DUAL-USE ITEMS (EXPORT CONTROL) g S.L.365.12 1
SUBSIDIARY LEGISLATION 365.12
DUAL-USE ITEMS (EXPORT CONTROL) 
REGULATIONS
1st January, 2002
LEGAL NOTICE 268 of 2001.
Citation.
Control) Regulations.
Interpretation.
requires:
Cap. 365.
"basic scientific research" means experimental or theoretical
work undertaken principally to acquire new knowledge of the
fundamental principles of phenomena or observable facts, not
primarily directed towards a specific practical aim or objective;
"country" includes territory;
"Director" means the Director responsible for trade and includes
any officer designated or authorised by the Director to act for a
purpose or class of purposes of these regulations;
"dual-use items" means any used or unused items, including
software and technology, which can be used for both civil and
military purposes, and including all goods which can be used for
both non-explosive uses and for assisting in any way in the
manufacture of nuclear weapons or other nuclear explosive
devices;
"export", unless the context otherwise requires, means export
from Malta, and includes the transmission of software or
technology by fax, telephone or other electronic media (except that
oral transmission of technology by telephone is included only
where the technology is contained in a document the relevant part
of which is read out over the telephone, or is described over the
telephone in such a way as to achieve substantially the same result
as if it had been so read);
"export declaration" means the act whereby a person indicates in
the prescribed form and manner the wish to place dual-use items
under an export procedure;
"exporter" means any natural or legal person on whose behalf an
export declaration is made, that is to say the person who, at the time
when the declaration is accepted, holds the contract with the
consignee in the third country and has the power for determining
the sending of the item out of the customs territory of Malta. If no
export contract has been concluded or if the holder of the contract
does not act on its own behalf, the power for determining the
sending of the item out of the customs territory of Malta shall be
decisive; "exporter" also means any natural or legal person who
decides to transmit software or technology by electronic media, fax
2 g S.L.365.12 DUAL-USE ITEMS (EXPORT CONTROL)
or telephone to a destination outside Malta;
"the Handbook" means the handbook entitled "List of Dual-Use
Items and Technology" which is published in the Gazette and
which may be subsequently amended as necessary from time to
time by the Director, by notice in the Gazette;
"import" and "export" in relation to a vessel, submersible vehicle
or aircraft includes the taking into or out of Malta of the vessel,
submersible vehicle or aircraft notwithstanding that the vessel,
submersible vehicle or aircraft is conveying goods or passengers,
and whether or not it is moving under its own power; and cognate
expressions shall be construed accordingly;
"in the public domain" means available without restriction upon
further dissemination, without any account being taken of
restrictions arising solely from copyright;
"international export control regimes, bodies and treaties" means
the Australia Group, Missile Technology Control Regime, Nuclear
Supplies Group, Wassenaar Arrangement, Zangger Committee and
the Chemical Weapons Convention;
"items in transit" means items which only pass through the
territory of Malta, that is those which are not assigned a customs-
approved treatment or use other than the external transit procedure
or which are merely placed in a free zone or a free warehouse and
where no record of them has to be kept in an approved stock record;
"military end-use" means:
( a ) incorporation into military items listed in the military
list;
( b ) use of production-, test- or analytical equipment and
components therefor, for the development, production
or maintenance of military items listed in the military
list;
( c ) use of any unfinished products in a plant for the
production of military items listed in the military list;
S.L. 365.13
"military list" means the list of military equipment as established
in the Military Equipment (Export Control) Regulations;
"Minister" means the Minister responsible for trade;
"the National General Export Authorization" means the export
authorization constituted by regulation 6;
"normal commercial journey" means a journey providing
transport services in the ordinary course of business;
"person" means any natural or legal person;
"scheduled journey" means one of a series of journeys which are
undertaken between the same two places and which together
amount to a systematic service operated in such manner that its
benefits are available to members of the public from time to time
seeking to take advantage of it;
"surface effect vehicle" means any air cushion vehicle (whether
side wall or skirted) and any vehicle using the wing-in-ground
DUAL-USE ITEMS (EXPORT CONTROL) g S.L.365.12 3
effect for positive lift;
"technical assistance" means any technical support related to
repairs, development, manufacturing, assembly, testing,
maintenance, or any other technical service, and may take the
forms such as instruction, training, transmission of working
knowledge or skills or consulting services; technical assistance
includes also oral forms of assistance;
"vessel" includes any ship, surface effect vehicle, vessel of small
waterplane area or hydrofoil, and the hull or part of the hull of a
vessel.
