wk08577-en18
Dieses Dokument ist Teil der Anfrage „working papers dual-use regulation“
Brussels, 11 July 2018
WK 8577/2018 INIT
LIMITE
CONOP
COMER
CFSP/PESC
ECO
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WORKING PAPER
This is a paper intended for a specific community of recipients. Handling and
further distribution are under the sole responsibility of community members.
MEETING DOCUMENT
From: Presidency
To: Working Party on Dual-Use Goods
Subject: Overview of Member State Positions on Issue 6 Re-evaluation of intra-EU transfer
controls, enhanced information exchange and publication of public annual reports
With a view to the Dual Use meeting of 11 July, delegations will find attached an overview of Member
State positions on Issue 6.
WK 8577/2018 INIT
LIMITE EN
`OVERVIEW MSs POSITIONS
Issue 6 Re-evaluation of intra-EU transfer controls, enhanced information exchange and publication of public annual reports
- Art. 2.15 - Art. 20.1 and 20.2
- Art. 9 - Art. 24.2
- Art. 12
- Art. 16.2 (a) and (c)
Art. 2.15
No amendment Accept COM proposal BE PL
15. ‘Union general transfer
authorisation’ shall mean an
authorisation granted for transfers of Generally open to consider a general DE
certain dual-use items between transfer authorisation but still determining
Member States available to all which Annex IV items should be covered by
operators who respect its conditions it.
and requirements for use as listed in cannot support COM proposal FR NL
Section A of Annex IV;
Art. 9
No amendment Accept COM proposal BE PL DE
1. An authorisation shall be required for
intra-Community intra-Union
transfers of dual-use items listed in
Section B of Annex IV. Items listed in Can accept COM proposal as long as this NL
Part 2 of Annex IV shall not be covered means that a National licence (individual,
by a general authorisation. global or general) is required. Cannot
support the current ouline of Annex IV.
1. An authorisation shall be required for FR
intra-Union transfers of dual-use items
listed in Section B of Annex IV.
Page 1 of 13
No amendment Accept COM proposal BE FR NL PL DE
2. A Member State may impose an
authorisation requirement for the
transfer of other dual-use items from its
territory to another Member State in
cases where at the time of transfer:
No amendment Accept COM proposal BE FR NL PL DE
– the operator or the Member
State knows that the final
destination of the items
concerned is outside the Union
Community, and
No amendment Accept COM proposal BE FR NL PL DE
– export of those items to that
final destination is subject to
an authorisation requirement
pursuant to Articles 3, 4 or 8 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, and
No amendment Accept COM proposal BE FR NL PL DE
– no processing or working as
defined in Article 60(2) 24 of
the Community
Union Customs Code is to be
performed on the items in the
Member State to which they
are to be transferred.
Add at the end of the para: Provisions of FR
Art 8.2, 8.3 and 8.4 apply to national
measures referred to in paragraphs 2 of
this article
Page 2 of 13
No amendments Accept COM proposal BE PL
3. The transfer authorisation must be
applied for in the Member State from
which the dual-use items are to be DE
3. The transfer authorisation must be
transferred. applied for in the Member State from
which the dual-use items are to be
transferred.
No amendments Accept COM proposal BE DE FR PL
53. A Member State which adopts
legislation imposing such a requirement
shall inform the Commission and the
other Member States of the measures it 3. A Member State which adopts legislation NL
has taken without delay . The imposing such a requirement shall inform
Commission shall publish this the Commission and the other Member
information in the C series of the States of the measures it has taken without
Official Journal of the European Union. delay. The Commission shall publish this
information in the C series of the Official
Journal of the European Union.
No amendments Accept COM proposal BE DE PL
4. In cases where the subsequent export
of the dual-use items has already been
accepted, in the consultation procedures
The measures pursuant to paragraphs 1 FR
set out in Article 11, by the Member
and 2 shall not infringe the consultation
State from which the items are to be
procedure set out in Article 13, wich
transferred, the transfer authorisation
prevails unless the circumstances have
shall be issued to the operator
substantially changed.
immediately, unless the circumstances
have substantially changed.
No amendment Accept COM proposal BE DE FR NL PL
64. The measures pursuant to
paragraphs 1 and 2 shall not involve the
application of internal frontier controls
within the Union Community, but
solely controls which are performed as
part of the normal control procedures
applied in a non-discriminatory fashion
throughout the territory of the
Page 3 of 13
Union Community.
No amendment Accept COM proposal BE DE NL PL
75. Application of the measures
pursuant to paragraphs 1 and 2 may in
no case result in transfers from one
Member State to another being subject
to more restrictive conditions than those
imposed for exports of the same items
to third countries.
No amendment Accept COM proposal BE DE FR PL
96. A Member State may, by national
legislation, require that, for any intra-
Community intra-Union transfers from
that Member State of items listed in
Category 5, Part 2 of Section A of Depends on outcome of discussion on NL
Annex I which are not listed in Section Annex I and the Cyber-cluster.
B of Annex IV, additional information
concerning those items shall be
provided to the competent authorities of
that Member State.
7. The relevant commercial Accept COM proposal BE DE FR NL PL
107. The relevant commercial
documents relating to exports to
documents relating to intra-
third countries and intra-Union
Community intra-Union transfers of
transfers of dual-use items listed in
dual-use items listed in Annex I shall
Annex I shall indicate clearly that
indicate clearly that those items are
those items are subject to controls if Accept COM proposal; EP proposal can be PL
subject to controls if exported from the
exported from the Union. Relevant considered in an appropriate location but
Union Community. Relevant
commercial documents include, in not here
commercial documents include, in
particular, any sales contract, order
particular, any sales contract, order
confirmation, invoice or dispatch
confirmation, invoice or dispatch note.
note.
