wk02685-re02-en18
Dieses Dokument ist Teil der Anfrage „working papers dual-use regulation“
providing an end-use statement
All individual authorisations shall be subject to an NL
end-user statement. All global authorisations may
be subject, if appropriate, to an end-user
statement.
Global export authorisations Global export authorisations shall be EP’s proposal: SE
shall be subject to the subject to the implementation, by the Subpara 3 – not accepted.
implementation, by the exporter, of an effective internal
exporter, of an effective compliance programme. The exporter
internal compliance shall have the possibility, on a
programme. The exporter shall voluntary basis, to have its ICP
also report to the competent certified free of charge by the
authority, at least once a year, competent authorities on the basis
on the use of this authorisation; of a reference ICP established by
the report shall include at least the Commission, in order to
the following information: obtain
(a) the description of incentives in the authorisation
the dual-use items, process from the national
including the relevant competent authorities. The exporter
control entry from shall also report to the competent
Section A of Annex I; authority, at least once a year. or on
(b) the quantity and the request of the competent
value of the dual-use authority, on the use of this No amendments FI
Page 14 of 30
items; authorisation: the report shall include at The UK does not support the introduction of UK
(c) the name and least the following information: compulsory internal compliance programmes
address of the (ICP’s) for exporters. This would create a serious
consignee; d) the end-use and end-user of the dual- burden for exporters, especially SMEs.
(d) where known, the use items.
end-use and end- UK would support the alteration of the text to read:
user of the dual-use (da) the name and address of the
items. end-user, where known. “Exporters using Global export
authorisations shall, where appropriate,
(db) the date on which the export implement an internal compliance
took place; programme”.
The UK can support the need for a reporting
requirement.
BE
….(d) where known, the end-use and name and
address of the end-user of the dual-use items
…. The exporter shall also report to the competent NL
authority, at least once a year where
appropriate, or on request of the competent
authority, on the use of this authorisation; the
report shall include at least the following
information:…..
e) Address of the end-user
f) the date on which the export took
place.
2. At the request of exporters, global Suggests the deletion of the final paragraph UK
export authorisations that contain (meaning ambiguous).
quantitative limitations shall be split.
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Art. 14.1
1. In deciding whether or not to grant 1. In deciding whether or not to grant FI
This Finnish proposal is one possibility to make the
an individual or global export an individual or global export
structure of this article clearer but we are open to
authorisation or to grant an authorisation or to grant an
consider possible other proposals with the same
authorisation for brokering services authorisation for brokering services or
intention.
or technical assistance under this technical assistance under this
Regulation, or to prohibit a Regulation, or to prohibit a transit, the
transit, the competent competent authorities of the Member
authorities of the Member States States shall take into account all Needs more time for detailed comments. SE
shall take into account all relevant relevant considerations including:
considerations including the
following criteria : The UK would like further clarification from the UK
Commission about their proposal, and specifically,
the intention behind and implications of the the
deletion of the reference to Council Common
Position 2008/944/CFSP.
The use of “or to prohibit a transit” needs some
clarification.
