Progress: Procedure completed
Role | Committee | Rapporteur | Shadows |
---|---|---|---|
Lead | INTA | GREGOROVÁ Markéta ( Verts/ALE) | SIMON Sven ( EPP), LANGE Bernd ( S&D), SCHREINEMACHER Liesje ( Renew), BOURGEOIS Geert ( ECR), ANDERSON Martina ( GUE/NGL) |
Former Responsible Committee | INTA | ||
Committee Opinion | AFET | ||
Former Committee Opinion | AFET | ||
Committee Recast Technique Opinion | JURI | ||
Fromer Committee Recast Technique Opinion | JURI |
Lead committee dossier:
Legal Basis:
RoP 59-p4, TFEU 207-p2
Legal Basis:
RoP 59-p4, TFEU 207-p2Subjects
Events
The European Parliament adopted by 642 votes to 37, with 9 abstentions, a legislative resolution on the proposal for a regulation of the European Parliament and of the Council setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast).
The European Parliament’s position adopted at first reading amends the Commission proposal as follows:
Regulation’s objective
It is clarified that the Regulation aims to ensure that, in the field of dual-use items, the Union and its Member States take into account all relevant factors, including international obligations and commitments, obligations arising from relevant sanctions, foreign policy and national security considerations, including those relating to human rights, and considerations relating to the intended end-use and the risk of diversion.
Cyber-surveillance goods
The export of cyber-surveillance items not listed in Annex I would be subject to authorisation if the competent authority has informed the exporter that the items in question are or may be intended for use involving internal repression and/or the commission of serious and systematic violations of human rights and international humanitarian law.
The associated risks include cases where cyber-surveillance goods are specifically designed to enable the intrusion or deep packet inspection of information and telecommunication systems in order to conduct covert surveillance of individuals through the monitoring, extraction, collection and analysis of data from such systems, including biometric data.
Due diligence, information exchange
In order to enhance the effectiveness of export controls on unlisted cyber-surveillance items, Member States should support these controls by exchanging information with each other and with the Commission, in particular on technological developments related to cyber-surveillance items, and by exercising vigilance in the application of these controls in order to promote an exchange at EU level.
In order to enable the EU to react quickly to serious misuse of existing technologies or to new risks associated with emerging technologies, the mechanism put in place by the Regulation should enable Member States to coordinate their responses when a new risk is identified. Equivalent controls at multilateral level could thus be established to broaden the response to the identified risk.
A Member State could also prohibit or require authorisation for the export of dual-use items not listed in Annex I for reasons of public security, including the prevention of terrorist acts, or the safeguarding of human rights.
Export authorisations, brokering and technical assistance services
The Regulation should allow the following types of export authorisations to be issued: (a) individual export authorisations; (b) global export authorisations; (c) national general export authorisations.
Individual and global export authorisations should be granted by the competent authority of the Member State where the exporter is resident or established. They would have a maximum validity of two years, unless the competent authority decides otherwise.
Individual export authorisations should, in principle, be subject to an end-use statement. Global export authorisations could be made subject, where appropriate, to the provision of an end-use statement.
Exporters using global export authorisations should implement an internal compliance programme (ICP), unless the competent authority deems it unnecessary due to other circumstances which it has taken into account when processing the exporter's application for a global export authorisation.
Technical assistance authorisations should clearly indicate the end-user and its exact location.
Administrative cooperation, enforcement and control
Through this Regulation, the EU demonstrates its commitment to maintaining robust legal requirements with regard to dual-use items, as well as to strengthening the exchange of relevant information and greater transparency.
The Dual-Use Coordination Group should set up an enforcement coordination mechanism to support exchange of information and direct cooperation between competent authorities and enforcement agencies of the Member States.
Within the framework of the enforcement coordination mechanism, Member States and the Commission should exchange relevant information, including on the application, nature and effect of measures taken, on the application of best practice and unauthorised exports of dual-use items and/or on breaches of the Regulation and/or relevant national legislation.
The exchange of information should also cover best practice of national law enforcement authorities with regard to risk-based audits and the detection and prosecution of unauthorised exports of dual-use items.
The exchange of information under the enforcement coordination mechanism would be confidential.
Guidance for exporters
This Regulation also aims to strengthen the guidance to be given to exporters, in particular to small and medium-sized enterprises (SMEs), regarding responsible practices, yet without impairing the global competitiveness of exporters of dual-use items.
The provision of guidelines and/or recommendations for best practices to exporters, brokers and providers of technical assistance shall be the responsibility of the Member States where they are resident or established.
Parliament also approved a declaration by the Commission recognising the importance of a common capacity building and training programme in the field of licensing and enforcement for an effective EU export control system.
The Commission presented a report on the implementation of Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.
The report, prepared by the Commission with input from Member States' in the Dual-Use Coordination Group (DUCG), provides information on the implementation of the Regulation in 2017, and includes aggregated export control data for 2016.
Export control policy review
Further to the adoption on 28 September 2016 of a Commission proposal for a modernisation of EU export controls, the legislative process has started in 2017 as the European Parliament and the Council examined the proposal.
INTA adopted a report on the legislative proposal on 21 November 2017, including 101 amendments demonstrating the Parliament's broad support for more harmonised and effective controls, adapting the EU export control system to new threats associated with cybersurveillance items and taking into consideration human rights.
For its part, the Commission conducted a series of targeted consultations and outreach to key industry and civil society stakeholders in the course of 2017.
Activities of the Dual-Use Coordination Group (DUCG)
During the reporting period, TDAG held six meetings, providing a forum for consultations on a number of emerging issues related to the application of the regulations. In particular, TDAG organised:
- general information exchanges in support of the modernisation of EU export controls, in particular on the implementation of catch-all and transit controls and the validity of licences;
- general exchanges of information on the implementation of national measures;
- a collection of 2016 licensing data;
- an exchange of information on the application of controls over cyber-surveillance technologies.
DUCG also:
- supported the preparation of updates to the EU control list;
- held exchanges of technical information on specific implementation issues;
- decided to establish a Technical Expert Group (TEG) to develop guidelines to ensure industry compliance;
- continued to support the further development of the online Dual-Use Goods System (DUeS), a secure and encrypted electronic system hosted by the Commission, in order to facilitate a better exchange of information between export control authorities and the Commission;
- exchanged information on specific attempts to circumvent controls;
- contributed to the organisation of a forum on export control on 19 December 2017 in Brussels and prepared documentation to facilitate the application of the regulations by exporters.
Export control
In 2017, the Regulation primarily applied to the export of about 1841 dual-use ‘items’ listed in Annex I (the "EU Control List") and classified in 10 categories. These dual-use items relate to circa 1000 customs commodities, including chemicals, metals and non-metallic mineral products, computers, electronic and optical products, electrical equipment, machinery, vehicles and transport equipment.
Statistical estimates of the relative importance of dual-use trade indicate that dual-use exports represent about 2.6% of EU total exports (intra and extra-EU), within a broad ‘dual-use export domain’ of customs commodities. The main dual-use export destinations and indicate that a large part of these exports are directed towards 'EU001 countries' benefiting from Union general export authorisations (EUGEAs).
Authorised dual-use trade amounted to EUR 33.1 billion, representing 1.9% of total extra-EU exports, with a majority of transactions authorised under individual licenses (approx. 25 000 single licenses issued in 2016) and global licenses (by their value). Only a small portion of exports were actually denied: approx. 690 denials were issued in 2016, representing about 1.1% of the value of controlled dual-use exports in that year, and 0.03% of total extra-EU exports.
The European Parliament adopted by 571 votes to 29, with 29 abstentions, amendments to the proposal for a regulation of the European Parliament and of the Council setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast).
The matter was referred back to the committee responsible for interinstitutional negotiations.
The main amendments adopted in plenary concern the following issues:
Cyber-surveillance and human rights violations : in addition to traditional dual-use items, the Regulation should cover cyber-surveillance assets used to directly interfere with human rights, including the right to privacy and data protection, freedom of expression, freedom of assembly and association .
Items to be covered by this Regulation should include hardware, software and technology, which are specially designed to enable the covert intrusion into information and telecommunication systems and/or the monitoring, exfiltrating, collecting and analysing of data and/or incapacitating or damaging the targeted system without the specific, informed and unambiguous authorisation of the owner of the data.
Considering the rapid advance of technological developments, it is appropriate that the Union introduces controls on certain types of cyber surveillance technologies on the basis of a unilateral list, in Section B of Annex I. The Council, the Commission and Member States should, in close cooperation with the EEAS, pro-actively engage in the relevant international fora in order to establish the list of cyber-surveillance items set out in Section B of Annex I as an international standard .
Due diligence : if an exporter, becomes aware while exercising due diligence that dual-use items not listed in Annex I which he or she proposes to export, may be intended to violate human rights, he or she must notify the competent authority of the Member State in which he or she is established or resident in, which will decide whether or not it is expedient to make the export concerned subject to authorisation.
A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security, for human rights considerations or for the prevention of acts of terrorism . The manufacture's note of licensing requirements should also be compulsory for exports to third countries.
Export authorisations : individual export authorisations and global export authorisations shall be valid for two years , and may be renewed by the competent authority. They may be suspended or revoked at any time. The identity or nature of the entity that will be the end-user shall be identified.
Applications for authorisation shall be processed within 30 days of the filing of the application and the competent authority shall decide on applications for individual or global export authorisations, at the latest, within 60 days of valid submission of the application.
The exporter shall have the possibility, on a voluntary basis, to have its internal compliance programme (ICP) certified free of charge by the competent authorities on the basis of a reference ICP established by the Commission, in order to obtain incentives in the authorisation process.
Criteria to be taken into account : in deciding whether or not to grant an individual or global export authorisation, the competent authorities of the Member States shall take into account all relevant considerations including:
the obligations of the Union and the Member States 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; the occurrence of violations of human rights law , fundamental freedoms and international humanitarian law in the country of final destination as has been established by the competent bodies of the UN, the Council of Europe or the Union; 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.
With regard to 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 and freedom of assembly and association, as well as risks relating to the rule of law. If the existence of such risks is likely to lead to serious violations of human rights, Member States shall not grant export authorisations .
Guidelines : Members proposed that the Commission and the Council make guidelines available (in the form of a handbook) as soon as the Regulation enters into force, so as to ensure common risk assessments as well as uniformity of the criteria for licensing decisions.
That handbook shall be developed in close cooperation with the European External Action Service (EEAS) and the Dual Use Coordination Group and shall involve external expertise from academics, exporters, brokers and civil society organisations.
Modification of lists : new risks and new technologies may be added urgently to the Regulation. The Commission may also remove items from the list if, as a result of the fast-changing technological environment, these items have become lower tier or mass market products that are easily available.
Penalties : the Dual-Use Coordination Group shall set up an Enforcement Coordination Mechanism to provide for uniform criteria for licensing decisions. Upon assessment by the Commission of the rules on penalties laid down by Member States, the mechanism shall provide for ways to make penalties for infringements of this Regulation similar in nature and effect .
Transparency : Member States shall disclose publicly, at least quarterly and in an easily accessible manner, meaningful information on each license with regard to the type of license, the value, the volume, nature of equipment, a description of the product, the end user and end use, the country of destination, as well as information regarding approval or denial of the license request.
Lastly, Members asked that the Commission's evaluation report on the Regulation include a proposal on the deletion of encryption technologies from the list of controlled items.
PURPOSE: to set up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast).
PROPOSED ACT: Regulation of the European Parliament and of the Council.
ROLE OF THE EUROPEAN PARLIAMENT: Parliament decides in accordance with the ordinary legislative procedure on an equal footing with Council.
BACKGROUND: Regulation (EC) No 428/2009 set up a Community regime for the control of exports, transfer, brokering and transit of dual-use items. The Commission presented in October 2013 a report to the European Parliament and to the Council on the implementation of the Regulation. The report concluded that the EU export control system provides solid legal and institutional foundations but the system must be upgraded in order to face new challenges.
In April 2014, the Commission adopted a communication setting out concrete policy options for the review of the EU export control regime and its adaptation to rapidly changing technological, economic and political circumstances.
In 2015, the Commission conducted an impact assessment of the review options outlined in that communication. As part of the impact assessment, the Commission conducted a public consultation, from which it emerged that’s stakeholders generally agreed that a review of current rules would improve the export control system , in particular with regards to its capacity to address evolving security risks such as the proliferation of weapons of mass destruction and terrorism and to respond to rapid scientific and technological developments.
The export control policy review has been identified as an initiative under the regulatory fitness and performance programme (REFIT). Council Regulation (EC) No 428/2009 has been amended on several occasions. Since further amendments are to be made, it should be recast in the interests of clarity and readability.
