, vous pouvez, pour des motifs légitimes, vous y opposer.

Si vous souhaitez exercer ces droits et/ou obtenir communication de vos informations, veuillez-vous adresser à l’administration concernée suivant les coordonnées indiquées dans le formulaire. Vous avez également la possibilité d’introduire une réclamation auprès de la Commission nationale pour la protection des données ayant son siège à 1 Avenue du Rock'n'Roll, L-4361 Esch-sur-Alzette.

En poursuivant votre démarche, vous acceptez que vos données personnelles soient traitées dans le cadre de votre demande.

Annexe 25 - Dual Use Items - End-use Certificate

Les informations qui vous concernent recueillies sur ce formulaire font l’objet d’un traitement par l’administration concernée afin de mener à bien votre demande.

Ces informations sont conservées pour la durée nécessaire par l’administration à la réalisation de la finalité du traitement

Les destinataires de vos données sont les administrations compétentes dans le cadre du traitement de votre demande. Veuillez-vous adresser à l’administration concernée par votre demande pour connaître les destinataires des données figurant sur ce formulaire. Conformément au règlement (UE) 2016/679 relatif à la protection des personnes physiques à l'égard du traitement des données à caractère personnel et à la libre circulation de ces données, vous bénéficiez d’un droit d’accès, de rectification et le cas échéant d’effacement des informations vous concernant. Vous disposez également du droit de retirer votre consentement à tout moment.

En outre et excepté le cas où le traitement de vos données présente un caractère obligatoire, vous pouvez, pour des motifs légitimes, vous y opposer.

Si vous souhaitez exercer ces droits et/ou obtenir communication de vos informations, veuillez-vous adresser à l’administration concernée suivant les coordonnées indiquées dans le formulaire. Vous avez également la possibilité d’introduire une réclamation auprès de la Commission nationale pour la protection des données ayant son siège à 1 Avenue du Rock'n'Roll, L-4361 Esch-sur-Alzette.

En poursuivant votre démarche, vous acceptez que vos données personnelles soient traitées dans le cadre de votre demande.

Annexe 27 - Produits liés à la défense - biens à double usage Engagement de l'exportateur

Les informations qui vous concernent recueillies sur ce formulaire font l’objet d’un traitement par l’administration concernée afin de mener à bien votre demande.

Ces informations sont conservées pour la durée nécessaire par l’administration à la réalisation de la finalité du traitement

Les destinataires de vos données sont les administrations compétentes dans le cadre du traitement de votre demande. Veuillez-vous adresser à l’administration concernée par votre demande pour connaître les destinataires des données figurant sur ce formulaire. Conformément au règlement (UE) 2016/679 relatif à la protection des personnes physiques à l'égard du traitement des données à caractère personnel et à la libre circulation de ces données, vous bénéficiez d’un droit d’accès, de rectification et le cas échéant d’effacement des informations vous concernant. Vous disposez également du droit de retirer votre consentement à tout moment.

En outre et excepté le cas où le traitement de vos données présente un caractère obligatoire, vous pouvez, pour des motifs légitimes, vous y opposer.

Si vous souhaitez exercer ces droits et/ou obtenir communication de vos informations, veuillez-vous adresser à l’administration concernée suivant les coordonnées indiquées dans le formulaire. Vous avez également la possibilité d’introduire une réclamation auprès de la Commission nationale pour la protection des données ayant son siège à 1 Avenue du Rock'n'Roll, L-4361 Esch-sur-Alzette.

En poursuivant votre démarche, vous acceptez que vos données personnelles soient traitées dans le cadre de votre demande.

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