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EU Export Control System

[EU Export Control System]

 

Outline

 

EU member countries legislate and implement the export control ordinance in accordance with the rules relevant to the said export control made by EU.

 

Applying the lists of the international export control systems(NSG, AG, MTCR, WA) and Chemical Weapons Convention(CWC), EU contained dual-use items in the Annex and sensitive items in the Annex and then control them, and the Catch-All control is being used in case of the export for items not included in the Annex , or for the use of WMD(Weapons of Mass Destruction) or the military use of an embargoed country.

 

Items for technology transfer, merchanting trade and passthru must be under control and given the authorisation if any case of concerns of being used for the development of WMD.

 

 

Relevant Acts

 

Council Regulation (EC) No 428/2009

- It is aimed to control the export, transfer and passthru of dual-use items and stipulate the list of dual-use and/or sensitive items laid down respectively into the Annex I and . Items not included in the said list are under the Catch-All control relevant to the embargo of weapons and WMD.

 

Common Foreign and Security Policy(CFSP) (2008/944)

- It is aimed to control the exportation of military technology and equipment and require each member country to follow and implement the export control subject to CFSP.

 

 

Export Control Content

 

List Control

 

The list of International export control systems(NSG, AG, MTCR, WA) and Chemical Weapon Convention(CWC) is being applied, and dual-use items are listed in the Annex while sensitive items are listed in the Annex .

 

The EU's regional transfer of items to the Annex is principally implemented with no restriction. However, the re-exportation of such transferred items from the community shall be considered as the said control target.

 

The Annex of the EU Export Control Regulation

 

Category

Definitions

Category 0

Nuclear Materials Facilities and Equipment

Category 1

Special Materials and Related Equipment

Category 2

Materials Processing

Category 3

Electronics

Category 4

Computers

Category 5

Telecommunications and “Information Security”

Category 6

Sensors and Lasers

Category 7

Navigation and Avionics

Category 8

Marine

Category 9

Aerospace and Propulsion

 

Even if the items listed into the Annex are being transferred regionally, they must be mandatorily required to get the authorisation. The Annex is being regulated by classifying it into the Part I; Union General Export authorisation(UGEA), and Part ; Those not included in UGEA.

- Items listed into the Part I are the items relevant to the stealth technologies, European Community(EC) strategic control, MTCR Technologies and others.

- Items listed into the Part are the items specifically relevant to the CWC and NSG control.

 

 

Catch-All Control

 

Any export of items not included in the Annex , in case of the purpose of WMD(Weapons of Mass Destruction) or the military use of an embargoed country is mandatorily required to get the authorisation.

 

 WMD(Weapons of Mass Destruction) Control

- When items not included in the Annex to the EU Export Control Regulation(the Council Regulation) are exported, the export authorisation must be given if the notice specifying that the said items might be used for the purpose of WMD development and others from the corresponding country is acknowledged to the person whom it concerned.

- In addition, the said authorisation must be mandatorily given so that to proceed such exportation if any case where the exporter was deemed to acknowledge such facts and/or was being suspicious of understanding such signs.

 

 Military Use Control

- Any exportation of items not included in the Annex to the EU Export Control Regulation to embargoed countries is mandatorily required to get the authorisation from the corresponding country if the notice specifying that the said exportation might be used for the purpose of military use. In addition, the notice must be sent to the corresponding country if an exporter is deemed to acknowledge such facts.

The examples of military use

Items included in the military articles listed into the ML of EU member countries

Any use of manufacturing, testing and analyzing devices, tools, equipment and/or such apparatus used for developing, manufacturing and/or maintaining of military articles by any member country

Any use of unfinished products at the military article manufacturing factory within any member country

 

 Control Area

- No specific country or region to be restricted exist at the current EU level. However, arms embargoed countries determined by the European Council, UN Security Council and OSCE(Organization for Security and Cooperation in Europe) are being restricted. To any restricted country and/or organization, the corresponding sanctions such as arms embargo, freezing of funds and prohibition of specific services are imposed.

- Such regulations are based on CFSP(Common Foreign and Security Policy), and not only countries, but also highly concerned organizations such as Al-Qaeda are also being dealt with.

 

 

Technology Transfer Control

 

EU Export Control Regulation also stipulates the transfer of softwares and/or technologies out of the community by electronic mediums including fax, telephone, mobile phone, e-mail or any other electronic mean(including vocal communications through phone calls) as the export control target.

 

Each member country is regulated in accordance with each domestic law in relation to the technology support control of specific military uses. The targets of the said technology support control are the technology supports related to the Catch-All control upon the development of WMD and traditional weapons, which include the provision of map, military exercise, professional knowledge, counseling service and verbal supports.

 

 

Merchanting Trade Control

 

In case of any merchanting trade of items stipulated in the Annex to the EU Export Control Regulation, the authorisation must be mandatorily given if the notice specifying that such items might be used for the purpose of developing WMD and others from the corresponding country. In addition, the notice also must be sent to the corresponding authority and then the authorisation must be given to proceed the said exportation if an exporter is deemed to acknowledge such facts.

