EN    EN  COMMISSION OF THE E UROPEAN COMMUNITIES 
Brussels, 29.10.2004 
COM(2004)731 final 
  
Amended proposal for a 
COUNCIL REGULATION 
concerning trade in certain equipment and pr oducts which could be used for capital 
punishment, torture or other cruel, inhuman or degradin g treatment or punishment 
(presented by the Commission pursuant to Article 250(2) of the EC Treaty) 
 
EN 2   EN EXPLANATORY MEMORANDUM  
(1) The objective of the attached amended proposal, which replaces COM(2002)770 of 30 
December 2002, is to set up a specific trade regime covering certain equipment and products which could be used for torture and other cruel, inhuman or degrading 
treatment or punishment. The purpose of a regime of this kind is to contribute to the prevention of the violation of the fundament al human right not to be subjected to 
torture and other cruel, inhum an or degrading treatment or punishment. This is a key 
aim of the European Union, as underlined in the Guidelines to the EU Policy on 
Torture and Other Cruel, Inhum an or Degrading Treatment or Punishment, adopted by 
Council (General Affairs) on 9 April 2001. These Guidelines make clear the EU 
position on the prevention of the use and pr oduction of, and trade in, such equipment. 
(2) These Guidelines also make the point th at the prohibition of cruel, inhuman or 
degrading punishment imposes clear limits on the use of the death penalty. As regards 
the latter, the Council adopted Guidelines on the EU Policy towards Third Countries 
on the Death Penalty on 29 June 1998. 
(3) This amended proposal confirms most of the human rights-related elements of the 
initial proposal (COM(2002)770) an d in particular the justifi cation for the restrictions 
under WTO rules. An important amendment c oncerns the definition of ‘other cruel, 
degrading or inhuman treatment or punishme nt’ which has been a ligned with one of 
the rare international statements on the distinction between this concept and the concept of torture, given that only the latter  concept is defined in relevant international 
agreements.  
(4) Some minor amendments to the lists of  equipment and products subject to the 
proposed restrictions are proposed. They c oncern the size of normal handcuffs and the 
minimum voltage required for electric s hocks produced by stun guns and similar 
equipment.  
(5) The text has also been redraf ted in order to make explicit  that equipment which could 
be used for capital punishmen t but also for legitimate purposes (the amended proposal 
does not include a list of such equipment) should not be exported to law enforcement 
authorities of countries that have not a bolished the death penalty. In addition, this 
amended proposal provides that the lists  of equipment and products should be 
reviewed and amended usi ng a specific procedure. 
(6) The main amendments to th e original proposal concern the administrative set-up. As 
regards decision-making on specific requests fo r authorisations, the criteria have been 
reformulated in order to give the compet ent authorities the necessary discretion to 
decide on applications. The pr oposed text provides that the criteria set out in the two 
relevant sets of Guidelines should be take n into account, thus permitting the competent 
authority to decide whether th e application for an authoris ation should be dismissed or 
whether it is more appropriate  to grant an authorisation subject to certain conditions 
aimed at ensuring that the equipment or pr oducts will not be abused for acts the 
proposed Regulation seeks to prevent.  
(7) In addition the procedures for exchange of  information about the decisions taken by 
competent authorities have been re -examined and simplified, and a common 
authorisation form has been added as Annex IV. 
 
EN 3   EN (8) In order to make the Regulation more easily enforceable, the amended proposal 
provides that the Regulation s hould apply to the ‘customs territory’ as defined in the 
Customs Code. 
(9) Finally the provisions on services have been amended so as to bring them in line with 
Article 133 of the EC Treaty and the requi rement to authorise brokering services 
concerning equipment that has both illeg itimate and legitimate purposes has been 
removed from the text so as to limit the ad ministrative workload to what is strictly 
necessary.  
 
EN 4   EN Amended proposal for a 
COUNCIL REGULATION 
concerning trade in certain equipment and pr oducts which could be used for capital 
punishment, torture or other cruel, inhuman or degradin g treatment or punishment 
THE COUNCIL OF THE EUROPEAN UNION, 
Having regard to the Treaty esta blishing the European Communit y, and in particular Article 
133 thereof, 
Having regard to the proposal from the Commission1, 
Whereas: (1) Pursuant to Article 6 of the Treaty on Eu ropean Union, respect for human rights and 
fundamental freedoms constitutes one of the principles common to the Member States. In view of this the Community resolved in 1995 to make respect for human rights and 
fundamental freedoms an essential element of its relations with third countries. It was 
decided to insert a clause to that end in  any new trade, co-operation and association 
agreement of a general nature that it concludes with third countries. 
(2) Article 5 of the Universal Declaration of Human Rights, Article 7 of the International 
Covenant on Civil and Political Rights and Article 3 of the European Convention for 
the Protection of Human Rights and Fundamental Freedoms all lay down an unconditional, comprehensive prohibition on torture and other cruel, inhuman or 
degrading treatment or punishment. Other pr ovisions, in particular the United Nations 
Declaration Against Torture 
2 and the 1984 United Nations Convention Against 
Torture and Other Cruel, Inhuman or Degr ading Treatment or Punishment, place an 
obligation on States to prevent torture. 
(3) Article 2(2) of the Charter of Funda mental Rights of the European Union3 prohibits 
executions and condemnations to the deat h penalty. On 29 June 1998, the Council 
approved "Guidelines on EU Policy towards Third Countries on the Death Penalty" 
and resolved that the European Union woul d work towards the universal abolition of 
the death penalty. 
(4) Article 4 of the Charter of Fundamental Rights of the European Union prohibits 
torture and inhuman or degrading treat ment and punishment. On 9 April 2001, the 
Council approved "Guidelines to the EU Po licy toward Third Countries, on Torture 
and Other Cruel, Inhuman or Degrading Tr eatment or Punishment." These guidelines 
                                                 
1 OJ C […], […], p. […]. 
2 Resolution 3452 (XXX) of 9.12.1975 of the General Assembly of the United Nations.  
3 OJ C 364, 18.12.2000, p. 1.  
 
