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EU dual-use Regulation (EC) no. 428/2009

The European Union (EU) dual-use Regulation (EC) 428/2009, also known as the EU export control list, specifies the international arrangements and agreements that the EU Member States must take into consideration when licensing dual-use goods.

For reasons of international security, there are strict rules governing the export and transit of dual-use goods. These are based on the EU dual-use Regulation, also known as the EU export control list. This regulation states the various responsibilities for the export of dual-use goods to countries outside the EU. The export of dual-use goods to other EU countries does not require a licence. In principle, free movement of goods is allowed between these countries, provided that those goods have a clearly civilian use and form no threat to public health, safety or the environment.

The EU dual-use Regulation is intended to prevent exported dual-use goods from being used in weapons, or in machines used for making weapons. The export control is aimed at products used for the development and production of weapons of mass destruction, such as nuclear, chemical and biological weapons.

The Regulation lists those items that are considered to be for dual use and that are therefore controlled goods. According to the Regulation (Article 2), these are items, including software and technology, which can be used for both civil and military purposes. ‘Export’ of items refers to: ‘transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means’. Controls on the transfer of technology do not apply to information in the public domain, nor to basic scientific research.


The list of dual-use goods has 10 categories, among which in category 1: materials, chemicals, microorganisms and toxins. This category names the following microorganisms and toxins:
1C351 (page 73) Human pathogens, zoonoses and ‘toxins’, as follows:
a) Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures,
b) Rickettsiae, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures
c) Bacteria, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures,
d) Toxins and sub-units of toxins
e) Fungi, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures.

1C352 (page 80) Animal pathogens, as follows:
a) Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures,
b) Mycoplasmas, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures.

1C353 (page 81) Genetic elements and genetically modified organisms, as follows:
a) Genetically modified organisms or genetic elements that contain nucleic acid sequences associated with pathogenicity of organisms specified in 1C351 a), 1C351 b), 1C351 c), 1C351 e), 1C352 or 1C354;
b) Genetically modified organisms or genetic elements that contain nucleic acid sequences coding for any of the ‘toxins’ specified in 1C351 d) or ‘sub-units of toxins’ thereof.

1C354 (page 82) Plant pathogens, as follows:
a) Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures,
b) Bacteria, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material which has been deliberately inoculated or contaminated with such cultures,
c) Fungi, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material which has been deliberately inoculated or contaminated with such cultures.

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