Tag Archives: Export monitoring

Dual-use items

Dual-use items

Outline of the Community (European Union) legislation about Dual-use items

Topics

These categories group together and put in context the legislative and non-legislative initiatives which deal with the same topic.

External trade

Dual-use items

Document or Iniciative

Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items [See amending act(s)].

Summary

Dual-use items are items, including software and technology, which can be used for both civil and military purposes. It includes all goods that can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices.

In order to export a dual-use item from the European Union (EU) to any non-EU country, an export authorisation is required. Annex I of this regulation provides a list of dual-use items which require such an authorisation. An authorisation is also necessary for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authorities of the EU country in which he is 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 capable of delivering such weapons.

Authorisation is also necessary for the export of dual-use items not listed in Annex I of this regulation if the exporter has been informed by the competent EU countries’ national authorities that the items in question are or may be intended for:

  • a military end-use
    * and the purchasing country or country of destination is subject to an arms embargo; or
  • use as parts or components of military items that have been exported from the EU without authorisation or in violation of an authorisation.

If an exporter knows that the items in question, not listed in Annex I, are intended for any of the above listed uses, he must inform the relevant competent national authorities which will then decide whether an authorisation is necessary for the export concerned.

Authorisations are also required for brokering services concerning items listed in Annex I if the broker has been informed by the competent EU countries’ national authorities that the items in question are or may be intended for the development of weapons of mass destruction or their means of delivery. If the broker is aware that the items are or may be intended for these uses, he must inform the national authorities. These brokering controls can be extended under national legislation to also cover other situations.

Competent authorities of EU countries may prohibit the transit of non-EU dual-use items listed in Annex I if the items are or may be intended, in their entirety or in part, for the development of weapons of mass destruction or their means of delivery. These transit controls can be extended under national legislation to also cover other situations.

An EU country may introduce additional national legislation to prohibit or impose an authorisation requirement for dual-use items not listed in Annex I for reasons of public security or human rights considerations.

Export authorisation and authorisation for brokering services

Annex II of this regulation establishes an EU general export authorisation for certain exports. For all other exports which require an authorisation under this regulation, this authorisation will be granted by the competent authorities of the EU country in which the exporter is established.

Under this regulation, authorisations for brokering services are granted by the competent national authorities of the EU country in which the broker is resident or established. Such authorisations are granted for a set quantity of specific items moving between two or more non-EU countries. All authorisations, both for export and for brokering services, are valid throughout the EU.

To protect essential security interests, an EU country can request another EU country not to grant an export authorisation or, if the authorisation has already been granted, request its annulment, suspension, modification or revocation.

In accordance with this regulation, the competent authorities of an EU country can refuse to grant an export authorisation and can annul, suspend, modify or revoke an export authorisation already granted. In this case, or where they decide to prohibit a transit of dual-use items listed in Annex I, they must inform the Commission and the competent authorities of the other EU countries. Before granting an export or brokering authorisation, or deciding on a transit, an EU country must check whether similar transactions have been denied by other EU countries. If such transactions exist, then the EU countries involved must consult each other. Exporters and brokers of dual-use items must keep detailed registers or records of their exports and brokering services.

An authorisation is also required for the transfer between EU countries of dual-use items listed in Annex IV of this regulation. EU countries may implement additional national legislation extending controls on the transfer of certain items inside the EU.

Dual-Use Coordination Group

This Regulation establishes a Dual-Use Coordination Group, chaired by a representative of the Commission. Each Member State appoints a representative to this group.

The coordination group examines any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

The Commission presents an annual report to the European Parliament on the activities, analyses and consultations conducted by the Dual-Use Coordination Group.

Key terms used in the act
  • military end-use:
    1. incorporation into military items listed in the military list of EU countries;
    2. use of production, test or analytical equipment and components for the development, production or maintenance of military items listed in the military list of EU countries;
    3. use of any unfinished products in a plant for the production of military items listed in the military list of EU countries.

References

Act Entry into force Deadline for transposition in the Member States Official Journal

Regulation No 428/2009

27.8.2009

OJ L 134, 29.5.2009

Amending act(s) Entry into force Deadline for transposition in the Member States Official Journal

Regulation (EU) No 1232/2011

7.1.2012

OJ L 326, 8.12.2011

Endangered species of wild fauna and flora

Endangered species of wild fauna and flora

Outline of the Community (European Union) legislation about Endangered species of wild fauna and flora

Topics

These categories group together and put in context the legislative and non-legislative initiatives which deal with the same topic.