IMPACT ASSESSMENT: besides the baseline scenario (no policy change), the impacts of four other scenarios were assessed. A combination of the options "EU system upgrade" (adjustments to the regulatory framework), and "EU system modernisation" (focusing on cyber-surveillance Technologies and human rights) was retained as the preferred solution.
CONTENT: the proposal to recast Regulation (EC) No 428/2009 aims to set up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items. The main points are as follows;
Control provisions : the proposal:
contains amendments to key export control notions : the definition of dual-use items is thus revised to reflect the emergence of new types of dual-use items, such as cyber-surveillance technologies. The proposal also clarifies that controls apply to natural persons, who may be "exporters", especially when it comes to technology transfers; clarifies controls on and facilitates intangible technology transfers , as they only become subject to control when the dual-use technology is made available to a person in a third country; clarifies controls applicable to technical assistance involving a cross-border movement; strengthens brokering controls , (i) by extending the definition of the broker to subsidiaries of EU companies outside of the EU, as well as to brokering services supplied by third country nationals from within the EU territory; (ii) by harmonising their application to non-listed items and military end-uses and extending their application to terrorism and human rights violations ; harmonises the application of transit controls to non-listed items and military end-uses, and extends controls to the risk of misuse for terrorist acts and human rights violations; puts in place certain controls an anti-circumvention clause to combat trafficking in items of dual usage.
EU licensing : the proposal:
provides for a definition of authorisations and for common licensing parameters (e.g. validity period) and conditions for use of the EU general authorisations and for global licences; establishes a new authorisation for 'large-projects' for certain large multiannual projects e.g. construction of a nuclear power plant; introduces new general authorisations regarding encryption and low value shipments to facilitate trade while ensuring a sufficient level of security through robust control modalities (e.g. registration, notification and reporting, and auditing); introduces a general authorisation on intra-company transfers of dual-use technology in non-sensitive countries, in particular for research and development purposes, as long as the technology remains under the ownership or control of the parent company.
Convergence of catch-all controls : the proposal provides for a clarification and harmonisation of the definition and scope of catch-all controls to ensure their uniform application across the EU.
Re-evaluation of intra-EU transfers : the proposal revises the list of items subject to control within the EU in order to focus controls on an updated list of most sensitive items, taking account of technological and commercial developments;
Control of exports of cyber-surveillance technologies : the proposal sets out new provisions for an effective control focusing on specific and relevant cyber-surveillance technologies. It introduces an EU autonomous list of specific cyber-surveillance technologies of concern to be subject to controls (monitoring centres and data retention systems), with detailed technical parameters.
Enhanced cooperation : the proposal provides for enhanced information exchange between competent authorities and the Commission with a view to support effective and consistent application of controls. It introduces a legal basis regarding the introduction of electronic licensing systems and their interconnection with the Dual-Use Electronic System, and for the setting up of 'technical expert groups' bringing together key industry and government experts into a dialogue on the technical parameters for controls.
Transparency and outreach : the proposal sets out transparency measures and expands outreach and information-sharing with operators in order to develop a "partnership with the private sector".
Dialogue with third countries : the proposal provides a basis for the development of regular dialogues between the EU and key trade partners, and for the negotiation of mutually beneficial measures such as end-user verification programmes (whereby selected third-country companies could be granted special status of "Verified end-user" and obtain EU-wide recognition and facilitation of controls).
BUDGETARY IMPLICATIONS : some specific provisions in the proposal are expected to have implications on the resources of relevant services at EU or national levels , in particular ;
extended competence for the Commission to amend lists of dual-use items and general export authorisations by delegated acts ; cyber-surveillance controls expected to require some additional administrative costs (staff) for administrations, both at national and EU level; the realisation of certain actions – such as the development of electronic licensing systems – while the financing and budgetary implications remain to be assessed in detail before any decision is taken regarding their implementation.
DELEGATED ACTS: the proposal contains provisions empowering the Commission to adopt delegated acts in accordance with Article 290 of the Treaty on the Functioning of the EU.
Documents
- Follow-up document: COM(2022)0434
- Follow-up document: EUR-Lex
- Follow-up document: COM(2021)0716
- Follow-up document: EUR-Lex
- Final act published in Official Journal: Regulation 2021/821
- Final act published in Official Journal: OJ L 206 11.06.2021, p. 0001
- Draft final act: 00054/2020/LEX
- Commission response to text adopted in plenary: SP(2021)260
- Debate in Parliament: Debate in Parliament
- Decision by Parliament, 1st reading: T9-0101/2021
- Approval in committee of the text agreed at 1st reading interinstitutional negotiations: PE660.380
- Approval in committee of the text agreed at 1st reading interinstitutional negotiations: GEDA/A/(2020)007009
- Coreper letter confirming interinstitutional agreement: GEDA/A/(2020)007009
- Text agreed during interinstitutional negotiations: PE660.380
- Document attached to the procedure: COM(2018)0852
- Document attached to the procedure: EUR-Lex
- Results of vote in Parliament: Results of vote in Parliament
- Decision by Parliament, 1st reading: T8-0006/2018
- Debate in Parliament: Debate in Parliament
- Committee report tabled for plenary, 1st reading/single reading: A8-0390/2017
- Committee report tabled for plenary, 1st reading: A8-0390/2017
- Committee opinion: PE602.925
- Committee draft report: PE602.808
- Document attached to the procedure: EUR-Lex
- Document attached to the procedure: SWD(2016)0314
- Document attached to the procedure: EUR-Lex
- Document attached to the procedure: SWD(2016)0315
- Legislative proposal published: COM(2016)0616
- Legislative proposal published: EUR-Lex
- Document attached to the procedure: EUR-Lex SWD(2016)0314
- Document attached to the procedure: EUR-Lex SWD(2016)0315
- Committee draft report: PE602.808
- Committee opinion: PE602.925
- Committee report tabled for plenary, 1st reading/single reading: A8-0390/2017
- Document attached to the procedure: COM(2018)0852 EUR-Lex
- Coreper letter confirming interinstitutional agreement: GEDA/A/(2020)007009
- Text agreed during interinstitutional negotiations: PE660.380
- Commission response to text adopted in plenary: SP(2021)260
- Draft final act: 00054/2020/LEX
- Follow-up document: COM(2021)0716 EUR-Lex
- Follow-up document: COM(2022)0434 EUR-Lex
Activities
- Rainer WIELAND
Plenary Speeches (4)
- 2021/03/25 Control of exports, brokering, technical assistance, transit and transfer of dual-use (debate)
- 2021/03/25 Control of exports, brokering, technical assistance, transit and transfer of dual-use (continuation of debate)
- 2021/03/25 Control of exports, brokering, technical assistance, transit and transfer of dual-use (continuation of debate)
- 2021/03/25 Announcement of voting results
- Pavel TELIČKA
Plenary Speeches (2)
- Tiziana BEGHIN
Plenary Speeches (1)
- Nicola CAPUTO
Plenary Speeches (1)
- Georgios EPITIDEIOS
Plenary Speeches (1)
- Christofer FJELLNER
Plenary Speeches (1)
- Karoline GRASWANDER-HAINZ
Plenary Speeches (1)
- Miapetra KUMPULA-NATRI
Plenary Speeches (1)
- Arne LIETZ
Plenary Speeches (1)
- Sander LOONES
Plenary Speeches (1)
- Notis MARIAS
Plenary Speeches (1)
- David MARTIN
Plenary Speeches (1)
- Anne-Marie MINEUR
Plenary Speeches (1)
- Alessia Maria MOSCA
Plenary Speeches (1)
- Godelieve QUISTHOUDT-ROWOHL
Plenary Speeches (1)
- Marietje SCHAAKE
Plenary Speeches (1)
- Indrek TARAND
- Bodil VALERO
Plenary Speeches (1)
- Janusz ZEMKE
Plenary Speeches (1)
- Clare DALY
Plenary Speeches (1)
- Gunnar BECK
Plenary Speeches (1)
- Tudor CIUHODARU
Plenary Speeches (1)
- Liesje SCHREINEMACHER
Plenary Speeches (1)
- Geert BOURGEOIS
Plenary Speeches (1)
- Filip DE MAN
Plenary Speeches (1)
Votes
A8-0390/2017 - Klaus Buchner - Vote unique 17/01/2018 12:42:55.000 #
Contrôle des exportations, du courtage, de l’assistance technique, du transit et des transferts de biens à double usage - Control of exports, brokering, technical assistance, transit and transfer of dual-use - Kontrolle der Ausfuhr, der Verbringung, der Vermittlung, der technischen Unterstützung und der Durchfuhr betreffend Güter mit doppeltem Verwendungszweck - A8-0390/2017 - Markéta Gregorová - Am 99 #
A8-0390/2017 - Markéta Gregorová - Am 100 #
Amendments | Dossier |
493 |
2016/0295(COD)
2017/05/09
AFET
126 amendments...
Amendment 100 #
Proposal for a regulation Article 14 – paragraph 1 – introductory part 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 competent authorities of the Member States shall take into account the following eight criteria of the Common Position 2008/944/CSFP:
Amendment 101 #
Proposal for a regulation Article 14 – paragraph 1 – point a (a)
Amendment 102 #
Proposal for a regulation Article 14 – paragraph 1 – point b (b) respect for human rights law in the country of final destination as well as respect by that country of international humanitarian law;
Amendment 103 #
Proposal for a regulation Article 14 – paragraph 1 – point f a (new) (f a) the strengthening of controls, in compliance with the criteria established in the Common Position 2008/944/CFSP, with regards to exports to companies, persons or countries that lack the necessary security elements to avoid or prevent hacking and/or cyber-theft and to countries which could potentially act as an intermediary for countries that have been listed on an embargo or export prohibition list or that can pose a threat to human rights;
Amendment 104 #
Proposal for a regulation Article 14 – paragraph 1 – point f a (new) (f a) behaviour of the buyer country with regard to the international community, as regards in particular its attitude to terrorism, the nature of its alliances and respect for international law;
Amendment 105 #
Proposal for a regulation Article 14 – paragraph 1 – point f b (new) (f b) compatibility of the exports of the dual-use items or equipment with the technical and economic capacity of the recipient country, taking into account the desirability that states should meet their legitimate security and defence needs with the least diversion of human and economic resources for armaments;
Amendment 106 #
Proposal for a regulation Article 14 – paragraph 1 a (new) 1 a. Member States shall not grant or shall revoke an individual or global export authorization or an authorisation for brokering services or technical assistance under this Regulation, if: (a) there is a serious risk the items could be used to violate human rights; (b) the legal framework or technical arrangements in the destination country fail to provide adequate safeguards against serious human rights abuse.
Amendment 107 #
Proposal for a regulation Article 14 – paragraph 1 a (new) 1 a. A standardized verification and reporting system shall be established to provide information as to whether, and to what extent, individual Member States' dual-use exports violate the criteria referred to in paragraph 1. Furthermore, the compliance with the criteria referred to in paragraph 1 shall be independently verified and mechanisms for sanctions shall be established in cases of a violation of those criteria by a Member State.
Amendment 108 #
Proposal for a regulation Article 14 – paragraph 1 b (new) 1 b. Calls for the criteria referred to in paragraph 1 to be applied to intra- European dual-use exports.
Amendment 109 #
Proposal for a regulation Article 14 – paragraph 2 Amendment 110 #
Proposal for a regulation Article 14 – paragraph 2 2. The Commission and the Council shall, in cooperation with the EEAS, make available guidance and/or recommendations to ensure common risk assessments by the competent authorities of the Member States for the implementation of those criteria by ... [ the entry into force of this Regulation].
Amendment 111 #
Proposal for a regulation Article 15 – paragraph 1 1. The competent authorities of the
Amendment 112 #
Proposal for a regulation Article 15 – paragraph 1 1. The competent authorities of the Member States, acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which they have already granted. Where they refuse, annul, suspend, substantially limit or revoke an export authorisation or when they have determined that the intended export is not to be authorised, they shall notify the competent authorities of the other Member States
Amendment 113 #
Proposal for a regulation Article 15 – paragraph 3 3. The competent authorities of the Member States shall notify the Member States
Amendment 114 #
Proposal for a regulation Article 15 – paragraph 5 5. Before the competent authority of a Member State, acting under this Regulation, grants an authorisation for export or brokering services or technical assistance, or decides on a transit, it shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State or States for an essentially identical transaction (meaning an item with essentially identical parameters or technical characteristics to the same end user or consignee). It shall first consult the competent authorities of the Member State or States which issued such denial(s) or decisions to prohibit the transit as provided for in paragraphs 1 and 3. If following such consultation the competent authority of the Member State decides to grant an authorisation or allow the transit, it shall notify the competent authorities of the other Member States
Amendment 115 #
Proposal for a regulation Article 16 – paragraph 1 Amendment 116 #
Proposal for a regulation Article 16 – paragraph 2 Amendment 117 #
Proposal for a regulation Article 16 – paragraph 2 – introductory part 2. The Commission shall, once the initiative has been approved in the EP plenary, be empowered to 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:
Amendment 118 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of
Amendment 119 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of dual-use items set out in Section B of Annex I may 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
Amendment 120 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of dual-use items set out in Section B of Annex I may be amended if this is necessary due to risks that the export of such items may
Amendment 121 #
Proposal for a regulation Article 16 – paragraph 2 – point b a (new) (b a) The Commission may remove items from the list, in particular if in the course of the fast-changing technological environment the products meanwhile become a lower tier or mass product, easily available or technically easily modifiable.