(2) Any reference in these regulations to time after an event is
a reference to a period of that length of time beginning on the day
after that event.
(3) In these regulations, except where the context otherwise
requires, any reference to:
( a ) a numbered regulation is a reference to the regulation
in these regulations which is so numbered;
( b ) a numbered sub-regulation is a reference to the
subregulation which is so numbered in the regulation
where the reference occurs.
Scope.
dual-use items listed in Chapter I of the Handbook.
(2) Pursuant to regulation 7 or regulation 8, an authorization
may also be required for the export to all or certain destinations of
certain dual-use items not listed in Chapter I of the Handbook.
Granting and 
revocation, etc., of 
authorizations.
4. (1) The Director may grant authorizations for the export of
dual-use items as specified in these regulations.
(2) Any authorization granted by the Director in pursuance of
these regulations or having effect as if so granted may be:
( a ) either individual, global or general;
( b ) limited so as to expire on a specified date unless
renewed;
( c ) subject to or without conditions, and any such
condition may require or prohibit any act before or
after the export of items under that authorization;
( d ) annulled, suspended, modified or revoked by the
Director. '
(3) An individual export authorization may be granted to an
individual exporter, upon application on a form as set out in the
Schedule to these regulations, for the export of a specified dual-use
item to a specified consignee up to the quantity specified in the
authorization.
(4) A global export authorization may be granted to an
individual exporter, upon application on a form as set out in the
Schedule hereto, for the export of specified dual-use items up to the
quantities specified in the authorization, to specified consignees in
4 g S.L.365.12 DUAL-USE ITEMS (EXPORT CONTROL)
one or more specified countries.
(5) When applying for an export authorization, exporters shall
supply the Director with all the relevant information required for
their applications.
Exports of dual-use 
items.
5. (1) Subject to the provisions of these regulations:
( a ) no person shall make any export of items specified in
Chapter I of the Handbook, to any destination except
under and in accordance with an authorization as
specified in regulation 4;
( b ) no person shall export to any destination any dual-use
items whether or not listed in Chapter I of the
Handbook which that person has grounds foil
suspecting that the items are or may be intended, in
their entirety or in part, for use in connection with the
development, production, handling, operation,
maintenance, storage, detection, identification or
dissemination of chemical, biological or nuclear
weapons or other nuclear explosive devices, or the
development, production, maintenance or storage of
missiles capable of delivering such weapons, unless
that person has made all reasonable enquiries as to
their proposed use and is satisfied that they will not be
so used;
( c ) no person shall make to any destination any export
consisting of the transmission by fax, telephone or
other electronic media of dual-use items in the form of
software or technology if:
(i) that person has been informed by a competent
authority that the software or technology are or
may be intended, in their entirety or in part, for
any of the uses referred to in paragraph ( b ); or
(ii) that person is aware that the software or
technology are intended, in their entirety or in
part, for any of the uses referred to in paragraph
( b ); or
(iii) that person has grounds for suspecting that the
software or technology are or may be intended,
in their entirety or in part, for any of the uses
referred to in paragraph ( b ), unless that person
has made all reasonable enquiries as to their
proposed use and is satisfied that they will not
be so used; and
( d ) no person shall provide technical assistance in any
destination, if that assistance is intended, or the
provider is aware that it is intended, in its entirety or in
part, for any of the uses referred to in paragraph ( b ).
(2) Paragraphs ( b ) and ( c ) of subregulation (1) do not prohibit
the export of any items in relation to which an authorization in
writing has been granted by the Director, provided that all
conditions attaching to the authorization are complied with.
DUAL-USE ITEMS (EXPORT CONTROL) g S.L.365.12 5
(3) Paragraph ( d ) of subregulation (1) does not prohibit
technical assistance:
( a ) where it is provided in a country listed in Part 3 of
Chapters II and III of the Handbook;
( b ) where it takes the form of transferring information that
is in the public domain, or consists of basic scientific
research; or
( c ) where it is in oral form and not related to items
required to be controlled by one or more of the
international export control regimes, bodies and
treaties.
National General 
Export 
Authorization.
