Amended proposal for a Council Regulation concerning trade in certain equipment and products which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment
Date: 2004-10-29
Institutions: European Commission
Subjects: cruel and degrading treatment, death penalty, human rights, international trade, third country, torture, trade regulations, trading operation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.10.2004 
COM(2004)731 final 

Amended proposal for a 

COUNCIL REGULATION 

concerning trade in certain equipment and products which could be used for capital 
punishment, torture or other cruel, inhuman or degrading treatment or punishment 

(presented by the Commission pursuant to Article 250(2) of the EC Treaty) 

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(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

EXPLANATORY MEMORANDUM 

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  fundamental  human  right  not  to  be  subjected  to 
torture and other cruel, inhuman 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, Inhuman 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 production of, and trade in, such equipment. 

These  Guidelines  also  make  the  point  that  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. 

This  amended  proposal  confirms  most  of  the  human  rights-related  elements  of  the 
initial proposal (COM(2002)770) and in particular the justification for the restrictions 
under  WTO  rules.  An  important  amendment  concerns  the  definition  of  ‘other  cruel, 
degrading  or  inhuman  treatment  or  punishment’  which  has  been  aligned  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.  

Some  minor  amendments  to  the  lists  of  equipment  and  products  subject  to  the 
proposed restrictions are proposed. They concern the size of normal handcuffs and the 
minimum  voltage  required  for  electric  shocks  produced  by  stun  guns  and  similar 
equipment.  

The text has also been redrafted in order to make explicit that equipment which could 
be used for capital punishment 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  abolished  the  death  penalty.  In  addition,  this 
amended  proposal  provides  that  the  lists  of  equipment  and  products  should  be 
reviewed and amended using a specific procedure. 

The main amendments to the original proposal concern the administrative set-up. As 
regards decision-making on specific requests for authorisations, the criteria have been 
reformulated  in  order  to  give  the  competent  authorities  the  necessary  discretion  to 
decide on applications. The proposed text provides that the criteria set out in the two 
relevant sets of Guidelines should be taken into account, thus permitting the competent 
authority to decide whether the application for an authorisation should be dismissed or 
whether  it  is  more  appropriate  to  grant  an  authorisation  subject  to  certain  conditions 
aimed  at  ensuring  that  the  equipment  or  products  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. 

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(8) 

(9) 

In  order  to  make  the  Regulation  more  easily  enforceable,  the  amended  proposal 
provides that the Regulation should apply to the ‘customs territory’ as defined in the 
Customs Code. 

Finally the provisions on services have been amended so as to bring them in line with 
Article  133  of  the  EC  Treaty  and  the  requirement  to  authorise  brokering  services 
concerning  equipment  that  has  both  illegitimate  and  legitimate  purposes  has  been 
removed  from  the  text  so  as  to  limit  the  administrative  workload  to  what  is  strictly 
necessary.  

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Amended proposal for a 

COUNCIL REGULATION 

concerning trade in certain equipment and products which could be used for capital 
punishment, torture or other cruel, inhuman or degrading treatment or punishment 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
133 thereof, 

Having regard to the proposal from the Commission1, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

Pursuant to Article 6 of the Treaty on European 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. 

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 provisions, in particular the United Nations 
Declaration  Against  Torture 2  and  the  1984  United  Nations  Convention  Against 
Torture  and  Other  Cruel,  Inhuman  or  Degrading  Treatment  or  Punishment,  place  an 
obligation on States to prevent torture. 

Article  2(2)  of  the  Charter  of  Fundamental  Rights  of  the  European  Union3  prohibits 
executions  and  condemnations  to  the  death  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 would work towards the universal abolition of 
the death penalty. 

