37 Amendments of Bernd LANGE related to 2016/0295(COD)
Amendment 59 #
Proposal for a regulation
Recital 3
Recital 3
(3) An effective common system of export controls on dual-use items is therefore necessary to ensure that the international commitments and responsibilities of the Member States and of the Union, especially regarding non- proliferation and human rights, are complied with.
Amendment 63 #
Proposal for a regulation
Recital 5
Recital 5
(5) Considering the emergence of new categories of dual-use items, and in response to calls from the European Parliament and indications that certain cyber-surveillance technologies exported from the Union have been misused by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law in situations of armed conflict or internal repression, it is appropriate to control the export of those technologies in order to protect public security as well as public morals. These measures should not go beyond what is proportionate. They should, in particular, not prevent the export of information and communication technology used for legitimate purposes, including law enforcement and internet security research. The Commission, in close consultations with the Member States and stakeholders, will develop guidelinesshould provide guidance to support the practical applications of those controls upon entry into force of this Regulation.
Amendment 68 #
Proposal for a regulation
Recital 6
Recital 6
(6) As a result, it is also appropriate to revise the definition of dual-use items, and to introduce a definition of cyber- surveillance technology. It should also be clarified that assessment criteria for the control of exports of dual-use items include considerations regarding their possible misuse in connection with acts of terrorism or human rights violations.
Amendment 95 #
Proposal for a regulation
Recital 25
Recital 25
(25) Outreach to the private sector and transparency are essential elements for an effective export control regime. It is therefore appropriate to provide for the continued development of guidance, upon entry into force of this Regulation, to support the application of this Regulation and for the publication of an annual report on the implementation of controls, in line with current practice.
Amendment 97 #
Proposal for a regulation
Recital 25 a (new)
Recital 25 a (new)
(25a) Whereas it is appropriate to ensure that the definitions in this proposal are in accordance with the definitions in the Union Customs Code.
Amendment 101 #
Proposal for a regulation
Recital 29
Recital 29
(29) Export controls have an impact on international security and trade with third countries and it is therefore appropriate to develop dialogue and cooperation with third countries, engage in capacity- building and to promote upward convergence in order to support a global level-playing field and enhance international security.
Amendment 102 #
Proposal for a regulation
Recital 29 a (new)
Recital 29 a (new)
(29a) It is essential that Member States engage in those multilateral control export regimes in which they participate in order to promote adherence to the list of dual-use items subject to export controls in Section B of Annex I
Amendment 103 #
Proposal for a regulation
Recital 31
Recital 31
(31) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, notably the freedom to conduct business,
Amendment 131 #
Proposal for a regulation
Article 2 – paragraph 1 – point 13
Article 2 – paragraph 1 – point 13
13. 'large project authorisation' shall mean a global export authorisation granted to one specific exporter, in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users in one or more specified third countries for the duration of a specified project the realisation of which exceeds one year. This global export authorization may be valid for no longer than four years and may be renewed by the competent authority;
Amendment 147 #
Proposal for a regulation
Article 2 – paragraph 1 – point 21 – point e
Article 2 – paragraph 1 – point 21 – point e
Amendment 151 #
Proposal for a regulation
Article 2 – paragraph 1 – point 21 – subparagraph 1 a (new)
Article 2 – paragraph 1 – point 21 – subparagraph 1 a (new)
Therefore 'cyber-surveillance technology' shall not mean IT products and technology not covered by this definition;
Amendment 154 #
Proposal for a regulation
Article 2 – paragraph 1 – point 22 a (new)
Article 2 – paragraph 1 – point 22 a (new)
(22a) "due diligence" shall mean the process through which enterprises can identify, prevent, mitigate and account for how they address their actual and potential adverse impacts as an integral part of business decision-making and risk management systems, as defined by relevant OECD-instruments
Amendment 155 #
Proposal for a regulation
Article 2 – paragraph 1 – point 23
Article 2 – paragraph 1 – point 23
Amendment 171 #
Proposal for a regulation
Article 4 – paragraph 1 – point d
Article 4 – paragraph 1 – point d
(d) for use by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian rights law, in situations of armed conflict or internal repression in the country of final destination, ascountries where serious violations of human rights have been identified by relevant public international institutions, or European or national competent authorities, and where there is evidence of the use of this or similar items for directing or implementing such serious violations by the proposed end-user;
Amendment 173 #
Proposal for a regulation
Article 4 – paragraph 1 – point d
Article 4 – paragraph 1 – point d
(d) for use by natural or legal persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law in situations of armed conflict or internal repression in the country of final destination, as identified by relevant public international institutions, or European or national competent authorities, and where there is evidence of the use of this or similar items for directing or implementing such serious violations by the proposed end-user;
Amendment 176 #
Proposal for a regulation
Article 4 – paragraph 1 – point e
Article 4 – paragraph 1 – point e
Amendment 183 #
Proposal for a regulation
Article 4 – paragraph 2
Article 4 – paragraph 2
2. If an exporter, under his obligation to exercise due diligence, has evidence or becomes aware through adherence to the guidance referred to in Article 14(2) or is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraph 1, he must notify the competent authority, which will decide whether or not it is expedient toshall make the export concerned subject to authorisation.