Amendment 122 #
Proposal for a regulation Article 16 – paragraph 3 Amendment 123 #
Proposal for a regulation Article 16 – paragraph 3 3. The Commission shall, once the initiative has been put to the vote in the EP plenary, be empowered to adopt delegated acts to amend Annex II by adding or removing items or destinations from the scope of Union general export authorisations set out in Annex II in consideration of the criteria set out in Article 14 . Where imperative grounds of urgency require a removal of particular destinations from the scope of a Union general export authorisation, the procedure provided for in Article 17 shall apply to delegated acts adopted pursuant to this paragraph.
Amendment 124 #
Proposal for a regulation Article 16 – paragraph 4 Amendment 125 #
Proposal for a regulation Article 16 – paragraph 5 Amendment 126 #
Proposal for a regulation Article 16 – paragraph 6 Amendment 127 #
Proposal for a regulation Article 16 – paragraph 7 Amendment 128 #
Proposal for a regulation Article 16 – paragraph 8 Amendment 129 #
Proposal for a regulation Article 17 Amendment 130 #
Proposal for a regulation Article 20 – paragraph 1 – subparagraph 1 – introductory part Member States shall inform the
Amendment 131 #
Proposal for a regulation Article 20 – paragraph 1 – subparagraph 2 Amendment 132 #
Proposal for a regulation Article 20 – paragraph 2 – subparagraph 1 Member States
Amendment 133 #
Proposal for a regulation Article 20 – paragraph 3 3. A secure and encrypted system shall be developed by the
Amendment 134 #
Proposal for a regulation Article 20 – paragraph nouveau4 Amendment 135 #
Proposal for a regulation Article 21 – paragraph 1 Amendment 136 #
Proposal for a regulation Article 21 – paragraph 2 Amendment 137 #
Proposal for a regulation Article 21 – paragraph 3 Amendment 138 #
Proposal for a regulation Article 21 – paragraph 3 3. The Dual-Use Coordination Group shall, where appropriate, set up technical expert groups composed of experts from Member States to examine specific issues relating to the implementation of controls, including issues relating to the updating of the Union control lists in Annex I. The expert groups shall also comprise actors of civil society and NGOs in order to ensure independent monitoring. Technical expert groups shall, where appropriate, consult exporters, brokers and other relevant stakeholders concerned by this Regulation.
Amendment 139 #
Proposal for a regulation Article 22 – paragraph 1 a (new) 1 a. The Commission shall ensure that penalities laid down by Member States are similar in substance and equal in effect.
Amendment 140 #
Proposal for a regulation Article 22 – paragraph 2 Amendment 141 #
Proposal for a regulation Article 24 – paragraph 1 Amendment 142 #
Proposal for a regulation 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, especially SMEs, brokers and transit operators resident or established in that Member State.
Amendment 143 #
Proposal for a regulation Article 24 – paragraph nouveau2 Amendment 144 #
Proposal for a regulation Article 24 – paragraph 3 Amendment 145 #
Proposal for a regulation Article 24 – paragraph 3 new Member States shall provide to the Commission all appropriate information for the preparation of the report. This annual report shall be public. Member States shall also disclose publicly, in a timely and easily accessible manner, meaningful information on the volume, nature of equipment, and destination of their trade in dual-use items, as well as information regarding approved or denied exports, in order to enable appropriate oversight by elected representatives, independent bodies and the public. Human rights risk assessments undertaken by competent authorities and the corresponding statements by exporters regarding authorized or denied export licenses should also be made publicly available. All information referred to in this paragraph shall be published on the website of the national export licence authority or on a dedicated Union level website.
Amendment 146 #
Proposal for a regulation Article 24 – paragraph 3 – subparagraph 1 Amendment 147 #
Proposal for a regulation Article 24 – paragraph 3 – subparagraph 2 Amendment 148 #
Proposal for a regulation Article 27 – paragraph 1 1. The Commission and the competent authorities of the Member States shall, where appropriate, maintain regular and reciprocal exchange of information with third countries, including in the context of the dialogue on dual-use items provided for in the Union's partnership and cooperation agreements and strategic partnership agreements.
Amendment 149 #
Proposal for a regulation Article 27 – paragraph 1 1. The
Amendment 150 #
Proposal for a regulation Article 27 – paragraph 2 – subparagraph 1 Amendment 151 #
Proposal for a regulation Article 27 – paragraph 2 – subparagraph 2 Amendment 152 #
Proposal for a regulation Article 28 – paragraph 1 Amendment 27 #
Proposal for a regulation Recital 5 a (new) (5 a) With regard to human rights assessment criteria, it is appropriate to refer, among others, to the Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights, the Charter of Fundamental Rights of the European Union, the European Convention for the Protection of Human Rights and Fundamental Freedoms, the UN Human Rights Council Resolution on the Right to Privacy of 23 March 2017, the Guiding Principles on Business and Human Rights: Implementing the United Nations 'Protect, Respect and Remedy' Framework, the Report of the Special Rapporteur on the Right to Privacy of 24 March 2017, the Report of the Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism of 21 February 2017 and the case law of the European Court of Human Rights.
Amendment 28 #
Proposal for a regulation Recital 5 b (new) (5 b) Whereas the Final Report on the EU Dual-Use Export Control Policy Review1a revealed that certain cyber- surveillance technologies exported from the Union have been connected to violations of a number of specific human rights such as the right to privacy, the freedom of expression, the freedom of association, the right to life, the freedom from arbitrary arrest and detention, the freedom from torture, inhuman treatment and degrading treatment and to this effect also the right to non-discrimination. It is therefore appropriate to assess in particular risks associated with these rights in the process of licensing the export of cyber-surveillance technology. _________________ 1aFinal Report. Data and information collection for EU dual-use export control policy review, SIPRI and Ecroys, 6 November 2015, pages 142-221, https://www.sipri.org/sites/default/files/fin al-report-eu-dualuse-review.pdf.
Amendment 29 #
Proposal for a regulation Recital 5 c (new) (5 c) As stipulated in the User's Guide1a on Council Common Position 2008/944/CFSP1b one relevant factor in the assessment of serious human rights violations is the character, nature and consequences of the actual violation in question. Another major factor in the analysis is whether the competent bodies of the UN, the Union or the Council of Europe and other relevant human rights bodies have established that serious violations of human rights have taken place in the recipient country. In this respect it is not a prerequisite that these competent bodies explicitly use the term 'serious' themselves. It is sufficient that they establish that violations have occurred. Likewise, the absence of a decision by these bodies should not preclude Member States from the possibility of making an independent assessment as to whether such serious violations have occurred. Another factor in the analysis are the reports of civil society organisations and journalists, and the examination of the adequacy of legal safeguards against human rights abuses in the recipient country. _________________ 1aUser's Guide to Council Common Position 2008/944/CFSP defining common rules governing the control of exports of military technology and equipment, page 46, http://data.consilium.europa.eu/doc/docu ment/ST-10858-2015-INIT/en/pdf. 1bCouncil Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (OJ L 335, 13.12.2008, p. 99).
Amendment 30 #
Proposal for a regulation Recital 7 (7) Transmission of dual-use software and technology by means of electronic media, fax or telephone to destinations outside the Union should also be controlled.
Amendment 31 #
Proposal for a regulation Recital 9 Amendment 32 #
Proposal for a regulation Recital 15 (15) Additional Union general export authorisations should be introduced in order to reduce administrative burden on companies and authorities while ensuring an appropriate level of control of the relevant items to the relevant destinations.
Amendment 33 #
Proposal for a regulation Recital 15 (15) Additional Union general export authorisations should be introduced in order to reduce administrative burden on companies, especially SMEs, and authorities while ensuring an appropriate level of control of the relevant items to the relevant destinations. A global authorisation for large projects should also be introduced to adapt licensing conditions to the peculiar needs of industry.
Amendment 34 #
Proposal for a regulation Recital 19 (19) National provisions and decisions affecting exports of dual-use items should be
Amendment 35 #
Proposal for a regulation Recital 19 a (new) (19 a) The risk of cyber theft and re- exportation to third countries, as referred to in the Common Position 2008/944/CFSP, calls for the need to strengthen the provisions on dual use items.
Amendment 36 #
Proposal for a regulation Recital 21 (21) Pursuant to and within the limits of Article 36 of the Treaty on the Functioning of the European Union and pending a greater degree of harmonisation, Member States retain the right to carry out controls on transfers of certain dual-use items within the Union in order to safeguard public policy or public security.
Amendment 37 #
Proposal for a regulation Recital 21 (21) Pursuant to and within the limits of Article 36 of the Treaty on the Functioning of the European Union and pending a greater degree of harmonisation, Member States retain the right to carry out controls on transfers of certain dual-use items within the Union in order to safeguard public policy or public security. For reasons of proportionality, controls on the transfer of dual-use items within the Union should be revised in order to minimise the burden for companies, especially SMEs, and authorities. Moreover, the list of items subject to intra-
Amendment 38 #
Proposal for a regulation 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 in order to support a global level-playing field and enhance international security. As Member States make up the majority of signatories to the Wassenaar Arrangement, setting high standards at Union level can also have positive knock-on effects on global standards.
Amendment 39 #
Proposal for a regulation Article 1 – paragraph 1 This Regulation sets up a Union regime for the control of exports, brokering
Amendment 40 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – introductory part 1. ‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes
Amendment 41 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point a Amendment 42 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point a (a) items which can be used for the design, development, production or use of
Amendment 43 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b Amendment 44 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b (b) cyber-surveillance technology items which can facilitate violations of human rights such as the right to privacy, freedom of expression and freedom of assembly and be used for the commission of serious violations of human rights law or international humanitarian law, or can pose a threat to international security or the essential security interests of the Union and its Member States
Amendment 45 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b (b) cyber-surveillance technology which can be used for the commission of serious violations of
Amendment 46 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 a (new) 1 a. 'cyber-surveillance items' shall mean items (hardware, software and technology other than dual-use items) which can be used for the commission of serious and systematic violations of human rights or international humanitarian law, especially the freedom of expression, the freedom of assembly and the right to privacy in countries where internal repression and the absence of functioning rule of law mechanisms is assessed and reported on by the Commission. This shall not include items specially designed for any of the following: (a) billing; (b) data collection functions within network elements (e.g. Exchange or HLR); (c) marketing purposes; (d) quality of service of the network (QoS); (e) user satisfaction (Qualitiy of Experience - QoE); (f) operations at telecommunications companies (service providers); (g) network Protection (e.g. firewalls). Equally, it shall not mean items specially designed for the building, functioning, maintenance or protection of: (a) public energy, gas- or water infrastructure; (b) smart transport management of civil rail, road, air and water transport; (c) plant engineering and e-health; (d) industrial manufacturing such as Automobile, Chemical, Food and Beverage etc.;
Amendment 47 #
Proposal for a regulation Article 2 – paragraph 7 7. ‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Union
Amendment 48 #
Proposal for a regulation Article 2 – paragraph 9 9. ‘supplier of technical assistance’ means any natural or legal person or partnership resident or established in a Member State of the Union
Amendment 49 #
Proposal for a regulation Article 2 – paragraph 20 Amendment 50 #
Proposal for a regulation Article 2 – paragraph 20 – point a Amendment 51 #
Proposal for a regulation Article 2 – paragraph 20 – point b Amendment 52 #
Proposal for a regulation Article 2 – paragraph 20 – point c Amendment 53 #
Proposal for a regulation Article 2 – paragraph 21 – introductory part 21
Amendment 54 #
Proposal for a regulation Article 2 – paragraph 21 – introductory part 21. 'cyber-surveillance technology' shall mean items specially designed to enable the covert intrusion into information and telecommunication systems with a view to monitoring, extracting, collecting and analysing data and/or incapacitating or damaging the targeted system
Amendment 55 #
Proposal for a regulation Article 2 – paragraph 21 – point a (a)
Amendment 56 #
Proposal for a regulation Article 2 – paragraph 21 – point b (b) i
Amendment 57 #
Proposal for a regulation Article 2 – paragraph 21 – point c (c)
Amendment 58 #
Proposal for a regulation Article 2 – paragraph 21 – point d (d)
Amendment 59 #
Proposal for a regulation Article 2 – paragraph 21 – point e Amendment 60 #
Proposal for a regulation Article 2 – paragraph 22 a (new) 22 a. 'serious human rights violations' shall be understood to encompass all human rights violations, including in particular those human rights violations which concern the right to privacy, the freedom of expression, the freedom of association, the right to non- discrimination, the right to life, the freedom from arbitrary arrest and detention and the freedom from torture, inhuman treatment and degrading treatment which are most commonly violated by surveillance. Relevant factors in the assessment shall be: (a) the character, nature and consequences of the actual violation in question; (b) systematic and/or widespread violations of human rights underlining the seriousness of the human rights situation; (c) whether the competent bodies of the UN, the Union or the Council of Europe or others have established that serious violations of human rights have taken place in the recipient country, or (d) the adequacy of domestic legal safeguards in the recipient country to prevent human rights abuses;
Amendment 61 #
Proposal for a regulation Article 2 – paragraph 23 a (new) 23 a. 'due diligence' shall mean the process through which businesses can identify, prevent, mitigate, and account for how they address their actual and potential adverse impacts on human rights as an integral part of business decision-making and risk management systems as laid out in the UN Guiding Principles for Business and Human Rights.
