30.9.92 OfficialJournaloftheEuropeanCommunities NoC253/13
II
(PreparatoryActs)
COMMISSION
ProposalforaCouncilRegulation(EEC)onthecontrolofexportsofcertaindual-usegoods
andtechnologiesandofcertainnuclearproductsandtechnologies
(92/C253/05)
COM(92)317final
(SubmittedbytheCommissionon31August1992)
rHECOUNCILOFTHEEUROPEANCOMMUNITIES ,
tiavingregardtotheTreatyestablishingtheEuropean
EconomicCommunity,andinparticularArticle113
:hereof,
HavingregardtotheproposalfromtheCommission,subsequentlybemodifiedorsupplementedinaccordance
withthesameprocedure;
Whereastothisendthesystemtobeputinplaceshould
imposeanobligationtohaveanauthorizationpriorto
theexportationofgoodsandtechnologiescoveredby
thisRegulation;whereasthisnecessitatesacleardefi­
nitionofthescopeofthisRegulationandtheprocedures
foritsimplementation ;
HavingregardtotheopinionoftheEuropean
Parliament,
Whereasinthecourseofpreparationsforthecompletion
oftheinternalmarket,inaccordancewithArticle8aof
theTreaty,ithasbecomeclearthatthereisaneedfor
commonrulesgoverningtheexporttothirdcountriesof
certaindual-usegoodsandtechnologiesandofcertain
nuclearproductsandtechnologies,thatistosaygoods
whichmaybeusedforbothcivilandmilitarypurposes;Whereasevenwheregoodsandtechnologiesarenot
listedamongthosecoveredbythecomplementary regu­
lationmentionedabove,MemberStatesshouldbeable
tointerveneinexceptionalcircumstances ;
Whereasarrangementsshouldbemadetoensurethe
necessaryexchangeofinformationbetweenthevarious
authoritiesintheCommunityresponsibleforenforcing
compliancewiththisRegulation;
Whereasinviewoftheconsiderableexperienceofthe
MemberStates'authoritiesandtheCommission in
applicationofCouncilRegulation(EEC)No1468/81of
19May1981onmutualassistancebetweentheadminis­
trativeauthoritiesoftheMemberStatesandcooperation
betweenthelatterandtheCommission toensurethe
correctapplicationofthelawoncustomsoragricultural
matters('),asamendedbyRegulation(EEC)No
945/87(2),thesaidRegulationshouldbeappliedinthe
presentcontext;
Whereasprovisionshouldbemadeforimplementing
measuresofstrictlylimiteddurationaimedatreducing
thedangerofdeflectionoftradeduringtheinitialphase
inwhichthecompetentauthoritiesintheMemberStates
areadjustingtotherequirementsofthisRegulation;Whereastoavoidanypossibilityofdeflectionoftrade,
effectivecontrols,basedoncommonstandards,should
beensured,onexportationoftheaforesaidgoodsand
technologies,attheCommunity'sexternalborderswhilst
ensuringthatMemberStatesremaininapositionto
meettheirinternationalcommitments ;
WhereastheactionconductedatCommunitylevel
shouldnotexceedthoserequirementswhichareessential
forthecompletionoftheinternalmarket;whereasthe
decisionsconcerningthelistsofgoodsandtechnologies
anddestinationswhicharesubjecttocontrol,aswellas
theexplicitcriteriatobeappliedwhendecidingtogrant
anexportauthorization,areclearlyofastrategicnature
andconsequentlyfallwithinthecompetenceofthe
MemberStates;whereasthelists,whendrawnup,will
bepublishedinacomplementary regulationtobe
adoptedbytheCouncil;whereas,ifnecessary,theywillOOJNoL144,2.6.1981,p.1.
OOJNoL90,2.4.1987,p.3.