EN 5   EN refer to both the adoption of the EU Code of Conduct on Arms Exports in 1998, and 
the ongoing work to introduce EU-wide controls on the exports of paramilitary 
equipment  prospective introduction of contro ls on the exports of paramilitary 
equipment , as examples of measures to work effectively towards the prevention of 
torture and other cruel, inhuman or  degrading treatment or punishment within the 
Common Foreign and Security Policy . These guidelines also provide for third 
countries to be urged to prevent the use and production of, and trade in, equipment 
which is designed for to inflict torture or other cruel, inhum an or degrading treatment 
or punishment and prevent the abuse of any other equipment to these ends . They 
also make the point that the prohibition of cruel, inhuman or degrading punishment imposes clear limits on the use of the death penalty. 
(5) In its Resolution on Torture and other Crue l, Inhuman or Degr ading Treatment or 
Punishment, adopted on 25 April 2001 and su pported by the EU Member States, the 
United Nations Commission on Human Ri ghts called upon United Nations Members 
to take appropriate steps, including legisl ative measures, to prevent and prohibit, inter 
alia, the export of equipment whic h is specifically designed to  inflict torture or other 
cruel, inhuman or degrading treatment or punishment. This point was confirmed by a 
Resolution s adopted on 16 April 2002 and 23 April 2003 . 
(6) On 3 October 2001, the European Parliament adopted a Resolution4 on the Council's 
second Annual Report according to Operativ e Provision 8 of the European Union 
Code of Conduct on Arms Exports, urging th e Commission to act swiftly to bring 
forward an appropriate Community inst rument banning the promotion, trade and 
export of police and security equipment whos e use is inherently cruel, inhuman or 
degrading, and to ensure that that Commun ity instrument would suspend the transfer 
of police and security equipment whose me dical effects are not fully known, and of 
such equipment where its use in practice has revealed a substantial risk of abuse or 
unwarranted injury. 
(7) It is therefore appropriate to lay down Co mmunity rules on trade with third countries 
in equipment and products which could be used for the purpose of capital punishment and in equipment and products which could be used for the purpose of torture and 
other cruel, inhuman or degrading treat ment or punishment. These rules are 
instrumental in promoting respect for hu man life and for fundamental human rights, 
and thus serve the purpose of protecting public  morals. These rules should ensure that 
Community economic operators do not derive  any benefits from trade which either 
promotes or otherwise facil itates the implementation of policies on capital punishment 
or on torture and other crue l, inhuman or degrading tr eatment or punishment, which 
are not compatible with the relevant EU  Guidelines, the Charter of Fundamental 
Rights of the European Union and inte rnational conventions and treaties. 
(8) For the purpose of this Regulation, it is consid ered appropriate to apply the definitions 
of torture and other cruel, inhuman or degr ading treatment or puni shment laid down in 
the 1984 United Nations Convention Against Torture and Other Cruel, Inhuman or 
Degrading Treatment or Punishment and in Resolution 3452 (XXX) of the General 
Assembly of the United Nations . These definitions should be interpreted taking into 
account the case law on the interpretation of the corresponding terms in the European 
                                                 
4 OJ C 87 E, 11.4.2002, p. 136. 
 
EN 6   EN Convention on Human Rights and in relevant texts adopted by the EU or its 
Member States and the Ch arter of Fundamental Rights of the European Union . 
(9) It is considered necessary to prohibit exports and imports  of equipment which has no, 
or virtually no, practical  use other than for the purpose of capital punishment or for the 
purpose of torture and other cruel, inhuman or degrading treatment or punishment. In 
this regard, it should be noted that Ar ticle 33 of the United Nations Standard 
Minimum Rules for the Treatment of Prisoners5 prohibits the use of chains and irons 
as restraints. 
(10) It is also necessary to impose controls on exports of certain equipment and products 
which could be used not only for the purpos e of capital punishment or for the purpose 
of torture and other cruel, inhuman or degr ading treatment or punishment, but also for 
other,  legitimate purposes. These controls shou ld apply to equipment that has been 
designed in such a way that it could easily be abused for the purpose of capital 
punishment or for the purpose of torture and other cruel, inhuman or degrading 
treatment or punishment, and to equipment and products that are primarily used for 
law enforcement purposes and, unless such controls would be disproportionate, to 
any other equipment or product that coul d be abused for the purpose of capital 
punishment or for the purpose of torture and other cruel, inhuman or degrading 
treatment or punishment, taking into acco unt its design and technical features.  
(11) As regards law enforcement equipment, it s hould be noted that Ar ticle 3 of the Code 
of Conduct for Law En forcement Officials6 provides that law enforcement officials 
may use force only when strictly necessa ry and to the extent required for the 
performance of their duty. The Basic Principl es on the Use of Force and Firearms by 
Law Enforcement Officials, adopted by th e Eighth United Nations Congress on the 
Prevention of Crime and the Treatment of Offenders in 1990, provide that law 
enforcement officials, in carrying out thei r duty, should, as far as possible, apply non-
violent means before resorting to  the use of force and firearms. 
(12) In view of this, those Basic Principles  advocate the devel opment of non-lethal 
incapacitating weapons for use in appropriate  situations, while admitting that the use 
of such weapons should be carefully contro lled. In this context, certain equipment 
traditionally used by the police for self-defence and riot-control purposes has been modified in such a way that it can be us ed to apply electric shocks and chemical 
substances to incapacitate persons. There ar e indications that, in  several countries, 
such weapons are abused for the purpose of  torture and other cruel, inhuman or 
degrading treatment or punishment. 
(13) Those Basic Principles stress  that law enforcement offici als should be equipped with 
equipment for self-defence. Therefore, this  Regulation should not apply to trade in 
traditional equipment for self-defence, such as shields. 
(14) This Regulation should also apply to trad e in the chemical substances used to 
incapacitate persons, including tear gases and riot control agents.  
                                                
 
5 Approved by Resolutions 663 C (XXIV) of 31.7.1957 and 2076(LXII) of 13.5.1977 of the Economic 
and Social Council of the United Nations. 
6 Resolution 34/169 of 17.12.1979 of the General Assembly of the United Nations. 
 
EN 7   EN (15) It should also be noted that the United Nations Standard Minimum Rules for the 
Treatment of Prisoners7 provide that instruments of rest raint must never be applied as 
a punishment and that such instruments of restraint may only be used either as a 
precaution against escape during a transfer , on medical grounds as directed by a 
medical officer, or, if other methods of contro l fail, in order to pr event a prisoner from 
injuring himself or others, or from damaging property.  
(16) The Guidelines to the EU Policy toward Third Countries, on Torture and Other Cruel, 
Inhuman or Degrading Treatment  or Punishment provide, inter alia , that the Heads of 
Mission in third countries wi ll include in their periodic reports an anal ysis of the 
occurrence of torture and othe r cruel, inhuman or degrading treatment or punishment 
in the State of their accreditation, and the measures taken to combat it. The competent 
authorities should take these and similar reports made by relevant international and 
civil society organisations into account when deciding on requests for authorisations. 
Such reports should also describe any e quipment used in third countries for the 
purpose of capital punishment or  for the purpose of torture and other cruel, inhuman or 
degrading treatment or punishment. 
(17) In order to contribute to the abolition of the death penalty in third countries and to the 
prevention of torture and othe r cruel, inhuman or degrad ing treatment or punishment, 
it is considered necessary to im pose restrictions on the provision supply to third 
countries of technical assistance related to services  pertaining to the operation and 
use of all  equipment and products subject to this Regulation. For the same reason, 
restrictions should also be imposed on the  It is also appropriate to prohibit the 
supply of brokering services in trade tr ansactions involving equipment which has 
no, or virtually no, practical use other th an for the purpose of capital punishment 
or for the purpose of torture and other cruel, inhuman or degrading treatment or 
punishment.  provision of services which promote sales of equipment and products 
subject to this Regulation, such as brokera ge, irrespective of whether the equipment 
concerned has been, is or will be in free ci rculation in the territory of the Community 
at any material time . 
(18) The measures of this Regulation are intended  to prevent both capital punishment and 
torture and other cruel, inhuman or degr ading treatment or punishment in third 
countries. They comprise restrictions on trade with third countries in equipment and 
products that could be used for the purpose of capital punishment or for the purpose 
of torture and other cruel, degrading or inhuman treatment or punishment. It is not 
considered necessary to establish simila r controls on transactions within the 
Community as, in the Member States, capital  punishment does not exist and there are 
sufficient safeguards in place to prevent Member States will have adopted 
appropriate measures to outl aw and prevent torture and other cruel, inhuman or 
degrading treatment or punishment. 
(19) The Guidelines to the EU Policy toward Third Countries, on Torture and Other Cruel, 
Inhuman or Degrading Treatment or Punish ment state that, in order to meet the 
objective of taking effective measures agai nst torture and other cruel, inhuman or 
degrading treatment or punishment, measures should be taken  to prevent the use and  
                                                 