Amendment 62 #
Proposal for a regulation Article 3 – paragraph 1 1. An authorisation shall be required for the export of the dual-use items listed in Section A of Annex I.
Amendment 63 #
Proposal for a regulation Article 3 – paragraph 1 a (new) 1 a. An authorisation shall be required for the export of the cyber-surveillance items listed in Section B of Annex I.
Amendment 64 #
Proposal for a regulation Article 4 – paragraph 1 – point a Amendment 65 #
Proposal for a regulation Article 4 – paragraph 1 – point b Amendment 66 #
Proposal for a regulation Article 4 – paragraph 1 – point c a (new) (c a) for the benefit of an illegal occupation or annexation under international law;
Amendment 67 #
Proposal for a regulation Article 4 – paragraph 1 – point c b (new) (c b) for a use which, either in the exporting country or in the country of destination, is illegal or where the country of destination has no legal framework which is compliant with international human rights law;
Amendment 68 #
Proposal for a regulation Article 4 – paragraph 1 – point d Amendment 69 #
Proposal for a regulation Article 4 – paragraph 1 – point d Amendment 70 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) for use by persons complicit in or responsible for directing or committing serious violations of human rights law 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 71 #
Proposal for a regulation Article 4 – paragraph 1 – point e Amendment 72 #
Proposal for a regulation Article 4 – paragraph 1 – point e Amendment 73 #
Proposal for a regulation Article 4 – paragraph new2 new2. If an exporter, under his obligation to exercise due diligence, is aware that dual-use items which he proposes to export, not listed in Annex I,
Amendment 74 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for
Amendment 75 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for
Amendment 76 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for
Amendment 77 #
Proposal for a regulation Article 4 – paragraph nouveau4 – subparagraph 1 A Member State which imposes an authorisation requirement, in application of paragraphs 1 , 2 and 3 on the export of a dual-use item not listed in Annex I, shall immediately inform the other Member States and
Amendment 78 #
Proposal for a regulation Article 4 – paragraph new4 – subparagraph 1 A Member State which imposes an authorisation requirement, in application of paragraphs 1 , 2 and 3 on the export of a dual-use item not listed in Annex I, shall immediately inform the other Member States
Amendment 79 #
Proposal for a regulation Article 4 – paragraph nouveau4 – subparagraph 2 Amendment 80 #
Proposal for a regulation Article 4 – paragraph nouveau4 – subparagraph 3 Amendment 81 #
Proposal for a regulation Article 4 – paragraph nouveau4 – subparagraph 4 Amendment 82 #
Proposal for a regulation Article 4 – paragraph new4 – subparagraph 4 The Commission and the Member States will maintain an updated register of authorisation requirements in place, available to exporters upon request.
Amendment 83 #
Proposal for a regulation Article 4 – paragraph nouveau5 Amendment 84 #
Proposal for a regulation Article 7 – paragraph 1 1. An authorisation shall be required for the provision, outside the territory of the Union, 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.
Amendment 85 #
Proposal for a regulation Article 7 – paragraph 2 – subparagraph 1 If a supplier of technical assistance is aware that the dual-use items for which he proposes to supply technical assistance outside the territory of the Union are intended, in their entirety or in part, for any of the uses referred to in Article 4, he must notify the competent authority which will decide whether or not it is expedient to make such technical assistance subject to authorisation.
Amendment 86 #
Proposal for a regulation Article 8 – paragraph 2 Amendment 87 #
Proposal for a regulation Article 8 – paragraph 3 Amendment 88 #
Proposal for a regulation Article 8 – paragraph 4 Amendment 89 #
Proposal for a regulation Article 9 – paragraph 3 Amendment 90 #
Proposal for a regulation Article 9 – paragraph 4 Amendment 91 #
Proposal for a regulation Article 9 – paragraph 5 Amendment 92 #
Proposal for a regulation Article 10 – paragraph 1 – subparagraph 2 Amendment 93 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 94 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 95 #
Proposal for a regulation Article 10 – paragraph 5 Amendment 96 #
Proposal for a regulation Article 10 – paragraph 6 – point b – paragraph 2 Amendment 97 #
Proposal for a regulation Article 11 – paragraph nouveau2 Amendment 98 #
Proposal for a regulation Article 13 – paragraph 1 – subparagraph 2 Amendment 99 #
Proposal for a regulation Article 13 – paragraph 2 2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days.
source: 604.629
2017/05/16
INTA
367 amendments...
Amendment 100 #
Proposal for a regulation Recital 28 a (new) (28a) Whereas harmonisation of custom controls should be sought as different custom practices in the Union may impact trade in dual-use items;
Amendment 101 #
Proposal for a regulation 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) (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 (31) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union
Amendment 104 #
Proposal for a regulation Article 1 – paragraph 1 This Regulation sets up a Union regime for the control of exports, brokering , technical assistance, transit and transfer of dual-use items and cyber-surveillance technologies.
Amendment 105 #
Proposal for a regulation Article 1 – paragraph 1 This Regulation sets up a Union regime for the control of exports, support, brokering
Amendment 106 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – introductory part 1. ‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include
Amendment 107 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point a Amendment 108 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b Amendment 109 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b Amendment 110 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b Amendment 111 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b (b) cyber-surveillance technology which
Amendment 112 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b (b) cyber-surveillance technology which can be used for the commission of serious and systematic violations of
Amendment 113 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 – point b (b) cyber-surveillance technology which can be used for the commission of
Amendment 114 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 a (new) Amendment 115 #
Proposal for a regulation Article 2 – paragraph 1 – point 1 a (new) 1a. 'cyber-surveillance technology' shall mean items which can be used to directly interfere with human rights, including the right to privacy, the right to free speech and the freedom of assembly and association, or which can be used for the commission of serious violations of human rights law or international humanitarian law, or can pose a threat to international security or the essential security of the Union and its Member States and which are specially designed to enable the covert intrusion into information and telecommunication systems with a view to monitoring, exfiltrating, collecting and analysing data and/or incapacitating or damaging the targeted system without the specific, informed and unambiguous authorisation of the owner or the administrator of the systems. This includes items related to the following technology and equipment: (a) mobile telecommunication interception equipment (b) intrusion software (c) monitoring centers (d) lawful interception systems and data retention systems
Amendment 116 #
Proposal for a regulation Article 2 – paragraph 1 – point 2 – point d (d) transmission of software or technology
Amendment 117 #
Proposal for a regulation Article 2 – paragraph 1 – point 3 – point b (b) which decides to transmit or make available software or technology
Amendment 118 #
Proposal for a regulation Article 2 – paragraph 1 – point 3 – –subparagraph 2 Where the benefit of a right to dispose of the dual-use item or cyber-surveillance technology belongs to a person resident or established outside the Union pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party resident or established in the Union.
Amendment 119 #
Proposal for a regulation Article 2 – paragraph 1 – point 4 4. ‘export declaration’ shall mean the act whereby a person indicates in the prescribed form and manner the wish to export dual-use items or cyber- surveillance technologies specified in points 1 and 2;
Amendment 120 #
Proposal for a regulation Article 2 – paragraph 1 – point 5 a (new) (5a) 'end-user' shall mean any natural or legal person or entity that is the final recipient and user of the exported dual- use items or cyber-surveillance technologies.
Amendment 121 #
Proposal for a regulation Article 2 – paragraph 1 – point 6 – subparagraph 1 – point a (a) the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items or cyber- surveillance technologies from a third country to any other third country, or
Amendment 122 #
Proposal for a regulation Article 2 – paragraph 1 – point – 6 – subparagraph 1 – point b (b) the selling or buying of dual-use items and cyber-surveillance technologies that are located in third countries for their transfer to another third country.
Amendment 123 #
Proposal for a regulation Article 2 – paragraph 1 – point 7 7. ‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Union
Amendment 124 #
Proposal for a regulation Article 2 – paragraph 1 – point 7 7. ‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Union
Amendment 125 #
Proposal for a regulation Article 2 – paragraph 1 – point 9 9. ‘supplier of technical assistance’ means any natural or legal person or partnership resident or established in a Member State of the Union,
Amendment 126 #
Proposal for a regulation Article 2 – paragraph 1 – point 9 9. ‘supplier of technical assistance’ means any natural or legal person or partnership resident or established in a Member State of the Union,
Amendment 127 #
Proposal for a regulation Article 2 – paragraph 1 – point 10 – introductory part 10. ‘transit’ shall mean a transport of non-Union dual-use items or cyber- surveillance technologies entering and passing through the customs territory of the Union with a destination outside the Union including items:
Amendment 128 #
Proposal for a regulation Article 2 – paragraph 1 – point 11 11. ‘individual export authorisation’ shall mean an authorisation granted to one specific exporter for one end user or consignee in a third country and covering one or more dual-use items or cyber- surveillance technologies;
Amendment 129 #
Proposal for a regulation Article 2 – paragraph 1 – point 12 12. ‘global export authorisation’ shall mean an authorisation granted to one specific exporter in respect of a type or category of dual-use item or cyber- surveillance technology which may be valid for exports to one or more specified end users in one or more specified third countries;
Amendment 130 #
Proposal for a regulation Article 2 – paragraph 1 – point 13 Amendment 131 #
Proposal for a regulation 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 132 #
Proposal for a regulation 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 or cyber- surveillance technology which may be valid for exports to one or more specified end users in one or more specified third countries for the duration of
Amendment 133 #
Proposal for a regulation 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
Amendment 134 #
Proposal for a regulation Article 2 – paragraph 1 – point 13 13.
Amendment 135 #
Proposal for a regulation Article 2 – paragraph 1 – point 15 15. ‘Union general transfer authorisation’ shall mean an authorisation granted for transfers of certain dual-use items or cyber-surveillance technologies between Member States available to all operators who respect its conditions and requirements for use as listed in Section A of Annex IV;
Amendment 136 #
Proposal for a regulation Article 2 – paragraph 1 – point 20 Amendment 137 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 Amendment 138 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 Amendment 139 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 Amendment 140 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 21. 'cyber-surveillance technology' shall mean items specially designed to enable the covert intrusion into information and telecommunication systems with a view to monitoring, exfiltra
Amendment 141 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – introductory part 21. 'cyber-surveillance technology' shall mean
Amendment 142 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point a Amendment 143 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point b Amendment 144 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point c Amendment 145 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point d Amendment 146 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point e Amendment 147 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point e Amendment 148 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point e (e) digital forensics; including devices for the de-codification of encryption, the recovery of hard disks, the circumvention of passwords and the analysis of biometric data.