In deciding whether or not to grant an individual or NL
global export authorisation or to grant an
authorisation for brokering services or technical
assistance under this Regulation, or to prohibit
a transit, the competent authorities of the
Member States shall take into account all
relevant considerations that could include:
In deciding whether or not to grant an individual or BE
global export authorisation or to grant an
authorisation for brokering services or technical
assistance under this Regulation, or to prohibit a
transit, the Member States shall take into account
all relevant considerations including:
(a) Union and Member States' (a) Union and Member States’ international NL
(a) Union and Member States’
international obligations and obligations and commitments, in particular the
international obligations and
commitments, in particular the obligations and commitments they have each
commitments, in particular the
obligations and commitments they have accepted as members of the relevant international
obligations and commitments they
each accepted as members of the non-proliferation regimes and export control
have each accepted as members of
relevant international non-proliferation arrangements, or by ratification of relevant
the relevant international non-
regimes and export control international treaties;
proliferation regimes and export
arrangements, or by ratification of (a) the obligations and commitments they BE
control arrangements, or by
relevant international treaties; have each accepted as members of the
ratification of relevant international
relevant international non-proliferation
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treaties and (b) their obligations regimes and export control arrangements,
under sanctions imposed by a (aa) their obligations under or by ratification of relevant international
decision or a common sanctions imposed by a decision treaties;
position adopted by the Council or or a common position adopted by
by a decision of the OSCE or by a the Council or by a decision of the deleted FI
binding resolution of the Security OSCE or by a binding resolution
(b) their obligations under sanctions imposed by a NL, BE
Council of the United Nations; of the Security Council of the
decision or a common position adopted by the
United Nations;
Council or by a decision of the OSCE or by a
binding resolution of the Security Council of the
United Nations;
(b) respect for human rights in (d) considerations on human rights in the NL
the country of final destination (ba) the occurrence of violations country of final destination as part of
as well as respect by that of human rights law, fundamental the criteria mentioned in Council
country of international freedoms and international Common Position 2008/944/CFSP of 8
humanitarian law; humanitarian law in the country December 2008
of final destination as has been
established by the competent deleted FI
bodies of the UN, the Council of
Europe or the Union;
(c) the internal situation in the (c) the internal situation in the country deleted NL, BE, FI
country of final destination – of final destination - competent
competent authorities will not authorities shall not authorise exports
authorise exports that would that would provoke or prolong armed
provoke or prolong armed conflicts or aggravate existing tensions
conflicts or aggravate existing or conflicts in the country of final
tensions or conflicts in the destination:
country of final destination;
(d) preservation of regional deleted NL, BE,FI
peace, security and stability; (da) the behavior of the country of
destination with regard to the
international community, as
regards in particular its altitude
to terrorism, the nature of its
alliances and respect for
international law;
(db) compatibility of the exports
of the items with regard to the
technical and economic capacity
of the recipient country;
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(c e) considerations of national No amendment considerations of national foreign and security NL, BE
foreign and security policy, including policy, including those covered by Council
security of Member States and Common Position 2008/944/CFSP of 8
of territories whose external December 2008 defining common rules
relations are the responsibility governing control of exports of military
of a Member State, as well as technology and equipment;
that of friendly and allied
countries those covered by Council (a) The Criteria in the Council Common Position FI
Common Position 2008/944/CFSP 2008/944/CFSP of 8 December 2008 defining
of 8 December 2008 defining common rules governing control of exports of
common rules governing control of military technology and equipment, to be applied
exports of military technology and to dual use items wherever possible. In addition,
equipment; the competent authorities of the Member States
shall take into account the risks of diversion of the
items during the transit of the items
(c) Other considerations of national foreign and
security policy
(d f) considerations about intended (f) considerations about intended end considerations about intended end use and the risk BE, NL
end use and the risk of diversion, use and the risk of diversion, including of diversion , including existence of a risk that the
including existence of a risk existence of a risk that the dual-use, dual-use items will be diverted or re-exported
that the dual-use items will be and in particular, cyber- under undesirable conditions
diverted or re-exported under surveillance items will be diverted or
undesirable conditions. re-exported under undesirable
conditions, or be diverted to
unintended military end-use or to
terrorism.
No text No text New text: (b) The application by the exporters, FI
brokers and suppliers of technical assistance of
proportionate and adequate means and procedures
to ensure compliance with the provisions and
objectives of this Regulation and with the terms and
conditions of the authorisation
1a. With regard to individual or
global export authorisations or
authorisations for brokering
services or technical assistance
for cyber-surveillance items, the
competent authorities of the
Member States shall in particular
consider the risk of violation of
the right to privacy, the right to
data protection, freedom of speech
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and freedom of assembly and
association, as well as risks
relating to the rule of law, the
legal framework for use of the
items to be exported and the
potential security risks for the
Union and the Member States.
Where the competent authorities
of a Member State come to the
conclusion that the existence of
such risks is likely to lead
to serious violations of human
rights, Member Slates shall not
grant export authorisations or
shall annul, suspend, modify or
revoke existing authorisations.