7 Approved by Resolutions 663 C (XXIV) of 31.7.1957 and 2076(LXII) of 13.5.1977 of the Economic 
and Social Council of the United Nations. 
 
EN 8   EN production , production and trade  of equipment which is designed to inflict torture or 
other cruel, inhuman or degrading treatme nt or punishment, should supplement these 
restrictions on trade with third countries . It is up to the Member States to impose 
and enforce the necessary restrictions on the use and production of such 
equipment.  
(20) In order to take into ac count new data and technological developments, the list lists of 
equipment and products covered by this Regulation should be review ed within a 
reasonable period of time kept under review and provision should be made for a 
specific procedure to amend these lists.  
(21) The Commission and the Member  States should inform each other of the measures 
taken under this Regulation a nd of other relevant informa tion at their disposal in 
connection with this Regulation. 
(22) The substantive measures necessary for th e implementation of this Regulation are 
management measures of general scope within the meaning of Article 2 of Council 
Decision 1999/468/EC of 28 June 1999 laying do wn the procedures for the exercise of 
implementing powers conferred on the Commission8. They should be adopted by use 
of the management regulatory procedure provided for in Article 4 5 of that Decision. 
(23) Member States should lay down rules on pena lties applicable to infringements of the 
provisions of this Regulation and ensure th at they are implemented. Those penalties 
must be effective, proportionate and dissuasive. 
(24) This act respects the fundamental rights a nd observes the princi ples recognised in 
particular by the Charter of Fundame ntal Rights of the European Union, 
HAS ADOPTED THIS REGULATION: 
Chapter I 
 
Subject matter, scope and definitions 
Article 1 
Subject matter and scope 
1. This Regulation lays down Community rules governing trade with third countries in 
equipment and products that could be used  for the purpose of capital punishment or 
for the purpose of torture and other crue l, degrading or inhuman treatment or 
punishment, and in related services.  
2. This Regulation does not apply to the supply of services, if that supply involves 
cross-border movement of natural persons.  
                                                 
8 OJ L 184, 17.7.1999, p. 23. 
 
EN 9   EN Article 2 
Definitions 
For the purposes of this Regulation: 
(a) "torture" means any act by which severe  pain or suffering, whether physical or 
mental, is intentionally inflicted on a person for such purposes as obtaining from that 
person or from a third person information or a confession, punish ing that person for 
an act that either that person or a thir d person has committed or is suspected of 
having committed, or intimidating or coerci ng that person or a third person, or for 
any reason based on discrimination of any kind, when such pain or suffering is inflicted either by or at the instigation of , or with the consent or acquiescence of, a 
public official or other person acting in an  official capacity. It does not, however, 
include pain or suffering arising only from, inherent in or incidental to the proper 
application of lawful penalties, it being underst ood that for the purpose of this 
Regulation capital punishment is not  a lawful penalty . Capital punishment shall not 
be considered a lawful penalty under any circumstances ; 
(b) "other cruel, inhuman or degrading treatment or punishment" means any act by 
which significant pain or suffering, whether physical or mental, is i ntentionally  
inflicted on a person, when su ch pain or suffering is in flicted either by or at the 
instigation of, or w ith the consent or acquiescence of , a public official or other 
person acting in an official capacity. It does not, however, include pain or suffering 
arising only from, inherent in or in cidental to the proper application of  lawful 
penalties, it being understood that for th e purpose of this Regulation capital 
punishment is not a lawful penalty . Capital punishment shall not be considered a 
lawful penalty under any circumstances ; 
(c) "law enforcement authority" means a ny authority responsible for preventing, 
detecting, investigating, co mbating and punishing criminal offences, including, but 
not limited to, the police, any prosecutor, an y judicial authority, any public or private 
prison authority and, where appropriate, any of  the state security forces and military 
authorities; 
(d) "export transaction" means the exit of goods from the customs territory of the 
Community as defined in Article 3 of Regulation (EEC) No 2913/1992 
establishing the Community Customs Code9; any exportation, re -export, sale, 
transfer, delivery or ship ment, whether directly or indirectly, to any person , entity or 
body in a third country  or to any person, entity  or body for the purpose of any 
business carried on in, or operated from,  the territory of any third country ; 
(e) "import transaction" means any  the introduction of goods into the customs  territory 
of the Community  as defined in Article 3 of  Regulation (EEC) No 2913/1992 
establishing the Community Customs Code;   
(f) “technical assistance” means any tec hnical support related to repairs, 
development, manufacture, testing, maintenance, or any other technical service, 
and may take forms such as instructio n, advice, trainin g, transmission of 
                                                 
9 OJ L 302, 19.10.1992, p. 1, as amended.  
 
EN 10   EN working knowledge or skills or consulting services. Technical assistance 
includes verbal forms of assistance;  
(g) "brokering activities" means negotiating  or arranging contracts containing a 
commitment to deliver equipment or produc ts subject to this Regulation which, 
given the location of the equipment or pr oducts, can be honoured only if that 
delivery is preceded by an import or expo rt transaction, without accepting such 
a commitment to deliver and without engaging in an import or export 
transaction;  
(h) “museum” means an institution whic h has as its purpose, or its principal 
purpose, the preservation for the public be nefit of a collection of historical, 
artistic or scientific interest which includes or is to include equipment subject to 
this Regulation and which is maintain ed wholly or mainly out of money 
provided by a public authority;  
(i) "the competent authority" means an au thority of one of the Member States, as 
listed in Annex I, which in accordance with  Article 10(1) is entitled to make a 
decision on an applicat ion for an authorisation;  
(j) “applicant” means  
(1) in case of export transactions refe rred to in Article 3 or 5, any natural or 
legal person that holds a contract wi th a consignee in a third country and 
has the power for determining the sending of equipment or products 
controlled by this Regulation ou t of the customs territory of the 
Community at the time when the customs declaration is accepted;   
(2) if the legal person referred to under (1) has not been established under the 
law of a Member State and lacks a fi xed establishment in the Community, 
the natural or legal person that will execute the export transaction;   
(3) if the natural person referred to under (1) has neither a permanent 
address nor his or her usual residen ce in the Community, the natural or 
legal person that will execute the export transaction;  
(4) in case of import transactions a nd supplies of services referred to in 
Article 4, the museum that will display the equipment; and  
(5) in case of supplies of services ref erred in Article 3 and 5, the natural or 
legal person that will supply the service.  
(f) "competent authority" means an authority listed in Annex III.  
(g) "territory of the Community" means all the te rritories of the Member States to which 
the Treaty estab lishing the European Community is applicable, under the conditions 
laid down in that Treaty.  
 
