(1)

Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community regime for the control of exports of dual-use items and technology requires dual-use items (including software and technology) to be subject to effective control when they are exported from the Community.

(1)

Council Regulation (EC) No 1334/2000 of 22 June 2000, as amended by Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual use items (2) requires dual-use items (including software and technology) to be subject to effective control when they are exported from or transit through the Union, or are delivered to a third country as a result of brokering services provided by a broker resident or established in the Union.

(2)

It is desirable to achieve uniform and consistent application of controls throughout the Community in order to avoid unfair competition among Community exporters and ensure efficiency of the security controls in the Community.

(2)

It is desirable to achieve uniform and consistent application of controls throughout the Union in order to avoid unfair competition among Union exporters, harmonise the scope of general export authorisations and the conditions of their use and ensure efficiency of the security controls in the Union .

(3)

In its Communication of 18 December 2006, the Commission put forward the idea of the creation of new Community General Export Authorisations in a bid to simplify the current legal system, enhance the industry's competitiveness and establish a level playing field for all Community exporters when they export certain items to certain destinations .

(3)

In its Communication of 18 December 2006, the Commission put forward the idea of the creation of new Union General Export Authorisations in a bid to simplify the current legal system, enhance the industry's competitiveness and establish a level playing field for all Union exporters when they export certain items to certain countries of destination .

(3a)

On 5 May 2009, the Council adopted Regulation (EC) No 428/2009. Accordingly, Regulation (EC) No 1334/2000 was repealed with effect from 27 August 2009. The relevant provisions of Regulation (EC) No 1334/2000 continue to apply only for export authorisation applications made before 27 August 2009.

(4)

In order to create new Community General Export Authorisations for certain non-sensitive dual-use items to certain non-sensitive countries, the relevant provisions of Regulation (EC) No 1334/2000 need to be amended by the addition of new Annexes.

(4)

In order to create new Union General Export Authorisations for certain specific dual-use items to certain specific countries, the relevant provisions of Regulation (EC) No 428/2009 need to be amended by the addition of new Annexes.

(5)

The competent authorities of the Member State where the exporter is established should be provided with the possibility of not permitting the use of the Community General Export Authorisations foreseen in this Regulation where the exporter has been sanctioned of an export-related offence punishable by the withdrawal of the right to use these authorisations.

(5)

The competent authorities of the Member State where the exporter is established should be provided with the possibility of not permitting the use of the Union General Export Authorisations foreseen in this Regulation where the exporter has been sanctioned because of an export-related offence punishable by the withdrawal of the right to use these authorisations.

(6)

Regulation (EC) No 1334/2000 should therefore be amended accordingly.

(6)

Regulation (EC) No 428/2009 should therefore be amended accordingly.

(2a)

In Article 13, paragraph 6 is replaced by the following:

‘6.     All notifications required under this Article will be made via secure electronic means including […] a secure system that shall be set up in accordance with Article 19(4).’

(2b)

In Article 19, paragraph 4 is replaced by the following:

‘4.     A secure and encrypted system for the exchange of information among Member States and whenever appropriate the Commission shall be set up by the Commission, in consultation with the Dual-Use Coordination Group set up under Article 23. The European Parliament shall be informed about the system's budget, development, provisional and final set-up and functioning, and network costs.’

(2c)

In Article 23, a new paragraph is added after paragraph 2:

‘2a.     The Chair of the Dual-Use Coordination Group shall submit an annual report to the European Parliament on its activities, questions examined and consultations as well as a list of exporters, brokers and stakeholders that have been consulted.’

(2d)

Article 25 is replaced by the following:

‘Article 25

Review and reporting

1.     Each Member State shall inform the Commission of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including the measures referred to in Article 24. The Commission shall forward the information to the other Member States.

2.     Every three years the Commission shall review the implementation of this Regulation and present a comprehensive implementation and impact assessment report to the European Parliament and the Council on its application, which may include proposals for its amendment. Member States shall provide to the Commission all appropriate information for the preparation of the report.

A further special section of the report shall provide comprehensive evidence on penalties, including criminal penalties for serious infringements of the provisions of this Regulation, such as intentional exports intended for use in a programme for the development or manufacture of chemical, biological, nuclear weapons or of missiles capable of their delivery without the authorisation required under this Regulation, or the falsification or omission of information with a view to obtaining an authorisation that would otherwise have been denied.

4.     The European Parliament or the Council may invite the Commission to an ad hoc meeting of the competent committee of Parliament or of the Council to present and explain any issues related to the application of this Regulation.’