6. (1) Without prejudice to regulation 5(1), a National
General Export Authorization is hereby granted in respect of -
( a ) those items for export to those destinations, as
specified in Chapter II of the Handbook; and
( b ) those items for export to Member States of the
European Union, as specified in Chapter ITI of the
Handbook,
subject to the conditions and requirements set out therein and to
any additional conditions and requirements as may be imposed by
the Director. The items listed in Part 2 of Chapter II of the
Handbook and Part 2 of Chapter III of the Handbook are not
covered by these National General Export Authorizations.
(2) The National General Export Authorizations specified in
subregulation (1) cannot be utilised if the exporter knows at the
time of export that the final destination of those items is outside the
specified countries and no processing or working is to be
performed on those items in those countries to which they are to be
exported.
Dual-use items not 
listed in Chapter I 
of the Handbook.
7. (1) An authorization shall be required for the export of
dual-use items not listed in Chapter I of the Handbook, if the
exporter has been informed by a competent authority that the items
in question are or may be intended, in their entirety or in part:
( a ) for any of the uses referred to in regulation 5(1)( b ), or
( b ) for use as parts or components of military equipment
listed in the military list, which was previously
exported without authorization or in violation of an
authorization requirement.
(2) If an exporter is aware that dual-use items which he
proposes to export, not listed in Chapter I of the Handbook, are
intended in their entirety or in part, for any of the uses referred to
in subregulations (1)( a ) and (1)( b ) and regulation 8, he must notify
the Director, who will decide whether or not it is expedient to make
the export concerned subject to authorization.
Imposition of 
authorization 
requirement in 
particular 
circumstances.
8. (1) Without prejudice to regulation 7, the Director may by
legal notice prohibit or impose an authorization requirement on the
export of dual-use items not listed in Chapter I of the Handbook for
reasons of public security or human rights’ considerations.
6 g S.L.365.12 DUAL-USE ITEMS (EXPORT CONTROL)
(2) An authorization shall also be required for the export of
dual-use items not listed in Chapter I of the Handbook, if the
purchasing country or country of destination is subject to an arms
embargo decided by a common position or joint action adopted by
the Council of the European Union or a decision of the
Organisation for the Security and Co-operation in Europe or an
arms embargo imposed by a binding resolution of the Security
Council of the United Nations and if the exporter has been
informed by a competent authority that the items in question are or
may be intended, in their entirety or in part, for a military end-use.
(3) An authorization shall also be required for the provision of
technical assistance relating to a military end-use, if that assistance
is provided in countries of destination subject to an arms embargo
referred to in subregulation (2).
Provision of end-
use statement.
9. Any authorization granted as set out in these regulations
may be subject, if appropriate, to certain requirements and
conditions, such as an obligation to provide an end-use statement.
Exceptions. 10. (1) These regulations do not apply in respect of:
( a ) items in transit; and
( b ) the supply of services or the transmission of
technology if that supply or transmission involves
cross-border movement of natural persons.
(2) Nothing in these regulations prohibits the export of:
( a ) any aircraft on a scheduled journey;
( b ) any aircraft the immediately preceding import of
which was on a scheduled journey and which is
intended for further scheduled journeys;
( c ) any vessel which is departing temporarily from Malta
on trials;
( d ) any vessel proceeding on a normal commercial
journey.
Customs 
procedures.
11. When completing the formalities for the export of dual-use
items at the customs office responsible for handling the export
declaration, the exporter shall furnish proof that any necessary
export authorization has been obtained.
Misleading 
applications for 
authorizations, etc.
12. (1) For the purposes of obtaining any authorization no
person shall:
( a ) make any statement or furnish any document or
information which to that person’s knowledge is false
in a material particular; or
( b ) recklessly make any statement or furnish any
document or information which is false in a material
particular.
(2) Any authorization which may have been granted by the
Director in connection with an application for which a false
statement was made or a false document or information was
furnished shall be void as from the time it was granted.
DUAL-USE ITEMS (EXPORT CONTROL) g S.L.365.12 7
Registration and 
provision of 
information.
13. (1) Not later than thirty days after any person makes an
export for a first time by virtue of an authorization granted by the
Director, or the National General Export Authorization, that person
shall give to the Director written notice of the following
particulars:
( a ) the name of the person; and
( b ) the address at which copies of the records referred to
in regulation 14 may be inspected by any person
authorized by the Minister under regulation 14.