NoC253/14 OfficialJournaloftheEuropeanCommunities 30.9.92
WhereastheTreatyestablishingtheEuropeanAtomic
EnergyCommunitycontainsprovisionsconcerningthe
controlofexportsofnuclearmaterialsbythe
Communityfromitsterritory;whereas,inthese
conditions,thisRegulationisnotapplicabletothem;
WhereastheMinistersofForeignAffairsofthe
Communityadopted,on20November1984,the
DeclarationofCommonPolicy,whichwassubsequently
adoptedbySpainandbyPortugal,whichcoversin
particularthearrangementsconcerningintra-Community
transfersofplutoniumandofuraniumenrichedtomore
than20%,aswellasinstallationsandtechnology
relatingtoreprocessing ,toenrichmentandtothe
productionofheavywater;
WhereasthisRegulationshouldnotapplytogoods
coveredbyArticle223oftheEECTreaty,
HASADOPTEDTHISREGULATION :(c)'re-export'meansatransactionofthekindreferred
toinArticle182oftheabovementioned Regulation
bywhichnon-Community goods,aswellasrelated
technologyleavethecustomsterritoryofthe
Community ;
(d)'exporter'meansanynaturalorlegalpersonon
whosebehalfthecustomsdeclaration ismadeand
whoistheownerofthegoodsorwhohassimilar
powersofdisposaloverthem,aswellasanynatural
orlegalpersonwhoisresponsibleforrelatedtech­
nologyleavingtheCommunity ;
(e)'competentauthorities'meanstheauthoritiesineach
MemberStategivenresponsibilityforensuringthat
thisRegulationisimplemented ;
(f)'customsdeclaration'meanstheactwherebya
personindicatesintheprescribedformandmanner
thewishtoplacegoodsundertheexportprocedure .
TITLE2
Scope
Article3
SubjecttoArticle4,anauthorizationshallberequired
fortheexportandre-exporttothirdcountriesofthe
dual-usegoodswhich,followingagreementbythe
MemberStates,arethesubjectofacomplementary
regulationtothepresentRegulation .
Article4
Anauthorization shallberequiredfortheexportor
re-exportofanygoodsnotlistedinthecomplementary
regulationprovidedforinArticle3iftheexporteris
aware,orhasbeeninformedbyhisgovernment,thatthe
goodsinquestionare,intheirentiretyorinpart,
intendedforuseinconnectionwiththedevelopment ,
production,maintenance ,detection,identificationor
dissemination ofconventional ,chemical,biologicalor
nuclearweaponsandthedevelopment ,production,
maintenanceorstorageofmissilescapableofdelivering
suchweapons.
ThisArticleshallnotapplytothecountrieswhich
benefitfromtheprovisionsofArticle7(3).
Article5
Notwithstanding Article4,thecompetentauthorities
mayprohibittheexportorre-exportofgoodsnotlisted
inthecomplementary regulationprovidedforinArticle
3;theyshallimmediatelysoinformtheCommissionand
theotherMemberStates,whoshallconsiderthematter.
Adecisionontherepealorcontinuationofthismeasure
shallbetakenbytheCouncilonaproposalfromthe
Commission .TITLE1
General
Article1
ThepurposeofthisRegulationistoensurethatMember
Statesapplythenecessarycontrolmeasures,in
accordancewithcommonstandards,totheexportation
orre-exportation fromtheCommunityofcertain
dual-usegoodsandtechnologiesandofcertainnuclear
productsandtechnologies .
Article2
ForthepurposesofthisRegulation :
(a)'dual-usegoods'meansanyofthegoods,related
technologies (technicalandscientificinformation,
includingknow-howandengineeringexpertise),as
wellascertainnuclearproductsandtechnologies ,
whichcanbeusedforbothcivilandmilitary
purposesandwhichappearonalisttobeenactedin
acomplementary regulationtothisRegulation;
(b)'export'meansaprocedurereferredtoinArticle161
ofCouncilRegulation(EEC)No..../92(estab­
lishingaCommunityCustomsCode)underwhich
Communitygoodstemporarilyordefinitivelyleave
thecustomsterritoryoftheCommunity,aswellasa
transactionbywhichrelatedtechnologyleavesthe
Community ;

30.9.92 OfficialJournaloftheEuropeanCommunities NoC253/15
TITLE3
Exportauthorization
Article6
1.Anexportauthorization shallbegrantedbythe
competentauthoritiesintheMemberStateinwhichthe
exporterisestablished .Theauthorizationshallbevalid
throughouttheCommunity .
