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Brussels, 19 April 2018

                                                                       WK 4656/2018 INIT



                                         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.

 From:                French Delegation
 To:                  Working Party on Dual-Use Goods
 Subject:             Commission Proposal for a Regulation setting up a Union regime for control of
                      exports, transfer, brokering, technical assistance and transit of Dual-Use items -
                      French Comments

With a view to the 19 April Dual Use meeting, delegations will find attached French comments on
the Commission Proposal for a Regulation setting up a Union regime for control of exports, transfer,
brokering, technical assistance and transit of Dual-Use items.

WK 4656/2018 INIT
LIMITE                                                                                                 EN

Paris, 18/04/2018


Objet : Refonte du règlement instituant un régime de contrôle des exportations, des transferts, du
courtage, de l’assistance technique et du transit en qui concerne les biens à double usage.
Commentaires et propositions sur l’annexe II-I « Cryptage. Autorisation Générale d’exportation de
l’Union n°EU009 ».

La France comprend l’objectif de la proposition de la Commission s’agissant de la licence générale
EU009 au vu de la généralisation de l’utilisation de la cryptologie dans les produits commerciaux.
Cependant, si la plupart des produits cryptologiques peuvent être contrôlés à posteriori, certains
biens ont une sensibilité élevée voire même très élevée au regard des enjeux de sécurité nationale. Il
est ainsi indispensable d’exclure certains biens de cette licence générale. Il faut pour cela exclure
explicitement de cette licence générale l’export de la technologie d’une part et l’export des biens de
cryptanalyse d’autre part. Néanmoins, pour exclure les produits de cryptologie les plus sensibles tout
en simplifiant l’export du plus grand nombre, une simple citation des alinéas de l’annexe I est
malheureusement impossible. Pour résoudre cette problématique, la France propose soit de définir
une liste technique de biens éligibles à cette licence générale comme l’a proposé le Royaume-Uni soit
de définir un mécanisme spécifique permettant aux autorités nationales compétentes de juger de
l’éligibilité des différents biens à cette licence générale au regard de leur sensibilité comme détaillé
dans ce document de travail.
Les propositions de la France, sur la base du règlement (UE) 2017/2268 qui intègre une modification
profonde de la catégorie 5.2 de l’annexe I, sont précisées dans le document joint.

With the widespread use of cryptography, there has been an increase in the number of items
controlled by Category 5 Part 2 of the dual-use list. This is why more products using cryptography are
excluded from control every year, in compliance with Wassenaar Arrangement Participating States
national policies on national security. Still, a number of items remain controlled and a risk based
approach could facilitate trade for some of these items through a general export authorisation. The
export control of low risk items could be done a posteriori while others should remain under a priori
control. Indeed not all items using cryptography are as widely available, and that they do not
present the same concerns with regards to the essential security interests of the Union and its
Member States. This reality is better taken into account in some license exceptions existing in certain
non-EU countries, and consequently, doing the same, would not jeopardise the objective of ensuring
a level-playing field with those countries.

In this context, EU general authorisation for encryption items should be based on the latest
instalment of the control list (Commission Delegated Regulation (EU) 2017/2268) and discussions
should be led on this basis.


EU009 cannot include items previously listed as 5x2.a.2 now listed as 5x4 systems, equipment and
components, and associated software and technology for defeating, weakening or bypassing
“information security”. As their presence on Annex IV shows, they can pose a great threat to national
security as well as impede international security and stability.

EU009 cannot either include all information security or communications and networking items and
some items from 5A002a should be excluded from this general authorisation.

For instance some public safety radios are subject to export limitations by other rules such as ETSI’s
and it is the Member States responsibility to ensure that their exporters comply with those.
Moreover, export of equipment protecting secret or confidential information or equipment
contributing to European sovereignty such as Galileo equipment could cause grave prejudice to
essential EU interests or member state national security. The line distinguishing sovereign from
commercial items is very thin as they may use exactly the same types of cryptographic algorithm.
Only competent authorities can evaluate the sensitivity and classification of these items.

Likewise it is necessary to keep a control on telecommunication items that may constitute a part of
any interception chain even if they do not integrate some lawful or unlawful interception

Touching on technology, all licences requested in France these past years have shown to present a
high risk and therefore need a thorough review process and it would thus be preferable that it is
excluded from general authorisations other than EUGA001.

Therefore, and in order to ensure an adequacy between the sensitivity of the items and the
robustness of the control modalities, this general authorisation should include either a detailed list of
eligible items like the one proposed by the UK or a specific mechanism allowing Member States to
confirm classification and eligibility of the items for this general authorisation.