EN 11   EN Chapter II 
 
Equipment which has no, or virtua lly no, practical use other than 
for the purposes of capital punish ment, torture and other cruel, 
inhuman or degrading treatment or punishment 
Article 3 
Export prohibition 
1. With respect to equipment which has no, or virtually n o, practical use other than 
for the purpose of capital punishment or  for the purpose of torture and other 
cruel, inhuman or degrading tr eatment or punishment, as listed in Annex I I, any 
export transaction shall be pr ohibited, irrespective  of the origin of such equipment. 
Any grant, sale, supply or transfer  The supply, whether against consideration or 
not, to any person, entity or body in a third country,  of the following services shall 
be prohibited: or to any other person, entity or body for the purpose of any business 
carried on in, or operated from, th e territory of any third country , whether directly or 
indirectly , of  
(a) technical advice,  assistance or training  related to the functioning, use, 
production, composition or transformation of  equipment listed in Annex I I;, 
shall be prohibited . 
(b) brokering and similar  activities for export transactions involving equipment 
listed in Annex II. with a vie w to facilitating or promoting any export 
transaction concerning s uch equipment, shall be prohibited.  
2. By way of derogation from paragraph 1, a the competent authority may authorise an 
export transaction with respect to equipment listed in Annex I I, and the provision 
supply of related services, if it is demonstrated  that, in the third country to which the 
equipment, will be exported, such equipment will be used for the exclusive purpose of public display in a museum in view of its historic significance. 
Article 4 
Import prohibition 
1. With respect to equipment listed in Annex I I
, any import transaction shall be 
prohibited, irrespective of the origin of such equipment. 
The supply, by any person, entity or bo dy in a third country, whether against 
consideration or not, Any grant, sale, supply or transfer  to any person, entity or 
body in the Community, or to any other pers on, entity or body for the purpose of any 
business carried on in, or operated from, the territory of the Community , whether 
directly or indirectly , of the following services shall be prohibited:  
 
EN 12   EN (a) of technical advice,  assistance or training  related to the functioning, use, 
production, composition or transformation of  equipment listed in Annex I I;, 
shall be prohibited . 
(b) The provision of brokering and similar activities for import transactions 
involving equipment listed in Annex II. with a view to facilitating or 
promoting any import transaction concerning such equipment, shall be 
prohibited . 
2. By way of derogation from paragraph 1, a the competent authority may authorise an 
import transaction with respect to equipment listed in Annex I I, and the provision 
supply of related services, if it is demons trated that, in the Member State of 
destination, such equipment will be used for the exclusive purpose of public display 
in a museum in view of its historic significance. 
Chapter III 
 
Equipment and products that coul d be used for the purpose of 
capital punishment, torture or ot her cruel, inhuman or degrading 
treatment or punishment 
Article 5 
Export authorisation requirement 
1. For any export transaction concerning equipment and products that could be used 
for the purpose of capital punishment, as listed in Part A of Annex III, or for 
the purpose of torture and other cruel , inhuman or degrading treatment or 
punishment, as  listed in Part B of Annex III  Annex II , an authorisation shall be 
required, irrespective of the origin of such equipment or products . 
2. With respect to equipment and products listed in Annex II I, An authorisation shall be 
required for the following  activities:  the supply, whether against consideration or 
not, to any person, entity or body in a third country, of technical assistance 
related to equipment or products listed in Annex III, if such assistance is 
ancillary to an export transaction.  
(a) negotiating or arranging a contract or  agreement concerning the purchase, 
transfer, delivery or shipme nt of such equipment, if  
(i) such contract or agreement would be concluded either by or on behalf of 
a person, entity or body in a third country, or by or o n behalf of any other 
person, entity or body for the purpose of any business carried on in, or 
operated from, the territory of any third country,  
(ii) such contract or agreement would require that equipment listed in Annex 
II be put at the disposal of tha t person, entity or body, and  
 
EN 13   EN (iii) the person, entity or body engaging in brokering or  similar activities is 
established in the territory of the Community  
(b) granting, selling, supplying or transferri ng, whether directly or indirectly, 
technical advice,  assistance or training relate d to the functioning, use, 
production, composition or transformation of such equipment, to any person, 
entity or body in a third country or to any other pe rson, entity or body for the 
purpose of any business carried on in, or operated from, the territory of any 
third country.  
Article 6  
Applications for authorisations  
1. An authorisation for export transactions and activities referred to in Articles 5(1) and 
5(2)(b), may be granted only by the co mpetent authority of the Member Stat e where 
the exporter, seller, service provider or transferring party is established.  
An authorisation for activities referred to in Article 5(2)(a), ma y be granted only by 
the competent authority of the Member State where the negotiating or arranging 
perso n, entity or body is established.  
2. Applicants shall supply the competent author ity with all relevant information on the 
activities for which an authorisation is required. For export transactions this shall 
include, in particular :  
(a) a precise statement on  the country of destination, the end -user and the intended 
end-use; and  
(b) full information on the shipment route and intermediaries.  
The competent authority may request any additional information it considers 
necessary in order to make a decision on the application.  
3. An authorisation may be subject to su ch requirements and conditions as the 
competent authority deems appropriate in order to prevent the equipment concerned 
being used for the purpose of capital punishment or fo r the purpose of torture and 
other cruel, inhuman or degrading treatmen t, such as an obligation to provide a 
statement signed by the end -user or acceptance of a commitment not to re -export.  
4. Without prejudice to Article 14(2), the competent authorit y shall make a decision on 
the applicati on for an authorisation within tw o months. It shall without delay 
communicate its decision to the applicant and, where appropriate, to the Member 
State in whose territory the expor t declaration will be presented.  
5. Unless an authorisation for an export trans action stipulates otherwise, such 
authorisation implies an authorisation for the applicant and for those entering into 
contractual relations with the applicant, to sell, transfer, deliver and ship the 
equipment referred to in the request, to a specific per son, entity or body in a third 
country.  
 