Amendment 203 #
Proposal for a regulation
Article 4 – paragraph 4 – subparagraph 4
Article 4 – paragraph 4 – subparagraph 4
The Commission and the Member States wishall maintain an updated register of authorisation requirements in place. The data available in this register will be included in the report to the European Parliament, referred to in Article 24(2).
Amendment 208 #
Proposal for a regulation
Article 5 – paragraph 2
Article 5 – paragraph 2
2. If a broker is aware that the dual- use items for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the competent authority which will decide whether or not it is expedient toshall make such brokering services subject to authorisation.
Amendment 217 #
Proposal for a regulation
Article 7 – paragraph 1
Article 7 – paragraph 1
1. An authorisation shall be required for the provision, directly or indirectly, of technical assistance related to dual-use items, or related to the provision, manufacture, maintenance and use of dual- use items, if the supplier of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).
Amendment 221 #
Proposal for a regulation
Article 7 – paragraph 2
Article 7 – paragraph 2
If a supplier of technical assistance is aware that the dual-use items for which he proposes to supply technical assistance are intended, in their entirety or in part, for any of the uses referred to in Article 4 (1), he must notify the competent authority which will decide whether or not it is expedient toshall make such technical assistance subject to authorisation.
Amendment 231 #
Proposal for a regulation
Article 9 – paragraph 7
Article 9 – paragraph 7
7. The relevant commercial documents relating to exports to third countries and intra-Union transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the Union. Relevant commercial documents include, in particular, any sales contract, order confirmation, invoice or dispatch note.
Amendment 238 #
Proposal for a regulation
Article 10 – paragraph 3
Article 10 – paragraph 3
3. Individual export authorisations and global export authorisations shall be valid for onetwo years, and may be renewed by the competent authority. Global export authorisations for large projects shall be valid for a duration to be determinno longer than four years and may be renewed by the competent authority.
Amendment 246 #
Proposal for a regulation
Article 10 – paragraph 4 – subparagraph 2
Article 10 – paragraph 4 – subparagraph 2
Authorisations mayshall be subject, if appropriate, to an end-use statement.
Amendment 254 #
Proposal for a regulation
Article 10 – paragraph 4 – subparagraph 3 – point d
Article 10 – paragraph 4 – subparagraph 3 – point d
(d) where known, the end-use and end- user of the dual-use items.
Amendment 272 #
Proposal for a regulation
Article 14 – paragraph 1 – point c
Article 14 – paragraph 1 – point c
(c) the internal situation in the country of final destination – competent authorities wishall not authorise exports that would provoke or prolong armed conflicts or aggravate existing tensions or conflicts in the country of final destination;
Amendment 288 #
Proposal for a regulation
Article 14 – paragraph 2
Article 14 – paragraph 2
2. The Commission and the Council shall make available guidance and/or recommend, upon entry into force of this regulations, to ensure common risk assessments by the competent authorities of the Member States for the implementation of those criteria. and with a view to provide uniform criteria for licensing decisions. The Commission shall prepare guidance in the form of a handbook detailing the steps to be followed by Member State competent licensing authorities and exporters exercising due diligence with practical recommendations on the implementation and compliance with the controls pursuant to Article 4 (1) (d) and the criteria listed in Article 14 (1). This handbook shall be elaborated in close cooperation with the Dual Use Coordination Group and will involve external expertise from academia, exporters and civil society organizations. The Commission shall establish a capacity-building programme by developing common training programmes for officials from licensing and customs enforcement authorities.