 

The domestic law of each member country regulates the control to the merchanting trade of items not stipulated in the Annex .

 

 

Passthru Control

 

In case of items regulated in the Annex to the EU Export Control Regulation are being concerned of developing WMD and others, and the said items are going through the EU territory, this control stipulates that the competent authorities of the member country shall prohibit the passthru of such items.

 

This control is stipulated to apply the end-use control of WMD and traditional weapons in case of the passthru of items not included in the control list. Such application is respond to the Paragraph 3 of Article 6 in the EU Regulation and the Resolution No.1540 of the UN Security Council so that to realize the enforcement of PSI(Proliferation Security Initiative).

 

 

 

Trade Authorisation

 

Trade authorisations in accordance with the EU Trade Control Regulation are classified into individual authorisation, global authorisation and general authorisation.

 

The general authorisation covers the EU common authorisation(No. EU001-EU006) and the original authorisation of each member country.

- Individual authorisation, merchanting trade authorisation and global authorisation are effective across the entire community, and are stipulated and given by the competent authorities of the member country whereby an exporter is based on.

 

EU member countries may refuse the export authorisation, and the export authorisation already approved also might be nullified, suspended, amended or revoked.

- In case of an export authorisation is denied, nullified, suspended, practically restricted or revoked, or an intended export is supposed not to be authorized, the notice upon such facts must be mandatorily sent to other member countries and the European Council and then any relevant information shall be shared.

 

Documentations related to the EU Export Control Regulation shall be kept for the period of 3 years after the year when a corresponding trade is done.

 

 

Denial List

 

No specific information upon the denial list exists at the EU level, but, the said denial list is opened to the public at each member country's discretion. However, the information upon those who were deprived under the Article 19 of the Council Regulation, users for the sensitive uses and the routes for the circumvention of export shall be shared between member countries.

 

 

Sanction

 

EU enforces the sanctions to countries such as Iran, Iraq, China, Myanmar and Afghanistan, and terrorist organizations such as Al-Qaeda under the Aarticle 215 of TFEU(The Treaty On the Functioning of the European Union) by the determination of CFSP(Common Foreign and Security Policy), and the main contents are the followings:

 

Main Contents of EU Sanctions

 

Type

Nations and Org.

Sanctions

Nation

Afghanistan

Arms embargo, freezing of funds of sanction targets

Myanmar

Arms embargo, freezing of funds of sanction targets and embargo on equipment which might be used for internal repression

China

Arms embargo

Congo

Arms embargo to NGO, freezing of funds of sanction targets and no travel

Egypt

Freezing of funds of sanction targets

Eritrea

Arms embargo, freezing of funds of sanction targets

Guinea

Arms embargo, freezing of funds of sanction targets and no travel

Iran

Freezing of funds of sanction targets, restrictions on access to the Community, embargo on nearly all dual-use goods and technology, and embargo on key equipment and technology for the oil and natural gas industries

Iraq

Arms embargo

North Korea

Embargoed articles designated by UN, arms and luxury items embargo, no cooperation to develop WMD

Lebanon

Arms embargo, freezing of funds of sanction targets

Libya

embargo on arms and related material, embargo on equipment which might be used for internal repression, freezing of funds of sanction targets

Moldova

Restrictions on access to the Community against sanction targets

Somalia

Arms embargo, freezing of funds of sanction targets

South Sudan

Arms embargo

Sudan

Restrictions on access to the Community, freezing of funds against sanction targets and arms embargo

Syria

Arms embargo, import ban on crude oil and petroleum products, ban on provision of key equipment and technology for the oil and natural gas industries and freezing of funds of sanction targets

Tunisia

Freezing of funds of sanction targets

Serbia and Montenegro

Freezing of funds of sanction targets

Zimbabwe

Embargo on arms and related material and equipment for internal repression and restrictions on access to the Community and freezing of funds against sanction targets

Org.

Foreign terrorist organizations(including Al-Qaeda)

Arms embargo, freezing of funds of sanction targets and restriction on access to the Community

 

 

Competent Authorities

 

European Council

- The supreme decision making body in EU consisted of the heads of member states and/or governments. It comprises the heads of state or government of the EU member states, along with the President of the European Council and the President of the European Commission. The High Representative of the Union for Foreign Affairs and Security Policy also takes part in its meetings.

- While the European Council has no legislative power, it is a strategic (and crisis-solving) body that provides the union with general political directions and priorities. Setting of crucial agendas or long-term objectives and others are being discussed at the Council.

 

European Commission

- The European Commission (EC) is the executive branch of the European Union, responsible for proposing legislation, implementing decisions, upholding the EU treaties and managing the day-to-day business of the EU.

- According to the rules related to the export control proposed by EU, respective export control ordinance for member states is stipulated and then enforced while imposing sanctions to the concerned countries as well. The export control based on the EU Export Control Regulation is implemented by each member state.


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