Proposition de la Commission                  Amendements PE             Position / Proposition FR
                                       Annex II-I (EU009 – Encryption)
Part 1 — Items                                                           Part 1 — Items
This general export authorisation                                        This general export
covers the following dual-use                                            authorisation covers the
items specified in Section A of                                          following dual-use items
Annex I to this Regulation:                                              specified in Section A of Annex
–       5A002.a.1,                                                       I to this Regulation:
–       5A002.a.2,                                                       –         5A002.a.1 excluding
–       5A002.a.5,                                                       items identified by the
–       5A002.a.6,                                                       competent national
–       5A002.a.9,                                                       authority,
–       5A002.b,                                                         –         5A002.a.2 excluding
–       5B002,                                                           items identified by the
–       5D002,                                                           competent national
–       5E002.                                                           authority,
                                                                         –         5A002.a.3,
                                                                         –         5A002.a.4,
                                                                         –         corresponding
                                                                         –         corresponding 5B002,
                                                                         –         corresponding 5D002,
                                                                         –         5E002.

                                                                         A Member State may
                                                                         require exporters
                                                                         established in that Member
                                                                         State to provide details of
                                                                         items in order to establish
                                                                         classification and
                                                                         additional exclusions from
                                                                         this general export
Part 2 —Destinations
This authorisation is valid
throughout the Union for exports
to all destinations, excluding those
subject to an arms embargo and
those subject to restrictive
measures of the Union applicable
to dual-use goods and technology.
Part 3 —         Conditions and
requirements for use
1.       This authorisation does
not authorise the export of items
(1)      the exporter has been
informed by the competent
authority of the Member State in
which he is resident or established
that the items in question are or
may be intended, in their entirety


or in part:
(a)      for use in connection with      or in part:
the development, production,             (a)      for use in connection
handling, operation, maintenance,        with the development,
storage, detection, identification       production, handling,
or dissemination of chemical,            operation, maintenance,
biological or nuclear weapons or         storage, detection,
other nuclear explosive devices, or      identification or dissemination
the development, production,             of chemical, biological or
maintenance or storage of missiles       nuclear weapons or other
capable of delivering such               nuclear explosive devices, or
weapons;                                 the development, production,
(b)      for a military end-use; or      maintenance or storage of
(c)      for use as parts or             missiles capable of delivering
components of military items             such weapons;
listed in national military lists that   (b)      for a military or
have been exported from the              government security end-use;
territory of the Member State            or
concerned without authorisation          (c)      for use as parts or
or in breach of an authorisation         components of military items
prescribed by the national               listed in national military lists
legislation of that Member State;        that have been exported from
                                         the territory of the Member
                                         State concerned without
                                         authorisation or in breach of
                                         an authorisation prescribed by
                                         the national legislation of that
                                         Member State;

(2)      the exporter, under his
obligation to exercise due
diligence, is aware that the items
in question are intended, in their
entirety or in part, for any of the
uses referred to in subparagraph
(3)      the exporter, under his
obligation to exercise due
diligence, is aware that the items
in question will be re-exported to
any destination other than those
listed in Part 2 of Section A of this


Annex and the Member States;
(4)      the relevant items are
exported to a customs-free zone
or a free warehouse which is
located in a destination covered
by this authorisation.
2.       Exporters shall declare
that the items are being exported
under Union General Export
Authorisation EU009 in the
customs declaration.
3.       Any exporter intending to     A Member State may
use this authorisation shall           require exporters
register prior to the first use of     established in that Member
this authorisation with the            State to register prior to the
competent authority of the
                                       first use of this
Member State where he is
                                       authorisation. Registration
resident or established.
Registration shall be automatic        shall be automatic and
and acknowledged by the                acknowledged by the
competent authority to the             competent authorities to
exporter within 10 working days        the exporter without delay
of receipt.                            and in any case within 10
The registered exporter shall          working days of receipt.
notify the first use of this
authorisation to the competent
authority of the Member State
where he is resident or
established, no later than 10 days
before the date of the first export.
4.       The registered exporter
shall report to the competent
authority of the Member State
where he is resident or
established on the use of this
authorisation. The report on the
use of this authorisation shall be
produced at least once per year
and shall include at least the
following information:
(1)      the description of the
dual-use items, including the
relevant control entry from
Section A of Annex I to this
(2)      the quantity and the value
of the dual-use items;
(3)      the name and address of
the consignee;
(4)      where known, the end-use
and end-user of the dual-use