Amendment 304 #
Proposal for a regulation
Article 16 – paragraph 2 – point b
Article 16 – paragraph 2 – point b
(b) The list of dual-use items set out in Section B of Annex I mayshall be amended if this is necessary due to risks that the export of such items may pose as regards the commission of serious violations of human rights or international humanitarian law or the essential security interests of the Union and its Member States or if controls for a significant amount of dual use items have been triggered pursuant to Article 4 (1) in this Regulation.
Amendment 324 #
Proposal for a regulation
Article 22 – paragraph 1
Article 22 – paragraph 1
1. Each Member State shall take appropriate measures to ensure proper enforcement of all the provisions of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties must be effective, proportionate and dissuasive. This includes regular risk-based audits of exporters.
Amendment 326 #
Proposal for a regulation
Article 22 – paragraph 2
Article 22 – paragraph 2
2. The Dual-Use Coordination Group shall set up an Enforcement Coordination Mechanism with a view to establish direct cooperation and exchange of information between competent authorities and enforcement agencies and to provide for uniform criteria for licensing decisions.
Amendment 330 #
Proposal for a regulation
Article 24 – paragraph 1
Article 24 – paragraph 1
1. The Commission and the Council shall, where appropriate, make available guidance and/or recommendations for best practices for the subjects referred to in this Regulation to ensure the efficiency of the Union export control regime and the consistency of its implementation. The competent authorities of the Member States shall also, where appropriate, provide complementary guidance for exporters, brokers and transit operators resident or established in that Member State.
Amendment 334 #
Proposal for a regulation
Article 24 – paragraph 2 – subparagraph 2
Article 24 – paragraph 2 – subparagraph 2
Member States shall provide to the Commission all appropriate information for the preparation of the report. This annual report shall be public. This report shall include precise information provided by the Member States about all the denied and granted authorizations, including the date, the type of license, a description of the product, the end user and end use, the country of destination, the value and volume of the exports. This report shall also include data of the authorization requirements in place in each Member State, as specified in Article 4 (4). While preparing this annual report, the Commission and the Member States shall take into account the legitimate interests of natural and legal persons concerned that their business secrets should not be divulged. The annual report shall be public.
Amendment 346 #
Proposal for a regulation
Article 27 – paragraph 1
Article 27 – paragraph 1
1. The Commission and the competent authorities of the Member States shall engage, where appropriate, in those multilateral export control regimes in which they participate to promote international adherence to the list of dual- use items subject to export controls in Section B of Annex I and, where appropriate, maintain regular and reciprocal exchange of information with third countries, engage in capacity- building and to promote upward convergence.
Amendment 406 #
Proposal for a regulation
Annex II – Section G – part 3 – paragraph 7
Annex II – Section G – part 3 – paragraph 7
7. The registered exporter shall notify the competent authority of the Member State where he is resident or established of the first use of this authorisation no later than 130 days before the date of the first export.
Amendment 408 #
Proposal for a regulation
Annex II – Section G – part 3 – paragraph 9
Annex II – Section G – part 3 – paragraph 9
9. Exporters who have not used this authorisation within a 24-month period automatically lose to their entitlement to use this authorisationmay revoke the registration if the authorisation is not used.
Amendment 412 #
Proposal for a regulation
Annex II – Section H – part 3 – paragraph 1 – subparagraph 2
Annex II – Section H – part 3 – paragraph 1 – subparagraph 2
in its or their own commercial product development activities and, in the case of employees, pursuant to the agreement establishing the employment relationship.
Amendment 414 #
Proposal for a regulation
Annex II – Section H – part 3 – paragraph 5 – subparagraph 1
Annex II – Section H – part 3 – paragraph 5 – subparagraph 1
Any exporter intending to use this authorisation shall register prior tono later than 30 days after the first use of this authorisation with the competent authority of the Member State where he is resident or established. Registration shall be automatic and acknowledged by the competent authority to the exporter within 10 working days of receipt.