EN 14   EN 6. Authorisations shall be valid  throughout the Community. Th e period of validity of an 
authorisation shall be six months, unless th e competent authority decides that this 
period must be shorter.  
Article 7 6 
Decisions on authorisations  for export transactions 
Subject to Articles 7 and 8 , decisions on applications for authorisation for of export 
transactions concerning any equipmen t and products listed in Annex II I shall be taken by the 
competent authority on a case by case basis, ta king into account all rele vant considerations, 
including  in particular whether an application fo r authorisation of an export transaction 
or for the supply of services involving the law enforcement authority or end-user 
concerned has been dismissed by another Me mber State in the preceding five years and,  
where appropriate , any restrictions on trade in the equipment and products concerned 
applied  the enforcement of restrictions on the transfer of the e quipment concerned, if any,  by 
the country of destination, and the acceptance of international obligations and commitments 
in this regard. 
Article 8  
Criteria for granting export  authorisations for end -use by  
parties other than law enforcement authorities  
As regards export transactions concerning equip ment and products listed in Annex II that is 
destined for end -users other than law enforcement aut horities, a competent authority shall 
refrain from granting an authoris ation, if it is not satisfied that all the following conditions are 
met: 
(a) the end -user needs such equipment for a legitimate purpose;  
(b) the end -user will effectively use this equipment for such purpose;  
(c) the equipment will not be sold, transferred or delivered by the end -user to any other  
person, entity or body, including in particul ar law enforcement authorities, in a third 
country where torture or othe r cruel, inhuman or degrad ing treatment or punishment 
is reported to occur.  
Article 9 7 
Criteria for granting export aut horisations for end-use by  
law enforcement authorities 
1. As regards export transactions concern ing equipment or a product listed in 
Annex III, which is destined for law enforcement authorities, the competent 
authority shall not grant any authorisation, if  
(a) the equipment or product is listed in Part A of Annex III and the third 
country concerned has not abolished capital punishment;  
(b) the equipment or product is listed in Part B of Annex III and it has been 
established that the law enforcement authority concerned has practised 
 
EN 15   EN torture or other cruel, degrading or  inhuman treatment or punishment 
within the previous five years; or  
(c) the equipment or product is listed in Part B of Annex III and there are 
reasonable grounds to suspect or believe that the law enforcement 
authority concerned is committing or to lerating acts of torture or other 
cruel, degrading or inhuman treatment or punishment.  
2. In deciding whether or not to grant an  export authorisation for equipment and 
products listed in Part B of Annex III, destined for law enforcement authorities, 
the competent authority shall examine a nd take into account in particular 
whether:  
(a) the equipment concerned will be used for judicial corporal punishment in 
the country of destination;  
(b) a statement obtained by the law enforcement authority concerned through 
torture or other cruel, inhuman or degrading treatment or punishment 
may be invoked as evidence in proceedings in the country of destination. 
This condition shall not be met if such a statement can be invoked in 
proceedings against a person accused of torture or other cruel, inhuman 
or degrading treatment or punishment as evidence that the statement was 
made;  
(c) the country of destination has fail ed to enact a prohibition by law, 
including criminal law, of torture and other cruel, degrading or inhuman 
treatment or punishment;  
(d) the country of destination is no t doing enough to bring the persons 
responsible for torture and other cru el, degrading or inhuman treatment 
or punishment to justice, and to impose , in respect of such acts, penalties 
which are both dissuasive and propor tionate to the nature of the acts 
committed;  
(e) the country of destination fails to impose restrictions on its exports of 
equipment and products listed in A nnexes II and III, to third countries 
that fulfil at least one of the crite ria set out at (a) to (d) above; and  
(f) an application for authorisation of an  export transaction or for the supply 
of services involving the law enfo rcement authority concerned has been 
dismissed by another Member State in the preceding five years.  
As regards export tr ansactions concerning equipment and pr oducts listed in Annex II destined 
for law enforcement authorities, a competen t authority shall refrain from granting an 
authorisation, if  
(a) there are indications that torture or other cruel, degrading or inhuman tr eatment or 
punishment has been or is being pract ised by the law enforcement authority 
concerned, and  
(b) the competent authority is not satisf ied that the third country concerned:  
 
EN 16   EN (i) has prohibited torture and other crue l, degrading or inhuman treatment or 
punishment in law, including criminal law,  
(ii) is bringing the persons responsible for torture and other cruel, degrading or 
inhuman treatment or punishment to justice, and  
(iii) is imposing, in respect of such acts,  penalties other than capital punish ment, 
which are both dissuasive and proportionate to the nature of the acts 
committed.  
It shall refrain from granting an authorisation if it has reason to conclude that the equipment 
concerned is likely to be used for judicial corporal punishment . 
Article 10 
Additional criteria for granting export authorisations for end -use by  
law enforcement authorities  interrogating individuals  
As regards export transactions concerning equipment and products listed in Annex II I 
destined for law enforcement authorities in terrogating individuals, a competent authority shall 
refrain from granting an authorisation, if  
(a) there are indications that torture or other cruel, degrading or inhuman treatment or 
punishment have occurred in the thir d country concerned during interrog ations, and  
(b) the competent authority is not satisfied that the third country concerned has ensured 
that statements obtained through torture and other cruel, inhuman or degrading 
treatment or punishment shall not be invoked as evidence in any proceedings , except 
against a person accused of such acts as evidence that the statement was made.  
Article 11  
Additional criteria for granting export authorisations for end -use by law enforcement 
authorities detaining individuals  
As regards export transactions concer ning equipment and produc ts listed in Annex II I 
destined for law enforcement authorities detaining individuals, a competent authority shall 
refrain from granting an authorisation, if  
(a) there are indications that torture or other cruel, degrading or inhum an treatment or 
punishment has occurred in a detention cen tre or prison which either is being 
managed by, or operates under the authority or supervision of, the law enforcement 
authority concerned, and  
(b) the competent authority is not satisfied that the third country concerned is both 
bringing the persons responsib le for torture and other cr uel, degrading or inhuman 
treatment or punishment committed in deten tion centres or prisons to justice, and 
imposing penalties other than capital punishment, which are  both dissuasive and 
proportionate to the nature of the acts committed.  
 