Amendment 149 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – point e a (new) (ea) software monitoring and predicting social conduct;
Amendment 150 #
Proposal for a regulation Article 2 – paragraph 1 – point 21 – subparagraph 1 a (new) However, 'cyber surveillance technology' shall not mean items specially designed for any of the following: (a) billing; (b) data collection functions within network elements (e.g. Exchange or HLR;) (c) marketing purposes; (d) quality of service of the network (QoS); (e) user satisfaction (Quality of Experience - QoE); (f) operations at telecommunications companies; (g) network protection (e.g. firewalls);
Amendment 151 #
Proposal for a regulation 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 152 #
Proposal for a regulation Article 2 – paragraph 1 – point 22 22. 'internal compliance programme' (ICP) shall mean effective, appropriate and proportionate means and procedures (risk based approach), including the development, implementation, and adherence to standardised operational compliance policies, procedures, standards of conduct, and safeguards, developed by exporters to ensure compliance with the provisions and with the terms and conditions of authorisations set out in this Regulation; the exporter shall have the possibility, on a voluntary basis, to have its ICP certified for free by the Commission in cooperation with the industry on the basis of an agreed "reference ICP", in order to obtain incentives in the authorization process from the national competent authorities;
Amendment 153 #
Proposal for a regulation Article 2 – paragraph 1 – point 22 a (new) (22a) 'Serious human rights violations' shall be understood to encompass the right to privacy, the freedom of expression, the freedom of association, the right to non-discrimination, the right to life, the freedom from arbitrary arrest and detention and the freedom from torture, inhuman treatment and degrading treatment which are most commonly violated by surveillance. Relevant factors in the assessment shall be: (a) the character, nature and consequences of the actual violation in question; (b) systematic and/or widespread violations of human rights underlining the seriousness of the human rights situation; (c) whether the competent bodies of the United Nations, the Union or the Council of Europe or others have established that serious violations of human rights have taken place in the recipient country, or (d) the adequacy of domestic legal safeguards in the recipient country to prevent human rights abuses.
Amendment 154 #
Proposal for a regulation 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 Amendment 156 #
Proposal for a regulation Article 2 – paragraph 1 – point 23 Amendment 157 #
Proposal for a regulation Article 3 – paragraph 1 1. An authorisation shall be required for the export of the dual-use items and cyber-surveillance technologies listed in Annex I.
Amendment 158 #
Proposal for a regulation Article 3 – paragraph 1 1. An authorisation shall be required for the export of the dual-use items listed in Section A of Annex I.
Amendment 159 #
Proposal for a regulation Article 3 – paragraph 1 a (new) 1a. An authorisation shall be required for the export of the cyber-surveillance items listed in Section B of Annex I.
Amendment 160 #
Proposal for a regulation Article 3 – paragraph 2 2. Pursuant to Article 4 or Article 8, an authorisation may also be required for the export to all or certain destinations of
Amendment 161 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part 1. An authorisation shall be required for the export of specific dual-use items not listed in Annex I to specific end-users if the exporter has been informed by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located, that the items in question are or may be intended, in their entirety or in part:
Amendment 162 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part 1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authority of the Member State in which he is established that the items in question are or may be intended, in their entirety or in part:
Amendment 163 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part 1. An authorisation shall be required for the export of dual-use items or cyber- surveillance technologies not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part:
Amendment 164 #
Proposal for a regulation Article 4 – paragraph 1 – point b (b) for a military end-use if the purchasing country or country of destination is subject to an arms embargo
Amendment 165 #
Proposal for a regulation Article 4 – paragraph 1 – point c a (new) (ca) for use in a territory or a country which is under occupation as recognised so under international law
Amendment 166 #
Proposal for a regulation Article 4 – paragraph 1 – point d Amendment 167 #
Proposal for a regulation Article 4 – paragraph 1 – point d Amendment 168 #
Proposal for a regulation 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 law in
Amendment 169 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) for use by persons complicit in or responsible for directing or committing serious violations of human rights laws or international humanitarian law in
Amendment 170 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) for use by persons complicit in or responsible for directing or committing
Amendment 171 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) for use by persons complicit in or responsible for directing or committing
Amendment 172 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) for use by natural or legal persons complicit in or responsible for directing or committing
Amendment 173 #
Proposal for a regulation 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
Amendment 174 #
Proposal for a regulation Article 4 – paragraph 1 – point d a (new) (da) for a use which either in the exporting country or in the country of destination is illegal or where the country of destination has no legal framework which is compliant with international human rights standards;
Amendment 175 #
Proposal for a regulation Article 4 – paragraph 1 – point e Amendment 176 #
Proposal for a regulation Article 4 – paragraph 1 – point e Amendment 177 #
Proposal for a regulation Article 4 – paragraph 1 – point e Amendment 178 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) for use
Amendment 179 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) for use
Amendment 180 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) for use in connection with acts of terrorism and international espionage.
Amendment 181 #
Proposal for a regulation Article 4 – paragraph 2 2. If an exporter
Amendment 182 #
Proposal for a regulation Article 4 – paragraph 2 2. If an exporter
Amendment 183 #
Proposal for a regulation 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
Amendment 184 #
Proposal for a regulation Article 4 – paragraph 2 2. If an exporter
Amendment 185 #
Proposal for a regulation Article 4 – paragraph 2 2. If an exporter, under his obligation to exercise due diligence, is aware that dual-use items or cyber-surveillance technologies 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 to
Amendment 186 #
Proposal for a regulation Article 4 – paragraph 2 2. If an exporter
Amendment 187 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of
Amendment 188 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid
Amendment 189 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for
Amendment 190 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for
Amendment 191 #
Proposal for a regulation Article 4 – paragraph 3 3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for
Amendment 192 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 1 A Member State which imposes an authorisation requirement, in application of paragraphs 1, 2 and 3 on the export of a dual-use item not listed in Annex I, shall immediately inform the other Member States and the Commission and provide them with the relevant information, in particular concerning the items and end- users concerned.
Amendment 193 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 1 A Member State which imposes an authorisation requirement
Amendment 194 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 1 A Member State which imposes an authorisation requirement, in application of paragraphs 1, 2 and 3 on the export of a dual-use item not listed in Annex I, shall, unless it would prejudice its national security interests, immediately inform the other Member States
Amendment 195 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 1 A Member State which imposes an authorisation requirement, in application of paragraphs 1 , 2 and 3 on the export of a dual-use item or cyber-surveillance technology not listed in Annex I, shall immediately inform the other Member States and the Commission and provide them with the relevant information, in particular concerning the items and end- users concerned . The other Member States shall give all due consideration to this information and shall make known within 10 working days any objections they may have to the imposition of such an authorisation requirement. In exceptional cases, any Member State consulted may request an extension of the 10-day period.
Amendment 196 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 2 Amendment 197 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 2 If no objections are received, the Member States consulted shall be considered to have no objection and shall impose authorisations requirements for all "essentially similar transactions" meaning an item with essentially identical parameters or technical characteristics to the same end use or consignee. They shall inform their customs administration and other relevant national authorities about the authorisations requirements. The Commission shall publish in the Official Journal a short description of the case, the reasoning of the decision and indicate, if applicable, the new authorisation requirement in a new Section E of Annex II.
Amendment 198 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 2 If no objections are received, the Member States consulted shall be considered to have no objection and shall impose authorisations requirements for all "essentially similar transactions". They shall inform their customs administration and other relevant national authorities
Amendment 199 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 2 If no objections are received, the Member States consulted shall be considered to have no objection and shall impose authorisations requirements for
Amendment 200 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 3 Amendment 201 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 3 If objections are received from a
Amendment 202 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 4 Amendment 203 #
Proposal for a regulation Article 4 – paragraph 4 – subparagraph 4 The Commission and the Member States
Amendment 204 #
Proposal for a regulation Article 4 – paragraph 5 5. The provisions of Article 15(1), (2) and (5) to (7) shall apply to cases concerning dual-use items or cyber- surveillance technologies not listed in Annex I.
Amendment 205 #
Proposal for a regulation Article 5 – paragraph 1 1. An authorisation shall be required for brokering services of dual-use items or cyber-surveillance technologies if the broker 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 206 #
Proposal for a regulation Article 5 – paragraph 2 2. If a broker is
Amendment 207 #
Proposal for a regulation Article 5 – paragraph 2 2. If a broker is aware that the dual- use items or cyber-surveillance technologies 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 to make such brokering services subject to authorisation.
Amendment 208 #
Proposal for a regulation 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
Amendment 209 #
Proposal for a regulation Article 5 – paragraph 2 – subparagraph 1 a (new) The regulation does not apply to the supply of services or training if it involves cross-border movement of persons.
Amendment 210 #
Proposal for a regulation Article 6 – paragraph 1 1. The transit of non-Union dual-use items listed in Annex I may be prohibited at any time by the competent authority of the Member State where the items are situated if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).
Amendment 211 #
Proposal for a regulation Article 6 – paragraph 1 1. The transit of non-Union dual-use items or cyber-surveillance technologies may be prohibited at any time by the competent authority of the Member State where the items are situated if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).
Amendment 212 #
Proposal for a regulation Article 6 – paragraph 1 1. The transit of non-Union dual-use items may be prohibited at any time by the competent authority of the Member State where the items are situated or where the transit occurs, if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).
Amendment 213 #
Proposal for a regulation Article 6 – paragraph 2 – subparagraph 1 Before deciding whether or not to prohibit a transit the competent authority may impose in individual cases an authorisation requirement for the specific transit of dual- use items or cyber-surveillance technologies if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).
Amendment 214 #
Proposal for a regulation Article 6 – paragraph 2 – subparagraph 2 – introductory part Amendment 215 #
Proposal for a regulation Article 7 – paragraph 1 1. An authorisation shall be required for the provision, directly or indirectly, of technical assistance related to dual-use items and cyber-surveillance technologies, or related to the provision, manufacture, maintenance and use of dual-
Amendment 216 #
Proposal for a regulation Article 7 – paragraph 1 1. An authorisation shall be required for the provision,
Amendment 217 #
Proposal for a regulation 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 218 #
Proposal for a regulation 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 outside the territory of the Union are intended, in their entirety or in part, for any of the uses referred to in Article 4
Amendment 219 #
Proposal for a regulation 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 outside the Union are intended, in their entirety or in part, for any of the uses referred to in Article 4(1)(a) to (c), he must notify the competent authority which will decide whether or not it is expedient to make such technical assistance subject to
Amendment 220 #
Proposal for a regulation Article 7 – paragraph 2 If a supplier of technical assistance is aware that the dual-use items or cyber- surveillance technologies 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, he must notify the competent authority which will decide whether or not it is expedient to make such technical assistance subject to authorisation.
Amendment 221 #
Proposal for a regulation Article 7 – paragraph 2 If a supplier of technical assistance is aware that the dual-use items for which he
Amendment 222 #
Proposal for a regulation Article 7 – paragraph 2 a (new) 2a. Paragraphs 1 and 2 shall not apply if the technical assistance (a) is provided in a country listed in Section A of Annex II, (b) takes place via the passing on of information which is generally available or forms part of basic research within the meaning of the General Technology Note to Annex I or Section A of Annex I, (c) does not refer to technology which is cited in the numbers of category E of Annex I, or (d) represents the absolutely necessary minimum for the construction, operation, maintenance and repair of those dual-use items for which an export authorization was issued.
Amendment 223 #
Proposal for a regulation Article 8 – paragraph 1 1. A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security
Amendment 224 #
Proposal for a regulation Article 8 – paragraph 1 1. A Member State may prohibit or impose an authorisation requirement on the export of dual-use items or cyber- surveillance technologies not listed in Annex I for reasons of public security or
Amendment 225 #
Proposal for a regulation Article 8 – paragraph 1 1. A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security or terrorism or for human rights considerations.
Amendment 226 #
Proposal for a regulation Article 8 – paragraph 1 a (new) 1a. Member States shall examine risk assessments conducted by businesses under Article 4(2) and also independently examine the risks posed by dual-use items, and shall impose an authorization requirement if a dual-use item poses a risk to human rights, as defined in Article 4(1)(d).
Amendment 227 #
Proposal for a regulation Article 8 – paragraph 2 2. Member States shall notify the Commission and the other Member States of any measures adopted pursuant to paragraph 1 immediately after their adoption and indicate the precise reasons for the measures. They shall also make this information publicly available by means of readily accessible media, such as a dedicated website.
Amendment 228 #
Proposal for a regulation Article 8 – paragraph 2 a (new) 2a. Member States shall disclose information regarding the adopted measures, listing approvals or denials of exports and the volume, value, nature of equipment and destination of their trade in dual-use items;
Amendment 229 #
Proposal for a regulation Article 9 – paragraph 2 – introductory part 2. A Member State may impose an authorisation requirement for the transfer of other dual-use items or cyber- surveillance technologies from its territory to another Member State in cases where at the time of transfer:
Amendment 230 #
Proposal for a regulation Article 9 – paragraph 7 7. The relevant commercial documents relating to intra-Union transfers of dual-use items or cyber-surveillance technologies 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 231 #
Proposal for a regulation 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 232 #
Proposal for a regulation Article 10 – paragraph 1 – subparagraph 1 – point b (b) global export authori
Amendment 233 #
Proposal for a regulation Article 10 – paragraph 2 – subparagraph 2 Amendment 234 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 235 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations
Amendment 236 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for one year, and may be renewed by the competent authority.