Art. 12
Page 4 of 13
No amendment Accept COM proposal BE PL
A Union general transfer
authorisation as set out in Section A
of Annex IV is established by this
Regulation for transfers between Delete FR NL
Member States of dual-use items See above. Same as for 2.15. DE
listed in Section B of Annex IV. Cannot support COM proposal. Depending NL
on scope of Annex IV.
Art. 16.2 (a) and (c)
No amendments Accept COM proposal BE DE PL
2. The Commission shall be
empowered to adopt delegated acts in
order to amend the lists of dual-use The Commission shall be empowered to NL
items set out in Annex I and Section adopt delegated acts in order to amend the
B of Annex IV, as follows: lists of dual-use items set out in Section A
of Annex I (excluding cyber surveillance
technology) and Section B of Annex IV, as
follows:
The Commission shall be empowered to FR
adopt delegated acts in order to amend the
lists of dual-use items set out in Annex I
and Section B of Annex IV, as follows:
“update”, not “amend” SE
No amendments Accept COM proposal BE FR DE PL
1. (a) Tthe list of dual-use items set out
in Section A of Annex I shall be
updated amended in conformity
“updated”, not “amended” SE
with the relevant obligations and
commitments, and any modification
Page 5 of 13
thereof, that Member States and the (a) The list of dual-use items set out in FR
Union have accepted as members of Section A of Annex I shall be amended in
the international non-proliferation conformity with the relevant obligations
regimes and export control and commitments, and any modification
arrangements, or by ratification of thereof, that Member States and the Union
relevant international treaties. Where have accepted as members of the
the amendment of Section A of Annex I international non-proliferation regimes and
concerns dual-use items which are also export control arrangements, or by
listed in Annexes II and IV, ratification of relevant international treaties.
Section B, those Annexes shall be Where the amendment of Section A of
amended accordingly. Annex I, concerns dual-use items which
are also listed in Annexes II and IV ,
Section B, those Annexes shall be
amended accordingly.
No amendments Accept COM proposal BE DE FR PL
2. (c) The list of dual-use items set
out in Section B of Annex IV, which
is a subset of Section A of Annex I,
shall be updated amended with
regard to Article 30 36 of the Cannot support the current outline of Annex NL
Treaty on the Functioning of the IV and therefore cannot support COM
European Union establishing the proposal.
European Community, namely the The list of dual-use items set out in Section SE
public policy and public security B of Annex IV, which is a subset of
interests of the Member States. Section A of Annex I, shall be updated
amended with regard to Article 30
36 of the Treaty on the Functioning
of the European Union establishing the
European Community, namely the public
policy and public security interests of the
Member States.
Art. 20.1 and 20.2
Page 6 of 13
No amendment Accept COM proposal BE DE
1. Each Member State States shall
inform the Commission without
delay of the laws, regulations and
administrative provisions adopted in
implementation of this Regulation, 1. Member States shall inform the NL
including: the measures referred to in Commission without delay of the laws,
Article 24. The Commission shall regulations and administrative provisions
forward the information to the other adopted in implementation of this
Member States. Regulation, including:
No amendment Accept COM proposal BE DE FR NL
6. (a) Member States shall
supply the Commission with a
list of the authorities
empowered to:
Accept COM proposal BE DE NL
– (a) grant export
authorisations for dual-
use items;
Accept COM proposal BE DE NL
– 4. Member States shall
supply the Commission
with a list of the
authorities empowered to
grant authorisations
under this Regulation for
the provision of
brokering services and
technical assistance .;
The Commission shall
publish the list of these
authorities in the C series
of the Official Journal of
the European Union.
Page 7 of 13
Accept COM proposal BE DE FR NL
– (b) decide to prohibit the
transit of non-
Community non-
Union dual-use items
under this Regulation.;
Accept COM proposal BE
(b) the measures referred to in
Article 22. Cannot accept COM proposal (enforcement NL
mechanism as described in article 22.2 not
supported)
(b) the measures referred to in Article 22.1. DE
Accept COM proposal BE DE NL
The Commission shall forward the
information to the other Member
States and shall publish the list of
these authorities information in
the C series of the Official Journal of
the European Union.
Accept COM proposal PL FI
12. Member States, in cooperation with
the Commission, shall take all
appropriate measures to establish direct 2. Member States, in cooperation with the BE SI
cooperation and exchange of Commission, shall take all appropriate
information between the measures to establish direct cooperation and
competent authorities, in particular to exchange of information between the
eliminate the risk that possible competent authorities with a view to
disparities in the application of export enhance the efficiency of the Union export
controls to dual-use items may lead to a control regime and to ensure the consistent
deflection of trade, which could create and effective implementation and
difficulties for one or more Member enforcement of control throughout the EU.
States.
2. Member States shall take all Member States shall exchange the details
appropriate measures to establish direct of exporters deprived of the right to use
cooperation and exchange of the national or Union general export
information between competent authorisations.
Page 8 of 13
authorities with a view to enhance the Member States shall exchange, where
efficiency of the Community available and relevant:
Union export control regime and
to ensure the consistent and effective
implementation and enforcement of
control throughout the EU . Such
information may shall include:
DE NL SE UK RO
2. Member States, in cooperation with the
IE
Commission, shall take all appropriate
measures to establish direct cooperation and
exchange of information between the
competent authorities with a view to
enhance the efficiency of the Union export
control regime and to ensure the consistent
and effective implementation and
enforcement of control throughout the EU.
Such information shall may include:
(a) all information regarding the Accept COM proposal PL FI
(a) information regarding the
application of controls;
application of controls,
Page 9 of 13