Environment > Protection of nature and biodiversity

Endangered species of wild fauna and flora (CITES)

Document or Iniciative

Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein [See amending acts].

Summary

This Regulation applies in compliance with the objectives, principles and provisions of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES). It establishes a list of endangered species in four annexes (A, B, C and D). The degree of protection and the nature of commercial measures that apply to the species concerned vary according to the Annex in which the species are listed.

Under this Regulation, common conditions apply to:

  • the issue, use and presentation of documents for the import, export or re-export of specimens of the species covered by the Regulation. Without prejudice to any stricter measures which may be taken by Member States, these documents are valid throughout the Community;
  • the sale or any other commercial transaction of specimens of the species listed in Annex A within the Community.

Introduction into the Community

Importation of specimens of endangered species is subject to:

  • the presentation of an import permit issued by a management authority of the Member State of destination or an import notification; and
  • completion of the necessary checks.

The Commission may at any time impose general import restrictions, or restrictions relating only to certain countries of origin; it publishes a list of such restrictions regularly in the Official Journal of the European Union.

Export or re-export outside the Community

The export or re-export of specimens of endangered species is subject to:

  • the presentation of an export permit or re-export certificate issued by a management authority of the Member State in which the specimens are located; and
  • completion of the necessary checks.

Rejection of requests for permits and certificates

When a Member State rejects an application for a permit or certificate, it immediately informs the Commission which, in turn, will be responsible for informing the other Member States.

Derogations

The Regulation establishes derogations for specimens born and bred in captivity or artificially propagated, for specimens in transit and for specimens forming part of personal and household effects or destined for scientific institutions.

Provisions relating to the control of commercial activities

The purchase of or trade in specimens of species in Annex A is prohibited.

Member States may also prohibit the holding of specimens of species in Annex A.

Movement of live specimens

The movement within the Community of live specimens of a species listed in Annex A is subject to prior authorisation from a management authority of the Member State in which the specimen is located.

The movement within the Community of live specimens of a species listed in Annex B is subject to compliance by the recipient with rules on animal protection (adequate housing and care).

The Commission may at any time impose restrictions on the holding or movement of live specimens of species in respect of which restrictions on introduction into the Community have been established.

Places of introduction and export

Member States must:

  • designate customs offices for carrying out the checks and formalities for the species covered by the Regulation. A list of these offices is published in the Official Journal of the European Union;
  • designate the management authorities and the scientific authorities responsible for implementation of the Regulation. A list of such authorities is published in the Official Journal of the European Union;
  • monitor compliance with the provisions of the Regulation and penalise infringements.

Communication of information

The Regulation introduces a system for the exchange of information between the various authorities concerned with the implementation of the Regulation: the Member States, the Commission, the CITES Secretariat, etc.

The Member States draw up annual reports detailing the volume of trade in specimens covered by the Regulation. Every two years, they draw up detailed reports on the implementation and application of the Regulation.

Background

The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) was signed in Washington on 3 March 1973 and entered into force on 1 January 1975. It currently has 175 parties.

The CITES text was amended in 1983 to allow regional economic integration organisations such as the European Community to become parties to the Convention (Gaborone amendment). However, not enough parties have ratified the amendment for it to enter into force. Accordingly, the Community position at CITES conferences is represented by the EU Member States acting jointly from a position established by the Council.

References

Act Entry into force Deadline for transposition in the Member States Official Journal
Regulation (EC) No 338/97

1.3.1997

OJ L 61 of 3.3.1997

Amending act(s) Entry into force Deadline for transposition in the Member States Official Journal
Regulation (EC) No 1497/2003

30.8.2003

OJ L 215 of 27.8.2003

Regulation (EC) No 1882/2003

20.11.2003

OJ L 284 of 31.10.2003

Regulation (EC) No 834/2004

19.5.2004

OJ L 127 of 29.4.2004

Regulation (EC) No 1332/2005

22.8.2005

OJ L 215 of 19.8.2005

Regulation (EC) No 398/2009

10.6.2009

OJ L 126 of 21.5.2009

The successive amendments and corrections to Regulation (EC) No 338/97 have been incorporated into the basic text. This consolidated versionis of documentary value only.

AMENDMENTS TO THE ANNEXES

Annex I – List of endangered species
Regulation (EC) No 318/2008 [Official Journal L 95 of 8.4.2008];
Regulation (EC) No 407/2009 [Official Journal L 123 of 19.5.2009];
Regulation (EU) No 709/2010 [Official Journal L 212 of 12.8.2010].