Amendment 237 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 238 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 239 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 240 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 241 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for
Amendment 242 #
Proposal for a regulation Article 10 – paragraph 3 3. Individual export authorisations and global export authorisations shall be valid for one year, and may be renewed by the competent authority. Global export authorisations for large projects shall be valid for
Amendment 243 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 1 Exporters shall supply the competent authority with all relevant information required for their applications for individual and global export authorisation so as to provide complete information in particular on the end user, the country of destination and the end use of the item exported. When dealing with governmental end-users, the information supplied shall define specifically which department, agency, unit or sub-unit will be the final end-user of the item exported.
Amendment 244 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 2 Authorisations
Amendment 245 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 2 Authorisations may be subject, if appropriate and possible, to an end-use statement.
Amendment 246 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 2 Authorisations
Amendment 247 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – introductory part Global export authorisations shall be subject to the implementation, by the exporter, of an effective internal compliance programme which can be certified for free on a voluntary basis by the Commission with the cooperation of the industry, on the basis of a reference ICP established by the Commission in order to obtain incentives in the authorization process from the national competent authorities. The exporter shall also report to the competent authority, at least once a year, on the use of this authorisation; the report shall include at least the following information:
Amendment 248 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – introductory part Global export authorisations shall be subject to the implementation, by the exporter, of an effective internal compliance programme. The exporter shall also report to the competent authority, at
Amendment 249 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – introductory part Global export authorisations shall be subject to the implementation, by the exporter, of an effective internal compliance programme prior to export taking place. The exporter shall also report to the competent authority, at least once a year, on the use of this authorisation; the report shall include at least the following information:
Amendment 250 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point a (a) the description of the dual-use items or cyber-surveillance technologies, including the relevant control entry from Section A of Annex I;
Amendment 251 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point b (b) the quantity and the value of the dual-use items or cyber-surveillance technologies;
Amendment 252 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d (d) where known, the end-use and end- user of the dual-use items or cyber- surveillance technologies.
Amendment 253 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d (d)
Amendment 254 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d (d)
Amendment 255 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d (d)
Amendment 256 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d a (new) (da) the name and address of the nominated users if any.
Amendment 257 #
Proposal for a regulation Article 10 – paragraph 4 – subparagraph 3 – point d a (new) (da) the date on which the export took place;
Amendment 258 #
Proposal for a regulation Article 10 – paragraph 5 5. The competent authorities of the Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.
Amendment 259 #
Proposal for a regulation Article 10 – paragraph 5 5. The competent authorities of the Member States shall process requests for individual or global authorisations within a period of t
Amendment 260 #
Proposal for a regulation Article 10 – paragraph 5 5. The competent authorities of the Member States shall process requests for individual or global authorisations within
Amendment 261 #
Proposal for a regulation Article 10 – paragraph 6 – point c (c) not be used if the exporter has grounds to suspect, is aware or 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 , or if the exporter is aware that the items are intended for the abovementioned uses.
Amendment 262 #
Proposal for a regulation Article 11 – paragraph 1 – subparagraph 2 Amendment 263 #
Proposal for a regulation Article 11 – paragraph 1 – subparagraph 2 Where the broker or the supplier of technical assistance is not resident or established on the territory of the Union, authorisations for brokering services and technical assistance under this Regulation shall be granted
Amendment 264 #
Proposal for a regulation Article 11 – paragraph 3 3. Brokers and suppliers of technical assistance shall supply the competent authority with all relevant information required for their application for authorisation under this Regulation, in particular details of the location of the dual-use items or cyber-surveillance technologies, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.
Amendment 265 #
Proposal for a regulation Article 13 – paragraph 1 – subparagraph 1 If the dual-use items or cyber-surveillance technologies in respect of which an application has been made for an individual export authorisation to a destination not listed in Section A of 1 Annex II or to any destination in the case
Amendment 266 #
Proposal for a regulation Article 14 – paragraph 1 – introductory part 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 competent authorities of the Member States shall take into account
Amendment 267 #
Proposal for a regulation Article 14 – paragraph 1 – point a (a) 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
Amendment 268 #
Proposal for a regulation Article 14 – paragraph 1 – point b (b)
Amendment 269 #
Proposal for a regulation Article 14 – paragraph 1 – point b (b)
Amendment 270 #
Proposal for a regulation Article 14 – paragraph 1 – point b (b) respect for human rights and fundamental freedoms in the country of final destination as well as respect by that country of international humanitarian law;
Amendment 271 #
Proposal for a regulation Article 14 – paragraph 1 – point c Amendment 272 #
Proposal for a regulation Article 14 – paragraph 1 – point c (c) the internal situation in the country of final destination – competent authorities
Amendment 273 #
Proposal for a regulation Article 14 – paragraph 1 – point d Amendment 274 #
Proposal for a regulation Article 14 – paragraph 1 – point d – indent 1 (new) – use in territories under occupation which are recognised as such under international law;
Amendment 275 #
Proposal for a regulation Article 14 – paragraph 1 – point e (e) considerations of national foreign and security policy, including
Amendment 276 #
Proposal for a regulation Article 14 – paragraph 1 – point e a (new) (ea) the behaviour of the buyer country with regard to the international community, as regards in particular its attitude to terrorism, the nature of its alliances and respect for international law;
Amendment 277 #
Proposal for a regulation Article 14 – paragraph 1 – point f (f) considerations about intended end use and the risk of diversion , including
Amendment 278 #
Proposal for a regulation Article 14 – paragraph 1 – point f (f) considerations about intended end use and the risk of diversion , including existence of a risk that the dual-use items or cyber-surveillance technologies will be diverted or re-exported under undesirable conditions .
Amendment 279 #
Proposal for a regulation Article 14 – paragraph 1 – point f – point i (new) (i) the direct impact of the products on respect for human rights in the country of destination or of international humanitarian law by that country;
Amendment 280 #
Proposal for a regulation Article 14 – paragraph 1 – point f – point ii (new) (ii) diversion to unintended military end use;
Amendment 281 #
Proposal for a regulation Article 14 – paragraph 1 – point f – point iii (new) (iii) diversion to terrorism;
Amendment 282 #
Proposal for a regulation Article 14 – paragraph 1 – point f – point iv (new) (iv) possible re-export under undesirable conditions;
Amendment 283 #
Proposal for a regulation Article 14 – paragraph 1 – point f a (new) (fa) The compatibility of the exports of the items with the technical and economic capacity of the recipient country;
Amendment 284 #
Proposal for a regulation Article 14 – paragraph 1 a (new) 1a. In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services or technical assistance for cyber-surveillance technologies, 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 and freedom of assembly and association, as well as the strength of the rule of law and the legal framework for use of the items to be exported and the potential security risks for the Union.
Amendment 285 #
Proposal for a regulation Article 14 – paragraph 1 a (new) 1a. Member States shall not grant an individual or global export authorisation or an authorisation for brokering services or technical assistance under this Regulation where there is evidence of use of the a dual-use item or technology in connection with violation of human rights, including violation of the right to privacy and arbitrary interception of communication. They shall also prohibit the transit of such items or technology through the Union territory;
Amendment 286 #
Proposal for a regulation Article 14 – paragraph 1 a (new) 1a. 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 application by the exporter 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.
Amendment 287 #
Proposal for a regulation Article 14 – paragraph 2 Amendment 288 #
Proposal for a regulation Article 14 – paragraph 2 2. The Commission and the Council shall make available guidance
Amendment 289 #
Proposal for a regulation Article 14 – paragraph 2 2. The Commission and the Council shall make available guidance and/or recommendations to ensure common risk assessments (risk-based approach) by the competent authorities of the Member States for the implementation of those criteria.
Amendment 290 #
Proposal for a regulation Article 14 – paragraph 2 2. The Commission and the Council shall make available guid
Amendment 291 #
Proposal for a regulation Article 15 – paragraph 1 a (new) 1a. If an export authorisation which has already been granted is annulled, suspended, modified or revoked, Member States shall make provision for compensation. In accordance with the principle of legitimate expectations, an exporter may receive compensation if his confidence in the validity of the authorisation deserves protection. If necessary, the competent authorities of a Member State shall modify or revoke an export authorisation which has been granted or annul or suspend it, which they shall do within one year of facts coming to light which justify annulment, suspension, modification or revocation.
Amendment 292 #
Proposal for a regulation Article 15 – paragraph 2 2. The competent authorities of Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States will notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible.
Amendment 293 #
Proposal for a regulation Article 15 – paragraph 3 3. The competent authorities of the Member States shall notify the Member States and the Commission of their decisions to prohibit a transit of dual-use items or cyber-surveillance technologies taken under Article 6 without delay. These notifications will contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end user.
Amendment 294 #
Proposal for a regulation Article 15 – paragraph 5 5. Before the competent authority of a Member State, acting under this Regulation, grants an authorisation for export or brokering services or technical assistance, or decides on a transit, it shall examine all valid denials or decisions to prohibit a transit of dual-use items or cyber-surveillance technologies listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State or States for an essentially identical transaction (meaning an item with essentially identical parameters or technical characteristics to the same end user or consignee). It shall first consult the
Amendment 295 #
Proposal for a regulation Chapter 4 – title AMENDMENT OF LISTS OF DUAL- USE ITEMS AND CYBER- SURVEILLANCE TECHNOLOGIES AND DESTINATIONS
Amendment 296 #
Proposal for a regulation Article 16 – paragraph 2 – introductory part 2. The Commission shall be empowered to adopt delegated acts in order to amend the lists of dual-use items and cyber-surveillance technologies set out in Annex I and Section B of Annex IV, as follows:
Amendment 297 #
Proposal for a regulation Article 16 – paragraph 2 – introductory part 2. The Commission shall be empowered to adopt delegated acts in order to amend the lists of dual-use items set out in Section A of Annex I and Section B of Annex IV, as follows:
Amendment 298 #
Proposal for a regulation Article 16 – paragraph 2 – point a (a) The list of dual-use items and cyber-surveillance technologies set out in Section A of Annex I shall be amended in conformity with the relevant obligations and commitments, and any modification thereof, that Member States and the Union have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties. Where the amendment of Section A of Annex I concerns dual-use items which are also listed in Annexes II and IV, Section B, those Annexes shall be amended accordingly.
Amendment 299 #
Proposal for a regulation Article 16 – paragraph 2 – point b Amendment 300 #
Proposal for a regulation Article 16 – paragraph 2 – point b Amendment 301 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of
Amendment 302 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of dual-use items set out in Section B of Annex I may be amended if this is necessary due to risks that the export of such items may pose as regards the
Amendment 303 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of
Amendment 304 #
Proposal for a regulation Article 16 – paragraph 2 – point b (b) The list of dual-use items set out in Section B of Annex I
Amendment 305 #
Proposal for a regulation Article 16 – paragraph 2 – point b a (new) Amendment 306 #
Proposal for a regulation Article 16 – paragraph 2 a (new) (2a) Section B of Annex I shall be limited in scope to cyber-surveillance technologies and shall not contain duplications of items listed in Section A of Annex I;
Amendment 307 #
Proposal for a regulation Article 18 – paragraph 1 1. When completing the formalities for the export of dual-use items or cyber- surveillance technologies at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.
Amendment 308 #
Proposal for a regulation Article 18 – paragraph 3 – introductory part 3. Without prejudice to any powers conferred on it under, and pursuant to, the Union Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items or cyber-surveillance technologies listed in Annex I which are covered by a valid export authorisation from leaving the Union via its territory, where it has grounds for suspicion that:
Amendment 309 #
Proposal for a regulation Article 18 – paragraph 4 4. In the case referred to in paragraph 3, the competent authority of the Member State which granted the export authorisation shall be consulted forthwith in order that they may take action pursuant to Article 15(1). If such competent
Amendment 310 #
Proposal for a regulation Article 18 – paragraph 5 5. The Commission, in cooperation with the Member States, shall develop
Amendment 311 #
Proposal for a regulation Article 19 – paragraph 1 1. Member States may provide that customs formalities for the export of dual- use items or cyber-surveillance technologies may be completed only at customs offices empowered to that end.
Amendment 312 #
Proposal for a regulation Article 20 – paragraph 1 – subparagraph 1 – point a – indent 1 – grant export authorisations for dual- use items and cyber-surveillance technologies;
Amendment 313 #
Proposal for a regulation Article 20 – paragraph 1 – subparagraph 1 – point a – indent 3 – decide to prohibit the transit of non- Union dual-use items
Amendment 314 #
Proposal for a regulation Article 20 – paragraph 2 – introductory part 2. Member States, in cooperation with the 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.