2.Anexportauthorizationshallbevalidonlyifthe
interestedpartymeetstheconditionsattachedtoit.
3.MemberStatesshallfurnishtheCommissionwitha
listofthenationalauthoritiesempoweredtoissueexport
authorizations fordual-usegoods.
4.TheCommissionshallpublishthelistoftheauth­
oritiesreferredtoinparagraph3intheCSeriesofthe
OfficialJournaloftheEuropeanCommunities .(b)respectofhumanrightsinthecountryoffinal
destination;
(c)theinternalsituationinthecountryoffinaldesti­
nation,withreferencetotheexistenceoftensionsor
internalarmedconflicts;
(d)thepreservationofregionalpeace,securityand
stability;
(e)thenationalsecurityoftheMemberStatesandof
territorieswhoseexternalrelationsaretheresponsi­
bilityofaMemberStateaswellasthatoffriendly
andalliedcountries;
(f)thebehaviourofthebuyercountrywithregardto
theinternationalcommunity,asregardsinparticular
itsattitudetoterrorism,thenatureofitsalliances,
andrespectforinternationallaw;
(g)theexistenceofariskthattheequipmentwillbe
divertedwithinthebuyercountryorre-exported
underundesirableconditions .
Article9
1.Exportersmustsupplythecompetentauthorities
withallinformationintheirpossessionrelevanttoan
applicationforanexportauthorization .
2.AMemberStatewhichhasgrantedanexportauth­
orizationmaysuspendorwithdrawitwhereithasgood
reasontosuspectthattheauthorizationwasobtainedby
meansoffalseinformationorwheretheexporterhas
failedtocomplywiththeobligationinparagraph 1.
3.Whereacompetentauthorityrefuses,suspendsor
revokesanauthorization itshallinformtheother
competentauthoritiesaccordingly,givingthereasonsfor
itsdecision.
TITLE4
Customsprocedures
Article10
Theexportauthorizationshallbepresentedinsupportof
theexportdeclaration,atthetimeofcompletingcustoms
formalitiesforexport,tothecustomsofficeresponsible
forhandlingthatdeclaration .
Article11
1.ThecompetentauthoritiesreferredtoinArticle6
(3)maydeterminethatcustomsformalitiesforthe
exportofthegoodscoveredbythisRegulationmaybe
completedonlyatcustomsofficesempoweredtothat
end.Article7 1
1.Anexportauthorization shallbeissuedforeach
exportorre-exporttransaction .
2.Thecompetentauthoritiesmayapplysimplified
formalitiestoexporterswhosorequest;inparticular,
theymayissueageneralauthorizationforatypeor
categoryofdual-usegoodsaswellasforoneormore
thirdcountries .
3.Ageneralauthorization maybegrantedtoany
exporterwhosorequestsfordual-usegoodsexportedto
thecountrieswhicharesetoutinalistlaiddowninthe
complementary regulationprovidedforinArticle3.
4.Paragraphs2and3arenotapplicabletothe
dual-usegoodsappearinginaspecificlisttobelaid
downinthecomplementary regulationprovidedforin
Article3.
Article8
Indecidingwhethertograntanexportauthorizationthe
competentauthoritiesshallhaVeregardtothefollowing
criteria:
(a)respectfortheinternationalcommitmentsofthe
MemberStatesoftheCommunity,inparticularthe
sanctionsdecreedbytheSecurityCouncilofthe
UnitedNationsandthosedecreedbythe
Community,agreementsonnon-proliferation and
othersubjects,aswellasotherinternational
obligations;

NoC253/16 30.9.92 OfficialJournaloftheEuropeanCommunities
theendlofthecalendaryearinwhichthetransaction
referredtoinparagraph 1tookplace,andmustbe
producedtothecompetentauthoritiesonrequest.
Article14
InordertoensurethatthisRegulationisproperly
applied,eachMemberStateshalltakewhatever
measuresareneededinitsdomesticlawtoenablethe
competentauthorities :
(a)togatherinformationonanyorderortransaction
involvingdual-usegoods;
(b)toenterthebusinesspremisesofpersonswithan
interestinanexportorre-exporttransactioninorder
toestablishthatthecontrolmeasuresarebeing
properlyapplied.