EN 17   EN Article 8  
Criteria for granting export auth orisations for end-use by  
end-users other than law enforcement authorities  
As regards export transactions concerning equipment or a produc t listed in Annex III, 
which is destined for end-us ers other than law enforcement authorities, the competent 
authority shall not grant any au thorisation, if it is not satisfied that the following 
conditions are met:  
(a) the end-user needs such equipment or product for a legitimate purpose;  
(b) the end-user undertakes to refrain from making such equipment or product 
available to, and for use by, any other p erson, entity or body, including in 
particular law enforcement authorities, in  the third country of destination and 
in any other third country, unless approved in advance by the competent 
authority; and  
(c) there are no reasonable grounds to suspect  or believe that the end-user has been 
participating in, or supplying equipmen t or products for, acts constituting  
capital punishment, torture or other cruel, degrading or inhuman treatment or 
punishment within the previous five years.  
Article 12 9 
Authorisations for export supply of services 
1. In deciding whether or not to grant an authorisation for serv ices referred to in 
Article 5(2), the competent au thority shall take all relevant considerations into 
account, including in particular whether an application for authorisation of an 
export transaction or for the supply of services involving the law enforcement 
authority or end-user concerned has been  dismissed by another Member State 
in the preceding five years, and impose such requirements and conditions as it 
deems appropriate to ensure that the suppl y of services will not be instrumental 
to the abuse for the purpose of capital punishment of equipment and products 
listed in Part A of Annex III, or for the purpose of torture or other cruel, 
degrading and inhuman treatment or puni shment of equipment and products 
listed in Part B of Annex III.  
2. The competent authority sh all not grant any authoris ation for the supply to a 
law enforcement authority in a third country  of services referred to in Article 
5(2), if  
(a) the equipment or product to which the services relate is listed in Part A of 
Annex III and the third country concerned has not abolished capital 
punishment;  
(b) the equipment or product to which the services relate, is listed in Part B of 
Annex III and it has been established that the law enforcement authority 
concerned has practised torture or other cruel, degrading or inhuman 
treatment or punishment within the previous five years; or  
 
EN 18   EN (c) the equipment or product to which the services relate is listed in Part B of 
Annex III and there are reasonable grounds to suspect or believe that the 
law enforcement authority concerned is committing or tolerating acts of 
torture or other cruel, degrading or  inhuman treatment or punishment.  
3. The competent authority sha ll not grant any authorisation for the supply to a 
natural or legal person in a third country, other than a law enforcement 
authority, of services referred to in Articl e 5(2), if it is no t satisfied that the 
following conditions are met:  
(a) the natural or legal person concer ned needs the equipment or product to 
which the services relate for a legitimate purpose;  
(b) the natural or legal person concern ed undertakes to refrain from making 
the advice, working knowledge or ski lls obtained available to, and for use 
by, any other person, entity or body, including in particular law 
enforcement authorities, in the third country of destination and in any 
other third country, unless approved in advance by the competent 
authority; and  
(c) there are no reasonable grounds to su spect or believe that the natural or 
legal person concerned has been part icipating in, or supplying equipment  
or products for, acts constituting  capital punishment, torture or other 
cruel, degrading or inhuman treatment or punishment within the previous 
five years.  
1. A competent authority shall refrain from granting an authorisation for the activities 
referred to i n Article 5(2)(a), if the export transactions or th e provision of services 
implementing the contract or agreement which the applicant intends to negotiate or 
arrange, would not be authorised in acco rdance with this Regulation, assuming, 
where necessary, th at such implementing export transa ction or provisio n of services 
would be subject to the ju risdiction of the Community.  
2. A competent authority shall refrain from granting an authorisation for the activities 
referred to in Article 5(2)(b), if the equipment t o which the services relate, would not 
be authorised for export from the Community to the end -user concerned, assuming, 
where necessary, that such export transacti on would be subject to the jurisdiction of 
the Community.  
Chapter IV  
 
Authorisation procedures  
Article 10  
Applications for authorisations  
1. An authorisation for export and import  transactions and for the supply of 
services referred to in Arti cles 3, 4 and 5 may be granted only by the competent 
authority of the Member State where the applicant has established his business 
 
EN 19   EN or, if the business has not been established under the law of a Member State, 
where the applicant has a fixed establis hment or, in the absence thereof, his 
permanent address or usual residence.  
2. Applicants shall supply th e competent authority with  all relevant information 
on the activities for which an authorisat ion is required. For export transactions 
this shall include, in particular:  
(a) a precise statement on the country of destination, the end-user and the 
intended end-use; and  
(b) information on the shipment rout e and intermediaries in so far as 
available.  
3. Within two months of receipt of the app lication, the competent authority shall 
either request any additional informatio n it considers necessary in order to 
make a decision on the application, or, where it considers that the application 
contains sufficient information to make  a substantive deci sion, communicate a 
substantive decision to the applicant. In exceptional circumstances, the 
competent authority may extend this period by a period not exceeding two 
months, provided it informs the applicant of the date by which its decision will 
be made and of the grounds which justify this extension.  
Article 11  
Authorisations  
1. Authorisations for export and import transactions shall be issued on a form 
consistent with the model set out in Annex IV and shall be valid throughout the 
Community. The period of validity of an authorisation shall be twelve months, 
unless the competent authority decides that this period must be shorter.  
Forms shall be printed on white paper free of mechanical pulp, dressed for 
writing and weighing between 55 and 65 grams per square metre. Their size 
shall be 210 mm x 297 mm; the layout of the forms shall be followed precisely. 
Both sides of the forms shall in addition  have a yellow printed guilloche-pattern 
background so as to reveal any falsific ation by mechanical or chemical means. 
Member States shall be responsible  for having the forms printed.  
2. Authorisations for export and import transactions shall be subject to any  
requirements and conditions the competent authority deems appropriate in 
order to prevent the equipment concerned being used for the purpose of capital 
punishment or for the purpose of torture and other cruel, inhuman or 
degrading treatment, such as an obligatio n to provide a statement signed by the 
end-user or acceptance of a commitment not to re-export.  
3. Unless an authorisation for export or impo rt transactions stipulates otherwise, 
only the applicant shall have the righ t to execute the export or import 
transaction concerned. Authorisations to render services shall also be valid for 
the applicant only, unless they explicitly provide otherwise.  
 
EN 20   EN 4. The competent authority may annul or susp end an authorisation it has granted, 
or amend the requirements and condition s to which such authorisation is 
subject, if  
(a) the decision to grant an authorisat ion was made on the basis of incorrect 
or incomplete information and  
– the applicant knew or should reasona bly have known that the information 
was incorrect or incomplete, and  
– the competent authority would not have  granted an authorisation if correct 
or complete information had been submitted; or  
(b) new information indicates that the end-user is unlikely to use the 
equipment or products for the pur pose stated in the application.  
5. When completing customs formalities, the exporter or importer shall submit the 
duly completed form set out in Anne x IV as proof that the necessary 
authorisation for the export or import transaction concerned has been obtained. 
If the document is not filled out in an  official language of the Member State 
where the customs formalities are being completed, the exporter or importer 
may be required to provide a translat ion into such official language.  
6. If a customs declaration is made concerning equipment or products listed in 
Annexes II or III, and it is confirmed th at no authorisation has been granted 
pursuant to this Regulation for the inte nded export or import transaction, the 
customs authorities shall seize the equi pment or products declared and draw 
attention to the possibility to apply for an authorisation pursuant to this 
Regulation. If no application for an au thorisation is made within a reasonable 
period of time after the seizure, or if the competent authority dismisses such an 
application, they shall dispose of th e seized equipment or products in 
accordance with applicable national legislation.  
Article 12  
Notification and consultation requirement  
1. The authorities of the Member States, as li sted in Annex I, shall inform all other 
authorities of the Member States and the Commission, as listed in that Annex, if 
they take a decision dismissing an a pplication for an authorisation under this 
Regulation and if they annul an authorisation they have granted. The 
notification shall be made not later than  three working days after the date of the 
decision.  
2. The competent authority shal l consult the authority or authorities which, in the 
preceding five years, have dismissed an  application for authorisation of an 
import or export transaction or the suppl y of services under this Regulation, if 
it receives an application concerning an import or export transaction or the 
supply of services involving an end- user referred to in such an earlier 
application and considers that an au thorisation should, nevertheless, be 
granted.  
 
