Subcategory E - Technology controls
Determening whether research involves dual-use items can be (very) challenging. Innovative research does not easily allow itself to be labelled according to the existing control entries. A good understanding of the definition of “technology”, the technology notes set out in Annex I of the EU dual-use Reguation (namely Nuclear Technology Note and General Technology Note) and the de-control notes “basic scientific research” and “in the public domain” are essential to navigate through the technology controls. Please see for more information on notion of “technology” below and for more information on de-controls.
“Technology” in the context of the EU dual-use Regulation means specific information necessary for the “development”, “production” or “use” of listed dual-use items. This means that in order to be classified as listed dual-use technology, the technical data or technical assistance must contain specific information necessary for the development, production or use of the good specified in categories 0 through 9. The meaning of specific information is not defined in the EU dual-use regulation. The meaning of development, production and use is defined. The definitions of such terms are as follows:
- “Development” is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
- “Production” means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.
- “Use” means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
For Category 0 (nuclear items), listed dual-use technology is the specific information that is ‘directly associated with any goods controlled in Category 0’ This is a broad definition; hence the range of controlled nuclear technology is larger compared to the controlled technology in Category 1 to 9.
For Categories 1 to 9, only that part of “technology” that is “required" for the “development”, “production” or “use” of the items controlled in Categories 1 to 9 is controlled according to the provisions of Categories 1 to 9. Please see below the definition of “required”.
- “Required”, as applied to "technology", refers to only that portion of "technology" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required" "technology" may be shared by different goods.
The performance levels, characteristics or functions referred to in the notion of “required” are generally very specific and high, thus limiting the technology that is capable of meeting the “required” threshold. Consequently, the scope of technology for which one may seek to apply the de-control notes “basic scientific research” and “in the public domain” is limited because of such very specific and high performance levels, characteristics and functions.
Example
3E001 refers to the controlled technology for the “development” or “production” of listed integrated circuits specified in, amongst others, 3A001.a.
3A001.a.5.a.5 refers to Analogue-to-Digital Converter integrated circuits with a resolution of 16 bit or more with a
sample rate greater than 65 Mega Samples Per Second.
A document 20 detailing the design parameters or the design steps necessary to achieve (or exceed) the 65 Mega Samples Per Second threshold alone does not contain the technology that is peculiarly responsible for developing the controlled 3A001.a.5.a.5 item and thus it does not contain the “required” technology under the General Technology Note. The reason is that the document does not detail how to achieve or exceed the ‘resolution of 16 bit’ parameter.
A manual describing the production technique to produce Analogue-to-Digital Converter integrated circuits with a
resolution of 16 bit or more but with a sample rate below 65 Mega Samples Per Second does not contain the “required” technology to produce the controlled item.
In the two above situation, the document and manual are not considered containing the controlled technology required for the development or production of listed 3A001.a.5.a.5 items as it does not contain the specific information related to the two technical parameters described in 3A001.a.5.a.5
Source: Commission Recommendation (EU) 2021/1700 of 15 September 2021 on internal compliance programmes for controls of research involving dual-use items under Regulation (EU) 2021/821 of the European Parliament and of the Council setting up a Union regime for the controls of exports, brokering, technical assistance, transit and transfer of dual-use items
1E001 controls “technology” according to the General Technology Note for the “development” or “production” of
equipment or materials specified in 1A002 to 1A005, 1A006.b., 1A007, 1B or 1C.
Let’s apply this to 1C216.
1C216 specifies the controls for maraging steel. This item is controlled in Category 1 therefore the General Technology
Note is applicable. Hence, the controlled dual-use technology under 1E001 is the one that is “required” for the
“development” or “production” of maraging steel with the specifications of 1C216.
What is not controlled under 1E001?
Research output detailing
- this type of maraging steel without providing detailed information on how to develop or produce this type of maraging steel;
- an historic overview of existing production methods (in the public domain) of this type of maraging steel;
- an innovative production process of maraging steel that does not meet the required thresholds in 1C216 (and 1C116).
What is controlled under 1E001?
Research output detailing
— existing development or production processes that are not yet in the public domain and are not basic scientific research.
— an innovative (not yet in the public domain) development or production process of maraging steel t
Source: Commission Recommendation (EU) 2021/1700 of 15 September 2021 on internal compliance programmes for controls of research involving dual-use items under Regulation (EU) 2021/821 of the European Parliament and of the Council setting up a Union regime for the controls of exports, brokering, technical assistance, transit and transfer of dual-use items
Generally, the following information is not considered to be specific enough to be falling under the technology definition:
- Safety data sheet (SDS), material safaty data sheet (MSDS), or product safety data sheet (PSDS)
- Brochures, catalogues and excerpts thereof, which, in their respective form, are intended or may be intended for an indefinite number of interested parties and which are made available to them without individual changes to the contents;
- Schematic diagrams, block diagrams, process diagrams (without detailed data);
- Technical performance data, key performance indicators;
- Electrical and mechanical connection and consumption data;
- Labelling characters;
- Parts lists if no reference can be made to drawings;
- Norms and standards that are generally available and not specific to a company product;
- Articles from trade journals and comparable publications;
- General process and procedure descriptions (in the case of production plants);
- Delivery specifications (e.g. for chemicals and other auxiliary materials);
- Photos (without detailed information on geometric sizes, materials used and electrical/electronic components);
- Exploded drawings/elevations without detailed dimensions;
- Sectional views (schematic and without material and detailed data);
- External dimensions.
If you have any doubts or questions regarding the above, please consult your School’s or Departments technical export control expert or Aalto University’s compliance officer.
Support organization for export control and sanctions matters at Aalto University