Article  4  of  the  Charter  of  Fundamental  Rights  of  the  European  Union  prohibits 
torture  and  inhuman  or  degrading  treatment  and  punishment.  On  9  April  2001,  the 
Council  approved  "Guidelines  to  the  EU  Policy  toward  Third  Countries,  on  Torture 
and Other Cruel, Inhuman or Degrading Treatment or Punishment." These guidelines 

1 
2 
3 

OJ C […], […], p. […]. 
Resolution 3452 (XXX) of 9.12.1975 of the General Assembly of the United Nations.  
OJ C 364, 18.12.2000, p. 1.  

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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  controls  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, inhuman 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. 

In  its  Resolution  on  Torture  and  other  Cruel,  Inhuman  or  Degrading  Treatment  or 
Punishment, adopted on 25 April 2001 and supported by the EU Member States, the 
United Nations Commission on Human Rights called upon United Nations Members 
to take appropriate steps, including legislative measures, to prevent and prohibit, inter 
alia, the export of equipment which is specifically designed to inflict torture or other 
cruel, inhuman or degrading treatment or punishment. This point was confirmed by a 
Resolutions adopted on 16 April 2002 and 23 April 2003. 

On 3 October 2001, the European Parliament adopted a Resolution4 on the Council's 
second  Annual  Report  according  to  Operative  Provision  8  of  the  European  Union 
Code  of  Conduct  on  Arms  Exports,  urging  the  Commission  to  act  swiftly  to  bring 
forward  an  appropriate  Community  instrument  banning  the  promotion,  trade  and 
export  of  police  and  security  equipment  whose  use  is  inherently  cruel,  inhuman  or 
degrading, and to ensure that that Community instrument would suspend the transfer 
of  police  and  security  equipment  whose  medical  effects  are  not  fully  known,  and  of 
such  equipment  where  its  use  in  practice  has  revealed  a  substantial  risk  of  abuse  or 
unwarranted injury. 

It is therefore appropriate to lay down Community 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  treatment  or  punishment.  These  rules  are 
instrumental  in  promoting  respect  for  human  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 facilitates the implementation of policies on capital punishment 
or  on  torture  and  other  cruel,  inhuman  or  degrading  treatment  or  punishment,  which 
are  not  compatible  with  the  relevant  EU  Guidelines,  the  Charter  of  Fundamental 
Rights of the European Union and international conventions and treaties. 

For the purpose of this Regulation, it is considered appropriate to apply the definitions 
of torture and other cruel, inhuman or degrading treatment or punishment 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 

(5) 

(6) 

(7) 

(8) 

4 

OJ C 87 E, 11.4.2002, p. 136. 

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(9) 

(10) 

Convention  on  Human  Rights  and  in  relevant  texts  adopted  by  the  EU  or  its 
Member Statesand the Charter of Fundamental Rights of the European Union. 

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  Article  33  of  the  United  Nations  Standard 
Minimum Rules for the Treatment of Prisoners5 prohibits the use of chains and irons 
as restraints. 

It is also necessary to impose controls on exports of certain  equipment and products 
which could be used not only for the purpose of capital punishment or for the purpose 
of torture and other cruel, inhuman or degrading treatment or punishment, but also for 
other,  legitimate  purposes.  These  controls  should  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 could 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 account its design and technical features. 

(11)  As regards law enforcement equipment, it should be noted that Article 3 of the Code 
of  Conduct  for  Law  Enforcement  Officials6  provides  that  law  enforcement  officials 
may  use  force  only  when  strictly  necessary  and  to  the  extent  required  for  the 
performance of their duty. The Basic Principles on the Use of Force and Firearms by 
Law  Enforcement  Officials,  adopted  by  the  Eighth  United  Nations  Congress  on  the 
Prevention  of  Crime  and  the  Treatment  of  Offenders  in  1990,  provide  that  law 
enforcement officials, in carrying out their 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  development  of  non-lethal 
incapacitating weapons for use in appropriate situations, while admitting that the use 
of  such  weapons  should  be  carefully  controlled.  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  used  to  apply  electric  shocks  and  chemical 
substances  to  incapacitate  persons.  There  are  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 officials 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  trade  in  the  chemical  substances  used  to 

incapacitate persons, including tear gases and riot control agents.  