Article15
Verificationofthefinaldestinationmayberequired
fromthirdcountries.2.MemberStatestakingtheoptionofferedby
paragraph 1shallinformtheCommissionofthecustoms
officesdulyempowered .
TheCommissionshallpublishthisinformationintheC
SeriesoftheOfficialJournaloftheEuropean
Communities .
3.TitleIXofCommissionRegulation(EEC)No
1214/92(x)andArticle26ofAppendixItothe
Conventiononacommontransitprocedureconcluded
on20May1987bytheCommunityandtheEFTA
countriesshallapplywherecarriageofgoodscoveredby
thisRegulationiseffectedbetweentwopointsinthe
CommunitythroughtheterritoryofanEFTAcountry.
TITLE5
Administrative cooperation
Article12
1.ActinginliaisonwiththeCommission,Member
Statesshalltakeallappropriatemeasurestoestablish
directcooperationandexchangeofinformationbetween
theircompetentauthorities.
2.Regulation(EEC)No1468/81,andinparticular
theprovisionsontheconfidentialityofinformation,shall
applymutatismutandis.
TITLE6
Controlmeasures
Article13
1.Anyexportorre-exporttransactioncoveredbythis
Regulationmustbesupportedbyappropriatedocumen­
tation.Inparticular,commercialdocumentssuchas
invoices,manifestsandotherdispatchandtransport
documentsmustcontainsufficientinformationtoallow
thefollowingtobeidentifiedwithcertainty:
—thedescriptionofthegoods,
—thequantityandweightofthegoods,
—thenameandaddressoftheexporter,andofthe
consignee.
2.Personswithaninterestinexportorre-export
transactionscoveredbythisRegulationmustkeep
detailedcommercialrecordsofthosetransactions .
3.Thedocumentsandrecordsreferredtoinpara­
graphs1and2mustbekeptforatleastthreeyearsfromTITLE7
Generalandfinalprovisions
Article16
MemberStatesshalltakeallnecessarymeasuresto
satisfythemselvesthatpersonswithaninterestinexport
orre-exporttransactionsarefullyawareoftheir
obligationsunderthisRegulation .
Article17
EachMemberStateshalldesignatearepresentative
responsibleforallcontactswiththeotherMemberStates
andtheCommissionconcerningthecontrolsystem.
Article18
EachMemberStateshalldeterminethepenaltiestobe
imposedintheeventofbreachoftheprovisionsofthis
Regulationand,whereappropriate,ofanynational
measuresrelevanttoitsapplication;suchpenaltiesmust
beeffective,proportionateanddissuasive.
Article19
EachMemberStateshallinformtheCommissionofthe
measurestakenfortheimplementation ofthis
Regulation . OOJNoL132,16.5.1992,p.1.

OfficialJournaloftheEuropeanCommunities NoC253/17 30.9.92
TheCommissionshallpassonthisinformationtothe
otherMemberStates.Everythreeyearsitshallpresenta
reporttotheCouncilandtheEuropeanParliamenton
theimplementation ofthisRegulation .
Article20
WithinonemonthoftheadoptionofthisRegulationthe
Commission shalltakeadditionalimplementing
measures,toapplyfornotmorethanoneyear,aimedat
reducingthedangerofdeflectionoftradeduringthe
initialphaseinwhichthecompetentauthoritiesare
adjustingtotherequirementsofthisRegulation .Such
measuresmaynotinvolveanycontrolmeasuresatthe
Community'sinternalborders.Article21
TheprovisionsofthisRegulationdonotaffect:
—theapplicationofArticle223oftheTreatyestab­
lishingtheEuropeanEconomicCommunity,
—theapplicationoftheTreatyestablishingthe
EuropeanAtomicEnergyCommunitytoexportsof
nuclearmaterialsfromtheterritoryofthe
Community .
Article22
ThisRegulationshallenterintoforceon1January1993.
ThisRegulationshallbebindinginitsentiretyand
directlyapplicableinallMemberStates.