Amendment 315 #
Proposal for a regulation Article 20 – paragraph 2 – point a (a) information regarding the application of controls
Amendment 316 #
Proposal for a regulation Article 20 – paragraph 2 – point a (a) all information regarding the application of controls, including licensing data (number, value and types of licences and related destinations, number of users of general and global authorisations, number of operators with ICPs, processing times, volume and value of trade subject to intra- EU transfers etc), and, where available, data on exports of dual-use items and cyber-surveillance technologies carried out in other Member States;
Amendment 317 #
Proposal for a regulation Article 20 – paragraph 2 – point b (b) information regarding the enforcement of controls, including
Amendment 318 #
Proposal for a regulation Article 20 – paragraph 2 – point b (b) all information regarding the enforcement of controls, including details of exporters deprived of the right to use the national or Union general export authorisations 1 , any reports of violations, seizures and the application of other penalties ;
Amendment 319 #
Proposal for a regulation Article 20 – paragraph 2 – point c (c) all data on sensitive end users, actors involved in suspicious procurement activities, and, where available, routes taken.
Amendment 320 #
Proposal for a regulation Article 20 – paragraph 2 – point c (c) data on sensitive end users, actors involved in suspicious procurement activities, and
Amendment 321 #
Proposal for a regulation Article 21 – paragraph 2 2. The
Amendment 322 #
Proposal for a regulation Article 21 – paragraph 3 3. The Dual-Use Coordination Group shall, where appropriate, set up technical expert groups composed of experts from Member States to examine specific
Amendment 323 #
Proposal for a regulation Article 22 – paragraph 1 1. Each Member State shall take appropriate measures to ensure proper
Amendment 324 #
Proposal for a regulation 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 325 #
Proposal for a regulation Article 22 – paragraph 1 a (new) 1a. The Commission shall assess whether rules on penalties laid down by Member States are of a similar nature and effect.
Amendment 326 #
Proposal for a regulation 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 327 #
Proposal for a regulation Article 22 – paragraph 2 2. The Dual-Use Coordination Group shall set up a
Amendment 328 #
Proposal for a regulation Article 23 Amendment 329 #
Proposal for a regulation Article 23 Amendment 330 #
Proposal for a regulation Article 24 – paragraph 1 1. The Commission and the Council shall, where appropriate, make available guidance
Amendment 331 #
Proposal for a regulation Article 24 – paragraph 1 1. The Commission and the Council shall, where appropriate, make available guid
Amendment 332 #
Proposal for a regulation Article 24 – paragraph 1 a (new) Amendment 333 #
Proposal for a regulation Article 24 – paragraph 2 – subparagraph 2 3. Member States shall provide to the Commission all appropriate information for the preparation of the report. This annual report shall be public. Member States shall also disclose publically, in a timely and easily accessible manner, meaningful information on the volume, nature of equipment, and destination of their trade in dual-use items, as well as information regarding approved or denied exports, in order to enable appropriate oversight by elected representatives, independent bodies and the public. Human rights risk assessments undertaken by competent authorities and the corresponding statements by exporters regarding authorized or denied export licenses should also be made publically available. All information referred to in this paragraph shall be published on the website of the national export licence authority or on a dedicated Union level website.
Amendment 334 #
Proposal for a regulation 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 335 #
Proposal for a regulation Article 24 – paragraph 3 – subparagraph 1 Between five and seven years after the date of application of this Regulation, the Commission shall carry out an evaluation of this Regulation and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee. The evaluation shall include a proposal on the deletion of Cryptography from the Category 5, Part 2 of Annex 1.
Amendment 336 #
Proposal for a regulation Article 25 – paragraph 1 – introductory part 1. Exporters of dual-use items and cyber-surveillance technologies shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:
Amendment 337 #
Proposal for a regulation Article 25 – paragraph 1 – point a (a) the description of the dual-use items or cyber-surveillance technologies;
Amendment 338 #
Proposal for a regulation Article 25 – paragraph 1 – point b (b) the quantity of the dual-use items or cyber-surveillance technologies;
Amendment 339 #
Proposal for a regulation Article 25 – paragraph 1 – point d (d) where known, the end-use and end- user of the dual-use items or cyber- surveillance technologies.
Amendment 340 #
Proposal for a regulation Article 25 – paragraph 1 – point d (d)
Amendment 341 #
Proposal for a regulation Article 25 – paragraph 1 – point d (d)
Amendment 342 #
Proposal for a regulation Article 25 – paragraph 2 2. In accordance with national law or practice in force in the respective Member States, brokers and suppliers of technical assistance shall keep registers or records for brokering or technical assistance services so as to be able to prove, on request, the description of the dual-use items or cyber-surveillance technologies that were the subject of brokering or technical assistance services, the period during which the items were the subject of such services and their destination, and the countries concerned by those services.
Amendment 343 #
Proposal for a regulation Article 25 – paragraph 3 3. The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least
Amendment 344 #
Proposal for a regulation Article 25 – paragraph 4 4. Documents and records of intra- Union transfers of dual-use items or cyber- surveillance technologies listed in Annex I shall be kept for at least three years from the end of the calendar year in which a transfer took place and shall be produced to the competent authority of the Member State from which these items were transferred on request.
Amendment 345 #
Proposal for a regulation Article 26 – paragraph 1 – point a (a) to gather information on any order or transaction involving dual-use items or cyber-surveillance technologies;
Amendment 346 #
Proposal for a regulation 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 347 #
Proposal for a regulation Article 27 – paragraph 2 – subparagraph 1 – introductory part 2. Without prejudice to the provisions
Amendment 348 #
Proposal for a regulation Article 27 – paragraph 2 – subparagraph 1 – point b (b) to
Amendment 349 #
Proposal for a regulation Annex I – Section A – DEFINITIONS OF TERMS USED IN THIS ANNEX “Intrusion software” (4) means “software” specially designed or modified to
Amendment 350 #
Proposal for a regulation Annex I – Section A – category 0 – subcategory 0C – point 0C001 – point b Amendment 351 #
Proposal for a regulation Annex I – Section A – category 1 – subcategory 1C – point 1C236 – point c c. Mixtures having a total activity of 3 GBq/kg (
Amendment 352 #
Proposal for a regulation Annex I – Section A – category 4 – subcategory 4A – point 4A005 4A005 Systems, equipment, and components therefor, specially designed or modified for the generation, operation or delivery of,
Amendment 353 #
Proposal for a regulation Annex I – Section A – category 4 – subcategory 4D – point 4D004 4D004 “Software” specially designed or modified for the generation, operation or delivery of
Amendment 354 #
Proposal for a regulation Annex I – Section A – category 4 – subcategory 4E – point 4E001 – point a a. “Technology” according to the General Technology Note, specifically designed or modified for the “development”, “production” or “use” of
Amendment 355 #
Proposal for a regulation Annex I – Section A – category 4 – subcategory 4E – point 4E001 –point c c. “Technology” specifically designed or modified for the “development” of “intrusion software”.
Amendment 356 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2 – point 5A002 – point a – point 1 Amendment 357 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2 – point 5A002 – point a – point 2 Amendment 358 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2 – point 5A002 – point a –point 5 Amendment 359 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2 – point 5A002 – point a – point 6 Amendment 360 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2 – point 5A002 – point a – point 9 Amendment 361 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5A2– point 5A002 – point b – paragraph Amendment 362 #
Proposal for a regulation Annex I – Section A – category 5– subcategory 5B2 – point 5B002 Amendment 363 #
Proposal for a regulation Annex I – Section A – category 5– subcategory 5D2 – point 5D002 Amendment 364 #
Proposal for a regulation Annex I – Section A – category 5 – subcategory 5E2 – point 5E002 Amendment 365 #
Proposal for a regulation Annex I – Section B Amendment 366 #
Proposal for a regulation Annex I – Section B Amendment 367 #
Proposal for a regulation Annex I – Section B – title B. LIST OF
Amendment 368 #
Proposal for a regulation Annex I – Section B – category 10 – point 10A001 – point a a (new) aa. Equipment for the identification of persons or messages by way of key-word recognition in telephone communication,
Amendment 369 #
Proposal for a regulation Annex I – Section B – category 10 – point 10A001 – point a b (new) ab. Systems monitoring and predicting the social conduct of people,
Amendment 370 #
Proposal for a regulation Annex I – Section B – category 10 – point 10A001 – Technical note – point e a (new) ea. Systems monitoring households by means of smart meters, that only transmit data regarding heat- and energy consumption and the corresponding time.
Amendment 371 #
Proposal for a regulation Annex I – Section B – Section B – category 10 – point 10A001 – Technical note – point e a (new)) ea. network and security research for the purposes of authorised testing or the protection of information security systems.
Amendment 372 #
Proposal for a regulation Annex II – Section A – part 3 – paragraph 1 – point 1 (1) the exporter is aware, has grounds for suspecting or 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, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles or unmanned aerial vehicle systems (UAV) capable of delivering such weapons, or if the exporter is aware that the items in question are intended for such use;
Amendment 373 #
Proposal for a regulation Annex II – Section A – part 3 – paragraph 1 – point 2 (2) the exporter is aware, has grounds for suspecting or 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 for a military end use, or if the exporter is aware that the items in question are intended for the above mentioned use;
Amendment 374 #
Proposal for a regulation Annex II – Section A – part 3 – paragraph 3 3. A
Amendment 375 #
Proposal for a regulation Annex II – Section A – part 3 – paragraph 4 4. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 376 #
Proposal for a regulation Annex II – Section A – part 3 – paragraph 5 – point 4 (4)
Amendment 377 #
Proposal for a regulation Annex II – Section B – part 2 – paragraph 1 – indent 4 Amendment 378 #
Proposal for a regulation Annex II – Section B – part 2 – paragraph 1 – indent 4 Amendment 379 #
Proposal for a regulation Annex II – Section B – part 3 – paragraph 1 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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:
Amendment 380 #
Proposal for a regulation Annex II – Section B – part 3 – paragraph 1 – point 1 – point a (a) for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices, or the development, production, maintenance or storage of missiles or unmanned aerial vehicle systems (UAV) capable of delivering such weapons;
Amendment 381 #
Proposal for a regulation Annex II – Section B – part 3 – paragraph 3 3. A
Amendment 382 #
Proposal for a regulation Annex II – Section B – part 3 – paragraph 4 4. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is
Amendment 383 #
Proposal for a regulation Annex II – Section B – part 3 – paragraph 5 – point 4 (4)
Amendment 384 #
Proposal for a regulation Annex II – Section C – part 2 – paragraph 1 – indent 20 Amendment 385 #
Proposal for a regulation Annex II – Section C – part 3 – paragraph 2 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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,
Amendment 386 #
Proposal for a regulation Annex II – Section C – part 3 – paragraph 2 – point 1 – point a (a) for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles or unmanned aerial vehicle systems (UAV) capable of delivering such weapons;
Amendment 387 #
Proposal for a regulation Annex II – Section C – part 3 – paragraph 4 4. A
Amendment 388 #
Proposal for a regulation Annex II – Section C – part 3 – paragraph 5 5. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established, no later than
Amendment 389 #
Proposal for a regulation Annex II – Section C – part 3 – paragraph 6 – point 4 (4)
Amendment 390 #
Proposal for a regulation Annex II – Section D – part 2 – paragraph 1 – indent 19 - Tunisia
Amendment 391 #
Proposal for a regulation Annex II – Section D – part 3 – paragraph 3 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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:
Amendment 392 #
Proposal for a regulation Annex II – Section D – part 3 – paragraph 5 5. A
Amendment 393 #
Proposal for a regulation Annex II – Section D – part 3 – paragraph 6 6. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 394 #
Proposal for a regulation Annex II – Section D – part 3 – paragraph 7 – point 4 (4)
Amendment 395 #
Proposal for a regulation Annex II – Section E – part 2 – paragraph 1 – indent 7 Amendment 396 #
Proposal for a regulation Annex II – Section E – part 3 – paragraph 3 3. A
Amendment 397 #
Proposal for a regulation Annex II – Section E – part 3 – paragraph 4 4. The registered exporter who uses this authorisation shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 398 #
Proposal for a regulation Annex II – Section F – part 2 – paragraph 1 – indent 3 Amendment 399 #
Proposal for a regulation Annex II – Section F – part 3 – paragraph 1 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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:
Amendment 400 #
Proposal for a regulation Annex II – Section F – paragraph 3 3. A
Amendment 401 #
Proposal for a regulation Annex II – Section F – part 3 – paragraph 4 4. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 402 #
Proposal for a regulation Annex II – Section F – part 3 – paragraph 5 – point 4 (4)
Amendment 403 #
Proposal for a regulation Annex II – Section G – part 3 – paragraph 2 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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:
Amendment 404 #
Proposal for a regulation Annex II – Section G – part 3 – paragraph 6 6. A
Amendment 405 #
Proposal for a regulation 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
Amendment 406 #
Proposal for a regulation 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
Amendment 407 #
Proposal for a regulation Annex II – Section G – part 3 – paragraph 8 – point 4 (4)
Amendment 408 #
Proposal for a regulation Annex II – Section G – part 3 – paragraph 9 9. Exporters who
Amendment 409 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 1 – point 1 (1) by
Amendment 410 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 1 – point 2 Amendment 411 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 1 – subparagraph 2 Amendment 412 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 1 – subparagraph 2 in its or their own commercial
Amendment 413 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 2 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or has been informed by the competent authority of the Member State in which it is resident or established that the software and technology in question are or may be intended, in their entirety or in part:
Amendment 414 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 5 – subparagraph 1 Any exporter intending to use this authorisation shall register
Amendment 415 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 5 – subparagraph 1 A
Amendment 416 #
Proposal for a regulation Annex II – Section H – part 3 – paragraph 5 – subparagraph 2 The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 418 #
Proposal for a regulation Annex II – Section I – part 3 – paragraph 1 – point 4 (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 when the warehouse is not under the control of the EU exporter.