EN 21   EN 3. If, after such consultations, the competent authority decides to grant an 
authorisation, it shall immediately inform  all authorities listed in Annex I of its 
decision and explain the reasons for its decision, submitting all relevant 
information.  
Chapter IV V 
 
General and fina l provisions 
Article 13 
Amendment of Annexes data regarding competent authorities  
1. The Commission shall be empowered to amend Annex I. The data regarding 
competent authorities of the Member States in Annex III  shall be amended by th e 
Commission on the basis of information supplied by the Member States. 
2. In accordance with the provisions of Article 16, the Commission shall be 
empowered to amend Annexes II, III and IV.  
Article 14 
Exchange of information 
1. The Commission and the Member States sh all inform each other of the measures 
taken under this Regulation and supply each other with any relevant information at their disposal in connection with this Regulation, in particular  
(a) information on authorisations granted and refused; (b) information on new law enforcement equipment, including test reports; (c) findings and reports on th e policies and practices of third countries concerning 
capital punishment and torture and other cruel, inhuman or degrading 
treatment; 
(d) information in respect of violati on and enforcement problems and judgments 
handed down by national courts. 
A competent authority, which receives an appl ication for an authorisation referred to 
in Article 6, shall provide a summary of the application to the competent authoritie s 
of the other Member States and the Commission within tw o weeks of receipt of the 
application. It shall inform them of the grounds on which it  intends to either reject 
the application or grant an authorisati on, and of any conditions that it considers 
appropriate.  
If a reasoned objection is ra ised by a Member State or the Commission within two 
weeks of receipt of the summary of th e application, the co mpetent authority 
concerned may make a new proposal within one week.  
 
EN 22   EN If the competent authority fails to mak e a new proposal, or if a reasoned objection is 
raised by a Member State or by the Commission in re spect of any new proposal 
within one week, the decision on authorisat ion shall be taken by the Commission in 
accordance with the procedure referred to in Art icle 16(2).  
Article 15  
Report  
2. Each competent authority  Member State shall make an  a public, annual activity 
report to the Commission , providing information on the number of applications 
received, on the equipment, products and c ountries concerned by these applications, 
and on the decisions it has taken on these appl ications, on interpretation issues that 
have arisen, and on any orga nisational or other problem s it has faced. An activity 
report shall be made for each  period of twelve months.  
Article 15  
Use of information  
Without prejudice to Regulation (EC) No 1049/200110, information received pursuant to 
this Regulation shall be used only fo r the purpose for which it was requested.  
Article 16 
Committee 
1. The Commission shall be assisted by the committee on common rules for exports of 
products, instituted by Article 4(1)  of Regulation (EEC) No 2603/1969.11 
2. Where reference is made to this paragraph, Articles 4 5 and 7 of Decision 
1999/468/EC shall apply. Where reference is made to this paragraph, the 
regulatory procedure laid down in Ar ticle 5 of Decision 1999/468/EC shall 
apply, in compliance with Article 7(3) thereof . 
The period provided for in Article 5(6) of Decision 1999/468/EC shall be two 
months.  
The period laid down in Article 4(3) of Decision 1999/468/EC sha ll be set at 10 
working days.  
3. The Committee shall adopt its rules of procedure.  The Committee shall examine 
any matter concerning the implementation of this Regulation raised by its 
chairman either on his or her own initiati ve or at the request of a representative 
of a Member State.  
                                                 
10 OJ L 145, 31.5.2001, p. 43.  
11 OJ L 324, 27.12.1969, p. 25.  
 
EN 23   EN Article 17 
Penalties 
1. The Member States shall lay down the rules on penalties applicable  to infringements 
of the provisions of this Regulation and sha ll take all measures necessary to ensure 
that they are implemented. The penalti es provided for must  be effective, 
proportionate and dissuasive. 
2. The Member States shall notify those provisions to the Commission by 30 April 
2003 2005  at the latest and shall notify it without delay of any subsequent 
amendment affecting them. 
Article 18 
Entry into force 
This Regulation shall enter into force on the twentieth  sixtieth day following that of its 
publication in the Official Journal of the European Union Communities . 
This Regulation shall be binding in  its entirety and directly applicable in all Member States. 
Done at Brussels, 
 For the Council 
 The President 
 
EN 24   EN ANNEX I  
List of authorities referred to in Articles 10 and 12  
A. Authorities of the Member States  
(to be completed by the Member States)  
BELGIUM  
CZECH REPUBLIC  
DENMARK  
GERMANY  
ESTONIA  
GREECE  
SPAIN  
FRANCE  
IRELAND  
ITALY  
CYPRUS  
LATVIA  
LITHUANIA  
LUXEMBOURG  
HUNGARY  
MALTA  
NETHERLANDS  
AUSTRIA  
POLAND  
PORTUGAL  
SLOVAKIA  
SLOVENIA  
FINLAND  
 
EN 25   EN SWEDEN  
UNITED KINGDOM  
B. Address for notifications to the Commission:  
Commission of the European Communities  
Directorate-General for External Relations  
Directorate CFSP  
Unit A.2: Legal and institutional matt ers for external relations - Sanctions  
CHAR 12/163  
B - 1049 Bruxelles/Brussel  
Tel. (32-2) 296 25 56  
Fax (32-2) 296 75 63  
E-mail: relex-sanctions@cec.eu.int  
ANNEX I ANNEX II  
List of equipment referred to in Articles 3 and 4 
Equipment which has no, or virtually no, practi cal use other than for the purpose of capital 
punishment or for the purpose of torture and other cruel, in human or degrading treatment or 
punishment.  
CN code  Description  
ex 4421 90 98  
ex 8208 90 00 Gallows and guillotines  
ex 8543 89 95 
ex 9401 79 00 
ex 9401 80 00 
ex 9402 10 00 
ex 9402 90 00 Electric chairs designed or modified for the purpose of 
execution of human beings (output at least 1 000 V)  
ex 9406 00 38 39 
ex 9406 00 80 90 Air-tight vaults, made of e.g. steel and glass, designed or 
modified for the purpose of ex ecution of human beings by the 
administration of a lethal gas  
ex 8413 81 90  
ex 9018 90 50 
ex 9018 90 60 Automatic drug injection system s designed or modified for 
the purpose of execution of human beings by the 
 