Related Acts

Commission Regulation (EU) No 997/2010 of 5 November 2010 suspending the introduction into the Union of specimens of certain species of wild fauna and flora [Official Journal L290 of 6.11.2010].

Implementing measures

Commission Recommendation 2007/425/EC of 13 June 2007 identifying a set of actions for the enforcement of Council Regulation No 338/97 on the protection of species of wild fauna and flora by regulating trade therein [Official Journal L 159 of 20.6.2007].
Member States should take a certain number of measures, including the adoption of national action plans for coordinating the implementation of Regulation (EC) No 338/97, the preparation of dissuasive penalties in cases of infringement of this Regulation, the appropriate provision of agencies responsible for the enforcement of the Regulation in terms of human and financial resources and training, the provision of adequate information to the public, regular checks of traders and holders of flora and fauna such as pet shops, breeders and nurseries, the appointing of national focal points for the exchange of information and intelligence, support for management and control capacity-building programmes in third countries as well as inter-departmental cooperation and exchange of information between Member States and with the appropriate management authorities (such as those of CITES, Interpol and the World Customs Organization).

Commission Regulation (EC) No 865/2006 of 4 May 2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein [Official Journal L 166 of 19.6.2006].
The forms on which import permits, export permits and re-export certificates are drawn up must conform to the model in Annex I to this Regulation. The forms on which import notifications are drawn up must conform to the model in Annex II. Those on which certificates for travelling exhibitions are drawn up must conform to the model in Annex III. The forms on which continuation sheets for personal ownership certificates are drawn up must conform to the model set out in Annex IV. The forms provided for in Articles 5, 8 and 9 must conform to the models set out in Annex V. A model for labels is given in Annex VI. The codes to be included in the description of the specimens and the units of measurement to be used are listed in Annex VII. Annex VIII gives a list of references which can be used to indicate the scientific names of species. The purpose of a transaction and the source of species must be indicated using the codes in Annex IX. In addition, the Regulation lays down provisions on the issue, use and validity of the documents. It also introduces specific provisions on specimens born and bred in captivity or artificially propagated as well as for samples.
See consolidated version

Drug precursors: external aspects

Drug precursors: external aspects

Outline of the Community (European Union) legislation about Drug precursors: external aspects

Topics

These categories group together and put in context the legislative and non-legislative initiatives which deal with the same topic.

Internal market > Single Market for Goods > Single market for goods: external dimension

Drug precursors: external aspects

Document or Iniciative

Council Regulation (EC) No 111/2005 of 22 December 2004 laying down rules for the monitoring of trade between the Community and third countries in drug precursors.

Summary

This regulation lays down rules for the monitoring of trade in precursor drugs between the European Union (EU) and non-EU countries. Drug precursors refer to substances used for the illicit manufacture of narcotic drugs and psychotropic substances. The regulation applies to imports, exports and transit of drug precursors with a view to preventing their diversion.

The aim of current legislation in this area is to apply Article 12 of the United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances, adopted in Vienna on 19 December 1988, which concerns trade in such substances.

Historically, the EU has been a significant exporter of precursors and an importer of illicitly manufactured drugs. Recently, the EU has also become one of the leading exporters of illicitly manufactured synthetic drugs and an importer of the precursors needed to manufacture them. Consequently, the provisions relating to the application for a licence to import or export drug precursors, the granting or refusal of such a licence and its suspension or revocation must be harmonised at EU level.

Given the magnitude of the trade in precursor drugs, current legislation in this area must be modernised. The new procedures are aimed at the most sensitive drug precursors so as not to place an excessive administrative burden on legitimate importers.

Trade monitoring

The purpose of this regulation is to:

  • introduce import and export authorisation requirements for the drug precursors concerned;
  • require all operators to label and properly document drug precursors;
  • require that all operators be licensed;
  • make sure that all drug precursor consignments are inspected in the EU;
  • strengthen import and export controls;
  • conduct special controls at EU level in areas where the risk of diversion is high, such as free zones and transhipment zones.

The import, export and transit of a substance listed in the annex to this regulation must be documented in such a way as to disclose the name of the substance, its quantity and weight, and the name and address of the exporter, importer, distributor and the ultimate consignee. The operators concerned must keep records of all transactions for a period of three years.

These operators must be licensed and registered as such by the competent authorities of the country in which they are established.