Amendment 419 #
Proposal for a regulation Annex II – Section I – part 3 – paragraph 3 – subparagraph 1 A
Amendment 420 #
Proposal for a regulation Annex II – Section I – part 3 – paragraph 3 – subparagraph 2 The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 421 #
Proposal for a regulation Annex II – Section J – part 3 – paragraph 1 – point 1 – introductory part (1) the exporter is aware, has grounds for suspecting or 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:
Amendment 422 #
Proposal for a regulation Annex II – Section J – part 3 – paragraph 3 3. A
Amendment 423 #
Proposal for a regulation Annex II – Section J – part 3 – paragraph 4 4. The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where he is resident or established
Amendment 424 #
Proposal for a regulation Annex II – Section J – part 3 – paragraph 5 – point 4 (4)
Amendment 58 #
Proposal for a regulation Title 1 Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union regime for the control of exports, transfer, brokering , technical assistance and transit of dual-use items and cyber-surveillance technologies (recast)
Amendment 59 #
Proposal for a regulation 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 60 #
Proposal for a regulation Recital 5 (5) C
Amendment 61 #
Proposal for a regulation Recital 5 (5) C
Amendment 62 #
Proposal for a regulation 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
Amendment 63 #
Proposal for a regulation 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
Amendment 64 #
Proposal for a regulation Recital 6 Amendment 65 #
Proposal for a regulation Recital 6 (6) As a result, it is also appropriate to
Amendment 66 #
Proposal for a regulation Recital 6 (6) As a result, it is also appropriate to
Amendment 67 #
Proposal for a regulation Recital 6 (6) As a result, it is also appropriate to
Amendment 68 #
Proposal for a regulation 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
Amendment 69 #
Proposal for a regulation Recital 6 a (new) (6a) These measures should not go beyond what is necessary and proportionate. They should, in particular, not prevent the export of information and communication technology used for legal purposes, including law enforcement and network and security research for the purposes of authorised testing or the protection of information security systems. The Commission, in close consultations with the Member States and stakeholders, should develop guidelines to support the practical applications of those controls.
Amendment 70 #
Proposal for a regulation Recital 7 (7) Transmission of dual-use and cyber-surveillance software and technology by means of electronic media, fax or telephone to destinations outside the Union should also be controlled. In order to limit the administrative burden for exporters and the competent authorities of the Member States, the definition of export should however be revised to exclude transmissions which do not pose a grave risk of proliferation or other misuse covered by this Regulation.
Amendment 71 #
Proposal for a regulation Recital 7 (7) Transmission of dual-use software and technology by means of electronic media, fax or telephone to destinations outside the Union should also be controlled. In order to limit the administrative burden for exporters and the competent authorities of the Member States, the definition of export should however be revised to exclude transmissions which do not pose a
Amendment 72 #
Proposal for a regulation Recital 7 a (new) (7a) Regulation (EU) 2016/679 of the European Parliament and of the Council (General Data Protection Regulation) obliges data protection controllers and processors to implement technical measures to ensure a level of security appropriate to the risk of processing, including by the encryption of personal data. Since that Regulation stipulates that it applies to the processing of personal data regardless of whether the processing takes place within the Union or not, there is a strong incentive for the Union to remove cryptography items from the control list in order to facilitate the implementation of the General Data Protection Regulation, and increase the competitiveness of European businesses in this context. Additionally, the current level of control on encryption runs counter to the fact that encryption is a key means to ensure that citizens, businesses and governments can protect their data against criminals and other malicious actors, to secure access to services that are crucial for the functioning of the Digital Single Market, and to enable secure communications, which are necessary to protect the right to privacy, the right to data protection and the freedom of expression, in particular for human rights defenders. _______________________ 1aRegulation (EU) 2016/679 of the European Parliament and the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation)
Amendment 73 #
Proposal for a regulation Recital 8 (8) Considering that various categories of persons may be involved in the export of dual-use items and cyber-surveillance technologies, including natural persons such as service providers, researchers, consultants and persons transmitting dual- use items electronically, the definition of exporter, and its application to natural persons, should be clarified.
Amendment 74 #
Proposal for a regulation Recital 9 (9) The scope of "catch-all controls", that apply to non-listed dual use items in specific circumstances, should be clarified and harmonised
Amendment 75 #
Proposal for a regulation Recital 9 (9) The scope of "catch-all controls", that apply to non-listed dual use items and cyber-surveillance technologies in specific circumstances, should be clarified and harmonised, and should address the risk of terroris
Amendment 76 #
Proposal for a regulation Recital 10 (10) The definition of broker should be revised to avoid the circumvention of controls on the provision of brokering services by persons falling within the jurisdiction of the Union. Controls on the provision of brokering services should be harmonised to ensure their effective and consistent application throughout the Union and should also apply in order to prevent
Amendment 77 #
Proposal for a regulation Recital 11 (11) With the entry into force of the Lisbon Treaty, it has been clarified that the supply of technical assistance services involving a cross-border movement falls under Union competence. It is therefore appropriate to clarify the controls applicable to technical assistance services,
Amendment 78 #
Proposal for a regulation Recital 11 (11) With the entry into force of the Lisbon Treaty, it has been clarified that the supply of technical assistance services involving a cross-border movement falls under Union competence. It is therefore appropriate to clarify the controls applicable to technical assistance services, and to introduce a definition of those services. For reasons of effectiveness and consistency, controls on the supply of technical assistance services should be harmonised and apply also in order to prevent
Amendment 79 #
Proposal for a regulation Recital 12 (12) Regulation (EC) No 428/2009 provides for a possibility for Member
Amendment 80 #
Proposal for a regulation Recital 12 (12) Regulation (EC) No 428/2009 provides for a possibility for Member States’ authorities to prohibit on a case-by- case basis the transit of non-Union dual- use items or cyber-surveillance technologies, where they have reasonable grounds for suspecting from intelligence or other sources that the items are or may be intended in their entirety or in part for proliferation of weapons of mass destruction or of their means of delivery. For reasons of effectiveness and consistency, transit controls should be harmonised and apply also in order to prevent acts of terrorism and human rights violations.
Amendment 81 #
Proposal for a regulation Recital 13 (13) Licensing conditions and requirements, including the period of validity and licensing timelines for individual and global authorisations, should be harmonised in order to avoid distortions of competition and ensure the consistent and effective application of controls throughout the Union. To this effect, it is also necessary to ensure a clear determination of the competent authority in all control situations The responsibility for deciding on individual, global or national general export authorisations, on authorisations for brokering services and technical assistance , as well as on transits of non-Union dual-use items or cyber- surveillance technologies, lies with national authorities.
Amendment 82 #
Proposal for a regulation Recital 14 (14) A standard requirement and definition, description and a possibility of being certified in order to obtain incentives in the authorization process from the national competent authorities, for
Amendment 83 #
Proposal for a regulation Recital 16 (16) Common lists of dual-use items, cyber-surveillance technologies, destinations and guidelines are essential elements for an effective export control regime.
Amendment 84 #
Proposal for a regulation Recital 16 a (new) (16a) Considering the rapid advance of technological developments, it is appropriate that the Union introduces controls on certain types of cyber- surveillance technologies on the basis of a unilateral list, in Section B of Annex I. Given the importance of the multilateral export control system, it is appropriate that Section B of Annex I is limited in scope only to cyber-surveillance technologies and does not contain any duplications with Section A of Annex I .
Amendment 85 #
Proposal for a regulation Recital 17 (17) Decisions to update the common list of dual-use items subject to export controls in Section A of Annex I should be in conformity with the obligations and commitments that Member States and the Union have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.
Amendment 86 #
Proposal for a regulation Recital 17 (17) Decisions to update the common list of dual-use items subject to export controls in Section A of Annex I should be in conformity with the obligations and commitments that Member States and the Union have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international
Amendment 87 #
Proposal for a regulation Recital 17 (17) Decisions to update the common list of dual-use items subject to export controls in Section A of Annex I should be in conformity with the obligations and commitments that Member States and the Union have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties. Decisions to update the common
Amendment 88 #
Proposal for a regulation Recital 17 (17) Decisions to update the common list of dual-use items subject to export controls in Section A of Annex I should be in conformity with the obligations and commitments that Member States and the Union have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties. Decisions to update the common list of dual-use items subject to export controls in Section B of Annex I, such as cyber-surveillance technology, should be made in consideration of the risks that the
Amendment 89 #
Proposal for a regulation Recital 18 (18) In order to allow for a swift Union response to changing circumstances as regards the assessment of the sensitivity of exports under Union General Export Authorisations as well as technological and commercial developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending Sections A and B of Annex I, Annex II and Section B of Annex IV to this Regulation. It is of particular importance that the Commission carry out appropriate
Amendment 90 #
Proposal for a regulation Recital 18 (18) In order to allow for a swift Union response to changing circumstances as regards the assessment of the sensitivity of exports under Union General Export Authorisations as well as technological and commercial developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending Sections A and B of Annex I, Annex II and Section B of Annex IV to this Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in
Amendment 91 #
Proposal for a regulation Recital 19 (19) National provisions and decisions affecting exports of dual-use items and cyber-surveillance technologies should be taken in the framework of the common commercial policy, and in particular Regulation (EU) 2015/479 of the European Parliament and of the Council16 . Appropriate exchange of information and consultations on national provisions and decisions should ensure the effective and consistent application of controls throughout the Union. __________________ 16 Regulation (EU) 2015/479 of the European Parliament and of the Council on common rules for exports (OJ L83, 27.03.2015, p. 34).
Amendment 92 #
Proposal for a regulation Recital 22 a (new) (22a) Given the importance of accountability and public scrutiny of export control activities, it is appropriate that Member States should make publicly available all relevant licensing data.
Amendment 93 #
Proposal for a regulation Recital 23 (23) It is desirable to achieve a uniform and consistent application of controls throughout the Union in order to promote Union and international security and to provide a level playing field for EU exporters. It is therefore appropriate, in accordance with the EU WMD Strategy, to broaden the scope of consultation and information exchange between the Member States and the Commission before an authorisation has been granted, and to introduce tools to support the development of a common export control network throughout the Union, such as electronic licensing procedures, technical expert groups and the setting up of an enforcement coordination mechanism. While customs authorities share certain information with other customs authorities using risk management system in accordance with Union customs rules, it is also appropriate to ensure close cooperation between licensing and customs authorities .
Amendment 94 #
Proposal for a regulation 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 guid
Amendment 95 #
Proposal for a regulation 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 96 #
Proposal for a regulation Recital 25 (25) Outreach to the private sector, in particular to SMEs, and transparency are essential elements for an effective export control regime. It is therefore appropriate to provide for the continued development of guidance 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) (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 98 #
Proposal for a regulation Recital 27 (27) Each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of breach of the provisions of this Regulation. These penalties should be, as far as possible, harmonised between the Member States to ensure coherence of application of this Regulation. It is also appropriate to introduce provisions to tackle specifically instances of illicit trafficking of dual-use items in order to support effective enforcement of controls.
Amendment 99 #
Proposal for a regulation Recital 27 (27) Each Member State should determine effective, proportionate and dissuasive penalties applicable in the event
source: 604.750
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