(2) A person who has given to the Director written notice of
particulars under subregulation (1) shall, not later than thirty days
after any change in those particulars, give to the Director written
notice of the changed particulars.
Record keeping 
and inspection.
14. (1) Exporters shall keep detailed registers or records of
their exports. Such registers or records shall include in particular
commercial documents such as invoices, manifests and transport
and other dispatch documents, containing sufficient information to
allow the following to be identified:
( a ) the description of the dual-use items;
( b ) the quantity of the dual-use items;
( c ) the name and address of the exporter and of the
consignee;
( d ) in so far as it is known to that person, the end-use of
the items and the name and address of the end-user.
(2) The records referred to in subregulation (1) shall be kept
for at least three years from the end of the calendar year in which
the export took place, and the person concerned shall permit any
such records to be inspected and copied by any person authorized
by the Minister.
(3) Any person authorized by the Minister may, on producing if
required to do so a duly authenticated document showing his
authority, at any reasonable hour enter, for the purpose of
subregulation (2), the premises of which the address has most
recently been notified to the Director under regulation 13.
(4) Where any documents or records referred to in
subregulation (2) are kept in a form which is not legible the
exporter shall at the request of the person authorized by the
Minister, reproduce such documents or records in a legible form.
Penalties for 
failure to comply 
with these 
regulations.
15. (1) Any person in Malta, or any citizen or permanent
resident of Malta, whether in Malta or elsewhere, who -
( a ) exports items from Malta by virtue of an authorization
granted by the Director, or the National General
Export Authorization, and fails to comply with any
condition attaching to that authorization, or
( b ) contravenes any of these regulations,
shall be guilty of an offence and liable on conviction to a term of
imprisonment not exceeding five years or to a fine ( multa ) not
8 g S.L.365.12 DUAL-USE ITEMS (EXPORT CONTROL)
exceeding fifty thousand liri.
(2) No person shall be guilty of an offence under subregulation
(1)( a ) where:
( a ) as the case may be:
(i) the condition in question had been previously
modified without that person's consent by the
Director;
(ii) in the case of the National General Export
Authorization, the condition in question had
been previously modified;
( b ) the alleged failure to comply would not have been a
failure had the authorization, or National General
Export Authorization not been so modified; and
( c ) that person proves that the items in relation to which
he has failed to comply with the condition had, at the
time the condition was modified, already been
exported.
DUAL-USE ITEMS (EXPORT CONTROL) g S.L.365.12 9
SCHEDULE
Export of Dual-Use Goods
Authorization Application Form
1. EXPORTER Vat No:
Name of company:
Address:
Name of contact person:
Tel. No:
Fax No:
2. CONSIGNEE
Name:
Address:
Name of contact person:
Tel. No:
Fax No:
e-Mail Address:
3. AGENT/REPRESENTATIVE
Name of company:
Address:
Name of contact person:
Tel. No:
Fax No:
4. END-USER
Name:
Address:
Name of contact person:
Tel. No:
Fax No:
e-Mail Address:
5. Country of origin 6. Country of consignment 7. Country of final
destination
8. Description of the item*: 9.  Commodity Code 10. Control list no.
11. Currency and Value 12. Quantity of the
items
13  End use 14. Contract date 15. Customs export
procedure
16. Additional information deemed relevant by the exporter
17. I hereby apply for an export authorization in respect of the item described above and I
declare that all the particulars furnished by me are correct.
Signature Name in blocks Date
FOR OFFICE USE ONLY Reference No:
Export authorized: This authorization is valid until:
Signature Stamp
Name in blocks
Date
* Technical specifications of the item should be attached to this application form
Note: Boxes 1 to 17 should all be filled. A separate form should be submitted for each item.
10 g S.L.365.12 DUAL-USE ITEMS (EXPORT CONTROL)
Note: In part I of box 18, enter the quantity still available, and in part 2 of box 18 enter the quantity
deducted on that occasion.
17. Net quantity/value (Net mass/other
unit with indication of unit)
20. Customs document
(Type and number
or extract number)
and date of
deduction
21. Name in blocks
and signature
of Customs
Officer and
stamp
18. In numbers 19. In words
for
quantity/
value
deducted
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