Belgium new proposal: BE
1. In deciding whether or not to grant an individual
or global export authorisation or to grant an
authorisation for brokering services or technical
assistance under this Regulation, or to prohibit a
transit, the Member States shall take into account
the following criteria:
a) an authorisation or transit shall be
denied if approval would be
inconsistent with:
i. Union and Member States’
international obligations and
commitments, in particular
the obligations and
commitments they have each
accepted as members of the
relevant international non-
proliferation regimes and
export control arrangements,
or by ratification of relevant
international treaties;
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ii. their obligations under
sanctions imposed by a
decision or a common
position adopted by the
Council or by a decision of the
OSCE or by a binding
resolution of the Security
Council of the United Nations;
b) an authorisation or transit shall be
denied if:
i. there is a clear risk that the
item might be used for
internal repression;
ii. there is a clear risk that the
item might be used for serious
violations of human rights;
iii. there is a clear risk that the
item might be used in the
commission of serious
violations of international
humanitarian law;
iv. the transaction would
provoke or prolong armed
conflicts or aggravate
existing tensions or conflicts
in the country of final
destination;
v. there is a clear risk that the
intended recipient would use
the item to be exported
aggressively against another
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country or to assert by force a
territorial claim, taking into
account:
a. the existence or likelihood
of armed conflict between
the recipient and another
country;
b. a claim against the
territory of a
neighbouring country
which the recipient has in
the past tried or
threatened to pursue by
means of force;
c. the likelihood of the item
being used other than for
the legitimate national
security and defence of the
recipient;
d. the need not to affect
adversely regional
stability in any significant
way.
c) competent authorities shall exercise
special caution and vigilance in
issuing licences, on a case-by-case
basis and taking account of the
nature of the item:
i. where serious violations of
human rights have been
established by the competent
bodies of the United Nations,
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by the European Union or by
the Council of Europe in the
country of end use;
d) where there is a risk the items will be
diverted within the buyer country or
re-exported competent authorities
shall also take into
consideration:
i. the potential effect of the
transaction on their defence
and security interests as well
as those of Member State and
those of friendly and allied
countries, while recognising
that this factor cannot affect
consideration of the criteria
mentioned above;
ii. the risk of use of the items
concerned against their
forces or those of Member
States and those of friendly
and allied countries;
iii. the behaviour of the country
of destination with regard to
the international community,
as regards in particular its
attitude to terrorism, the
nature of its alliances and
respect for international law;
iv. compatibility of the exports of
the items with regard to the
technical and economic
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capacity of the recipient
country.
For the purposes of this paragraph,
internal repression shall include, inter alia,
torture and other cruel, inhuman and
degrading treatment or punishment,
summary or arbitrary executions,
disappearances, arbitrary detentions,
grave violation of the right to privacy, the
right to data protection, freedom of speech
and freedom of assembly and association,
as well as risks relating to the rule of law.
2. In addition to the criteria set in
paragraph 1, when assessing an application
for a global export authorisation Member
States shall take into consideration the
internal compliance programme of the
exporter.
Art. 14.2
2. The Commission and the Council Needs more time for detailed comments. SE
2. In addition to the criteria set in
shall make available guidelines, upon
paragraph 1, when assessing an
entry into force of this Regulation,
application for a global export
to ensure common risk assessments by In line with our opposition to adding a requirement UK
authorisation Member States shall
the competent authorities of the for ICPs, the UK would like this text retained.
take into consideration the
Member States for the implementation
application by the exporter of
of those criteria and with a view to
proportionate and adequate means
provide uniform criteria for
and procedures to ensure compliance
licensing decisions. The
with the provisions and objectives of
Commission shall prepare
this Regulation and with the terms
guidelines in the form of a
and conditions of the authorisation.
handbook detailing the steps to be
2. The Commission and the followed by Member State This links to Article 14(1). Further guidance would
Council shall make available competent licensing authorities only be necessary if the deletion of the Common
guidance and/or and exporters exercising due Position reference is maintained. A comprehensive
recommendations to ensure diligence with practical User’s Guide on the Common Position is already
common risk assessments by recommendations on the available.
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