(2e)

The following article is inserted:

‘Article 25a

International cooperation

Without prejudice to the provisions on mutual administrative assistance agreements or protocols in customs matters concluded between the Union and third countries, the Commission may negotiate with third countries agreements providing for the mutual recognition of export controls of dual-use items covered by this Regulation, in particular to eliminate authorisation requirements for re-exports within the territory of the Union. Those negotiations shall be conducted in accordance with the procedures established by Article 207(3) of the Treaty on the Functioning of the European Union and the relevant provisions of the Treaty establishing the European Atomic Energy Community, as appropriate.

When appropriate and when projects financed by the Union are at stake, the Commission can make proposals, in accordance with the relevant legislative frameworks of the Union or in the arrangements with third countries, so that an ad hoc committee involving all competent authorities of the Member States can be setup and be entitled to decide on the granting of the necessary export authorisations to ensure the proper functioning of those projects involving dual-use items or technologies.’

5.

For the purposes of this authorisation, ‘a low-value shipment’ means items which are comprised in a single export order and are dispatched by an exporter to a named consignee in one or more consignments the aggregate value of which does not exceed EUR5 000. For this purpose, ‘value’ means the price billed to the consignee; if there is no consignee or determinable price, it is the statistical value.

5.

For the purpose of this authorisation, ‘a low-value shipment’ means items which are comprised in a single export contract and are dispatched by an exporter to a named consignee in one or more consignments the aggregate value of which does not exceed EUR 3 000. If a transaction or act proves to be part of an integral economic operation, the value of the whole operation shall be considered when calculating the value of this authorisation. For this purpose, ‘value’ means the price billed to the consignee; if there is no consignee or determinable price, it is the statistical value. For the calculation of the statistical value, Articles 28 to 36 of Regulation (EEC) No 2913/92 shall apply. If the value cannot be determined, the authorisation shall not be granted.

Additional costs such as packaging and transport costs may be excluded from the calculation of the value only if:

5a.

The Commission shall inform the European Parliament and the Council annually of the review and the adapted amount referred to in paragraph 1.

1-1)

This is general export authorisation in accordance with Article 6(1) and covers the following items:

1-1)

This general export authorisation is in accordance with Article 9(1) and covers the following items:

a.

where the items were imported into the European Community territory for the purpose of maintenance or repair, and are exported to the country of consignment without any changes to their original characteristics, or

a.

where the items were re-imported into the customs territory of the Union for the purpose of maintenance, repair or replacement , and are exported or re-exported to the country of consignment without any changes to their original characteristics within a period of five years from the date when the original export authorisation was granted , or

b.

where the items are exported to the country of consignment in exchange for items of the same quality and number which were re-imported into the European Community territory for repair or replacement under warranty .

b.

where the items are exported to the country of consignment in exchange for items of the same quality and number which were re-imported into the customs territory of the Union for maintenance, repair or replacement within a period of five years from the date when the original export authorisation was granted.

1.

This general authorisation can only be used when the initial export has taken place under a Community General Export Authorisation or an initial export authorisation has been granted by the competent authorities of the Member State where the original exporter was established for the export of the items which have subsequently been re-imported into the Community Custom territory for the purposes of repair or replacement under warranty, as defined below.

1.

This authorisation can only be used when the initial export has taken place under a Union General Export Authorisation or an initial export authorisation has been granted by the competent authorities of the Member State where the original exporter was established for the export of the items which have subsequently been re-imported into the customs territory of the Union for the purposes of maintenance, repair or replacement. This general authorisation is valid only for exports to the original end-user.

(4)

for an essentially identical transaction where the initial authorisation has been revoked.

(4)

when the initial authorisation has been annulled, suspended, modified, or revoked.

(4a)

when the end use of the items in question is different from that specified in the original export authorisation.

(2)

provide customs officers, if so requested, with documentary evidence of the date of importation of the goods into the European Community , of any repairs to the goods carried out in the European Community and of the fact that the items are being returned to the person and the country from which they were imported into the European Community.

(2)

provide customs officers, if so requested, with documentary evidence of the date of importation of the goods into the Union , of any repairs to the goods carried out in the Union and of the fact that the items are being returned to the end user and the country from which they were imported into the Union .

4.

Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of first use of the authorisation no later than 30 days after the date when the first export takes place.

4.

Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of the first use of this authorisation no later than 30 days after the date when the first export takes place or, alternatively, and in accordance with a requirement by the authority of the Member State where theexporter is established, prior to the first use of this General Export Authorisation . Member States shall notify the Commission of the notification mechanism chosen for this General Export Authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.

Reporting requirements attached to the use of that authorisation and additional information that the Member Statefrom which the export is made may require on items exported under that authorisation are defined by Member States.

A Member State may require the exporter established in that Member State to register prior to the first use of that authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt of the registration request.

Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.