EU countries are responsible for establishing cooperation between operators and the competent authorities to enable the latter to prevent diversions from occurring. To this end, operators must transmit to the competent authorities all relevant information and notify them of all transactions involving scheduled substances.

In addition, operators must lodge an application for an import or export authorisation in respect of each transaction with the competent authorities of the EU country in which the importer or exporter is established. Applications for authorisations must contain full information on the transport arrangements, the name and address of all operators involved, and the nature, quantity and weight of the substance. The competent authorities must reach a decision within 15 working days from the completion of the application file.

If there are grounds for suspecting that diversion might occur, the competent authorities may refuse the import or export of the substance.

A similar procedure applies to non-EU countries having requested the Commission to inform them of any export of substances that concerns them or that have concluded an agreement with the EU on the issuing of import authorisations. A specific procedure applies to countries identified as sensitive as regards the possible diversion of certain scheduled substances.

EU countries are responsible for providing their competent authorities with the means to obtain information and conduct enquiries in order to prevent diversion from occurring.

Mutual assistance and confidentiality between the administrations of EU countries is essential. EU countries determine appropriate penalties for infringements. Each year they communicate to the Commission the results of their monitoring measures, on the basis of which the Commission draws up an annual report to be submitted to the International Narcotics Control Board.

The Commission prepares guidelines for the chemical industry. These will include information on how to recognise and report suspicious transactions and an updated list of non-scheduled substances used to illicitly manufacture narcotic drugs and psychotropic substances.

Background

Following the adoption of the 2000-04 EU action plan on drugs, the Commission organised an assessment of the control system of trade in drug precursors. It considered it necessary to extend monitoring requirements to operators trading with non-EU countries, to introduce a common approach to procedures for granting licences and to strengthen customs monitoring requirements. Consequently, this regulation replaces Regulation (EEC) No 3677/90, which originally laid down measures to discourage the diversion of drug precursors.

References

Act Entry into force Deadline for transposition in the Member States Official Journal
Regulation (EC) No 111/2005

15.2.2005

OJ L 22 of 26.1.2005

Related Acts

Report from the Commission to the Council and the European Parliament of 7 January 2010 pursuant to Article 16 of Regulation (EC) No 273/2004 of the European Parliament and of the Council of 11 February 2004 and to Article 32 of Council Regulation (EC) No 111/2005 on the implementation and functioning of the Community legislation on monitoring and control of trade in drug precursors [COM(2009) 709 final – Not published in the Official Journal].
This report evaluates the implementation as well as the functioning of Regulations (EC) Nos 111/2005 (above) and 273/2004.
Based on data received form EU countries, the Commission’s evaluation concludes that the legal framework for controlling trade generally provides measures that are proportionate for preventing the diversion of drug precursors without obstructing their legitimate trade. The well-functioning cooperation between operators and competent authorities has greatly contributed to this. Furthermore, the EU guidelines for the chemical industry, together with a new eLearning course for economic operators, complements well this legal framework.
EU countries have applied the common licensing system for category 1 precursors satisfactorily and it functions effectively for the competent authorities as well as for the industry. However, the registration requirement for category 2 precursors might have certain weak points for properly controlling, and preventing diversion in the trade of these substances. In addition, certain provisions (e.g. relating to customer declarations or criteria for determining mixtures) are interpreted differently by EU countries. Other difficulties concern the insufficient rate of reporting by operators to competent authorities and certain aspects of the legislation on external trade, such as inflexible time limits for pre-export notifications and lack of simplified authorisation procedures.
Consequently, the report makes the following recommendations:

  • enhance the harmonised application of the legislative framework by EU countries, especially by sharing best practice;
  • improve reporting, for example by increasing the frequency with which operators must report to competent authorities;
  • possibly modify existing legislation to strengthen controls on category 2 precursors;
  • strengthen controls on pharmaceutical preparations/medicinal products containing ephedrine or pseudo-ephedrine that transit through the EU;
  • modify the procedural requirements to achieve a level of controls that is proportionate to the risk of diversion.

Commission Regulation (EC) No 1277/2005 of 27 July 2005 laying down implementing rules for Regulation (EC) No 273/2004 of the European Parliament and of the Council on drug precursors and for Council Regulation (EC) No 111/2005 laying down rules for the monitoring of trade in drug precursors between the Community and third countries [Official Journal L 202 of 03.08.2005].
The regulation lays down implementing rules concerning the responsible officer, the licensing and registration of operators, the provision of information, pre-export notifications and export and import authorisations in the area of drug precursors.