EN 26   EN ex 9018 90 85 administration of a lethal chemical substance 
ex 8543 89 95  Electric-shock belts designed or  modified for restraining 
human beings by the administration of electric shocks equal to or exceeding 50
 000 V 1 000 V  
ex 7326 90 98 97 
ex 8301 50 00 
ex 3926 90 99  Leg-irons, gang-chains and shack les, designed for restraining 
human beings, except ordinary handcuffs. Ordinary 
handcuffs are handcuffs which for which  have an the 
overall dimension including ch ain, measured from the outer 
edge of one cuff to the outer edge of the other cuff, does not 
exceed  240 mm  between 150 and 280 mm when locked and 
have not been modified to cause physical pain or suffering  
ex 7326 90 98 97  
ex 8301 50 00 
ex 3926 90 99  Individual cuffs or shackle bra celets, designed for restraining 
human beings, having a mini mum internal perimeter 
exceeding 190 mm when fully locked  
ex 7326 90 98 97 
ex 8301 50 00 
ex 3926 90 99 Thumb-cuffs and thumb-screws, including serrated thumb-
cuffs  
 Components designed or modi fied for any of the above  
ANNEX II ANNEX III  
List of equipment and produc ts referred to in Article 5 
Equipment and products that could be used for th e purpose of capital p unishment or for the 
purpose of torture and other cruel, inhuman or degrading treatment or punishment.  
PART A  
CN code  Description  
- -  
PART B  
CN code  Description  
ex 9401 61 00 
ex 9401 69 00 Restraint chairs and shackle boards  
 
EN 27   EN ex 9401 71 00 
ex 9401 79 00 
ex 9402 90 00 
ex 9403 20 91 
ex 9403 20 99 
ex 9403 50 00 
ex 9403 70 90 
ex 9403 80 00  
ex 8543 89 95 
ex 9304 00 00  Portable devices designed or m odified for the purpose of riot 
control or self-protection by the administration of an electric shock (high frequency pulses equal to or exceeding 1 000 V
 
50 000 V ), including but not limited to electric-shock batons, 
electric shock shields, stun guns and electric shock dart guns (tasers) 
ex 8424 20 00 
ex 9304 00 00  Portable devices designed or m odified for the purpose of riot 
control or self-protection by the administration of an 
incapacitating chemical substance such as tear gas, OC (oleoresin capsicum or pepper spray) and PAVA (pelargonic 
acid vanillylamide, synthetic pepper spray) 
 Components specially designed or  modified for any of the 
above 
ex 2926 90 95  α-Bromophenylacetonitrile ( α-bromobenzyl cyanide) (CA) 
(CAS 5798-79-8) 
ex 2926 90 95  (2-chlorobenzylidene)malononitrile  
(o-chlorobenzalmalononitrile ) (CS) (CAS 2698-41-1) 
ex 2914 70 00 90 2-chloroacetophenone (Phenyl acyl chloride) (CN)  
(CAS 532-27-4) 
ex 2934 99 90  Dibenz-[b,f]-[1,4]oxazepine (CR) (CAS 257-07-8) 
ex 2924 29 95  Pelargonic acid vanillylamide (PAVA) or synthetic pepper 
spray (CAS 2444-46-4)  
ex 2939 99 00 90 Oleoresin capsicum (OC) or pepper spray (CAS 8023-77-6)  
 
EN 28   EN ANNEX III  
List of competent authoritie s referred to in Article 6  
(to be completed by the Member States)  
ANNEX IV  
Export or import authorisation form referred to in Article 11(1)  
(NB this form is entirely new ) 
 
EN 29   EN  
1 EUROPEAN COMMUNITY AUTHORISATION 
― 
REGULATION (EC) No ___/2004 
(IMPORT OR EXPORT) 12 
2. Authorisation No 
3. Expiry date14 
2 __ __ __ / __ __ / __ __ 1. Applicant (full name, address and nature of 
business13) 
4. Issuing authority15 
5. Other person(s) authorised to use this 
authorisation (full name, address and nature of 
business2) 6. Consignee (full name and address) 
7. Country where the equipment or products are 
located 16 
8. Country of destination5 Authorisation Regulation (EC) No ___/2004 (Torture) 9. Member State where a customs procedure will 
take place 10. End-user (full name and address) 
1 11. Description of item(s) 17 18 
 12. CN code7 13. Quantity7 
 14. Specific requirements and conditions7  
 15. The undersigned certifies that, pursuant to Artic le 11(1) of Regulation (EC) No ___/2004 and subject 
to the requirements, conditions and procedures set out in  this form and the attachment(s) to which it refers, 
the competent authority at 4 has authorised an expor t transaction/an import tr ansaction (delete as not 
appropriate) concerning the equipment or products described at 11. 
 Done at (place, date) ........................................... 
Name (typed or capitals) ........................................... 
No of attachments: .....  
(Signature) ...........................................  
(Stamp of issuing authority) 
                                                 
12 This form should not be used to authorise the supply of technical assistance and brokering services. 
13 Please specify in relation to the items at 11: manufact urer, importer, exporter, transporting firm or other. 
14 If shorter than twelve months after date of issuing please give an explanation at 14. Please state year (four digits), 
month (two digits) and day (two digits).  
15 See Annex I to Regulation (EC) No …/2004. See also Article 2(h). 
16 Please use the country codes estab lished pursuant to Council Regulation (EC) No 1172/1995, OJ L 118, 25.5.1995, 
p. 10. See Commission Regula tion (EC) No 1779/2002, OJ L 296, 5.10.2002, p. 6. 
17 Please include data on packaging and value of the equipment and products concerned. 
18 Please continue the description in one or more attachments to this form (page 1 a), if necessary. 
 
EN 30   EN  
1a EUROPEAN COMMUNITY ATTACHMENT TO  
 
AUTHORISATION ― 
REGULATION (EC) No ___/2004 
(IMPORT OR EXPORT)1 
2. Authorisation No 
3. Expiry date3 2 __ __ __ / __ __ / __ __ 1. Applicant (full name, address and nature of 
business2) 
4. Issuing authority4 
11. Description of item(s) 6 12. CN code 13. Quantity 
   
   
   Authorisation Regulation (EC) No ___/2004 (Torture)    
1a  14. Specific requirements and conditions 
 
 15. The undersigned certifies that, pursuant to Artic le 11(1) of Regulation (EC) No ___/2004 and subject 
to the requirements, conditions and pro cedures set out in page 1 of the au thorisation and in this attachment, 
the competent authority at 4 has authorised an expor t transaction/an import tr ansaction (delete as not 
appropriate) concerning the equipment or products described at 11. 
Done at (place, date) ........................................... 
Name (typed or capitals) ........................................... (Stamp of issuing authority) 
 
This ATTACHMENT does NOT constitute A VALID AUTHORISAT ION if it is not accompanied by a duly completed 
PAGE 1 entitled “Authorisation ― Regulation (EC) No …/2004 (Import or Export)”.