(4a)

where their return, in their original state, without the removal, copying or dissemination of any component or software, cannot be guaranteed by the exporter, or where a transfer of technology is connected with a presentation;

(4b)

where the relevant items are to be exported for a private presentation or demonstration (for example, in in-house showrooms);

(4c)

where the relevant items are to be merged into a production process;

(4d)

where the relevant items are to be used for their intended purpose, except to the minimum extent required for an effective demonstration and where specific test outputs are not made available to third parties;

(4e)

where the export is to take place as a result of a commercial transaction, in particular as regards the sale, rental or lease of the relevant items;

(4f)

where the relevant items are to be stored at an exhibition or fair only for the purpose of sale, rent or lease, without being presented or demonstrated;

(4g)

where the exporter makes any arrangement which would prevent him from keeping the relevant items under his control during the whole period of the temporary export.

1a.

3.

Any exporter who uses this general authorisation must notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of the first use of this authorisation no later than 30 days after the date when the first export takes place.

3.

Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of the first use of this authorisation no later than 30 days after the date when the first export takes place or, alternatively, and in accordance with a requirement by the authority of the Member State where the exporter is established, prior to the first use of this General Export Authorisation . Member States shall notify the Commission of the notification mechanism chosen for this General Export Authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.

Reporting requirements attached to the use of that authorisation and additional information that the Member State from which the export is made may require on items exported under that authorisation are defined by Member States.

A Member State may require the exporter established in that Member State to register prior to the first use of that authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt of the registration request.

Where applicable the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.

4.

For the purpose of this authorisation, ‘exhibition’ means any trade or industrial exhibition, fair or similar public show or display which is not organised for private purposes in shops or business premises with a view to the sale of foreign products, during which the products remain under customs control.

4.

For the purpose of this authorisation, ‘exhibition or fair ’ means commercial events of a specific duration at which several exhibitors make demonstrations of their products to trade visitors or to the general public.

1.

Digital computers specified in 4A003a or 4A003b, where the computers do not exceed an ‘Adjusted Peak Performance’ (‘APP’) greater than 0.8 Weighted TeraFLOPS (WT).

2.

Electronic assemblies specified in 4A003c, specially designed or modified to enhance performance by aggregation of processors so that an ‘Adjusted Peak Performance’ (‘APP’) of the aggregation greater than 0.8 Weighted TeraFLOPS (WT) is not exceeded.

3.

Spare parts, including microprocessors for the above-mentioned equipment, where they are exclusively specified in 4A003a, 4A003b or 4A003c and do not enhance performance of the equipment beyond an ‘Adjusted Peak Performance’ (‘APP’) greater than 0.8 Weighted TeraFLOPS (WT).

4.

Items described in entries 3A001.a.5, 4A003.e, 4A003.g.

1.

2.

3.

4.

(cb)

for use in connection with a violation of human rights, democratic principles or freedom of speech as defined by the Charter of Fundamental Rights of the European Union, to which Article 6 of the Treaty on European Union refers, by using interception technologies and digital data transfer devices for monitoring mobile phones and text messages and targeted surveillance of internet use (for example through Monitoring Centres and Lawful Interception Gateways);

(2)

where the exporter is aware that the items in question are intended, in their entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2).

(2)

where the exporter is aware that the items in question are intended, in their entirety or in part, for any of the uses referred to in subparagraph 1 .

(2a)

where the exporter is aware that the items will be re-exported to any country of destination other than those listed in Part 2 of this authorisation, those listed in Part 2 of authorisation EU001 CGEA or the Member States.

(1)

inform the competent authorities of the Member State where he is established (as defined in Article 6(6)) of first use of the authorisation no later than 30 days after the date of first export ;

(1)

notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of the first use of this authorisation no later than 30 days after the date when the first export takes place or, alternatively, and in accordance with a requirement by the authority of the Member State where the exporter is established, prior to the first use of this General Export Authorisation. Member States shall notify the Commission of the notification mechanism chosen for this General Export Authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.

(2)

where the exporter is aware that the items in question are intended, in their entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2).

(2)

where the items in question are intended, in their entirety or in part, for any of the uses referred to in Articles 4(1) and 4(2) ;

(2a)

where the exporter is aware that the items will be re-exported to any country of destination other than those listed in Part 2 of this authorisation, those listed in Part 2 of authorisation EU001 CGEA or to the Member States.

(1)

inform the competent authorities of the Member State where he is established (as defined in Article 6(6)) of first use of the authorisation no later than 30 days after the date of first export ;

(1)

notify the competent authorities of the Member State where he is established (as defined in Article 6(6)) of the first use of this authorisation no later than 30 days after the date when the first export takes place or, alternatively, and in accordance with a requirement by the authority of the Member State where the exporter is established, prior to the first use of this General Export Authorisation. Member States shall notify the Commission of the notification mechanism chosen for this General Export Authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.