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6 

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. 
Resolution 34/169 of 17.12.1979 of the General Assembly of the United Nations. 

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(15) 

It  should  also  be  noted  that  the  United  Nations  Standard  Minimum  Rules  for  the 
Treatment of Prisoners7 provide that instruments of restraint 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 control fail, in order to prevent 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  will  include  in  their  periodic  reports  an  analysis  of  the 
occurrence of torture and other 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  equipment  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 other cruel, inhuman or degrading treatment or punishment, 
it  is  considered  necessary  to  impose  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 transactions involving 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.  provision  of  services  which  promote  sales  of  equipment  and  products 
subject  to  this  Regulation,  such  as  brokerage,  irrespective  of  whether  the  equipment 
concerned has been, is or will be in free circulation 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  degrading  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  similar  controls  on  transactions  within  the 
Community as, in the Member States, capital punishment does not exist and there are 
sufficient  safeguards  in  place  to  preventMember  States  will  have  adopted 
appropriate  measures  to  outlaw  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  Punishment  state  that,  in  order  to  meet  the 
objective  of  taking  effective  measures  against  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. 

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production, production and trade of equipment which is designed to inflict torture or 
other cruel, inhuman or degrading treatment 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 account new data and technological developments, the listlists of 
equipment  and  products  covered  by  this  Regulation  should  be  reviewed  within  a 
reasonable  period  of  timekept  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  and  of  other  relevant  information  at  their  disposal  in 
connection with this Regulation. 

(22)  The  substantive  measures  necessary  for  the  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 down 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 penalties applicable to infringements of the 
provisions  of  this  Regulation  and  ensure  that  they  are  implemented.  Those  penalties 
must be effective, proportionate and dissuasive. 

(24)  This  act  respects  the  fundamental  rights  and  observes  the  principles  recognised  in 

particular by the Charter of Fundamental Rights of the European Union, 

HAS ADOPTED THIS REGULATION: 

Chapter I 

Subject matter, scope and definitions 

Article 1 
Subject matter and scope 

1. 

2. 

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  cruel,  degrading  or  inhuman  treatment  or 
punishment, and in related services. 

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. 

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For the purposes of this Regulation: 

Article 2 
Definitions 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

"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, punishing that person for 
an  act  that  either  that  person  or  a  third  person  has  committed  or  is  suspected  of 
having  committed,  or  intimidating  or  coercing  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  understood  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; 

"other  cruel,  inhuman  or  degrading  treatment  or  punishment"  means  any  act  by 
which  significant  pain  or  suffering,  whether  physical  or  mental,  is  intentionally 
inflicted  on  a  person,  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  understood  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; 

"law  enforcement  authority"  means  any  authority  responsible  for  preventing, 
detecting,  investigating,  combating  and  punishing  criminal  offences,  including,  but 
not limited to, the police, any prosecutor, any judicial authority, any public or private 
prison authority and, where appropriate, any of the state security forces and military 
authorities; 

"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 shipment, 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; 

"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;  

“technical  assistance”  means  any  technical  support  related  to  repairs, 
development, manufacture, testing, maintenance, or any other technical service, 
and  may  take  forms  such  as  instruction,  advice,  training,  transmission  of 

9 

OJ L 302, 19.10.1992, p. 1, as amended. 

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(g) 

(h) 

(i) 

working  knowledge  or  skills  or  consulting  services.  Technical  assistance 
includes verbal forms of assistance; 

"brokering  activities"  means  negotiating  or  arranging  contracts  containing  a 
commitment to deliver equipment or products subject to this Regulation which, 
given  the  location  of  the  equipment  or  products,  can  be  honoured  only  if  that 
delivery is preceded by an import or export transaction, without accepting such 
a  commitment  to  deliver  and  without  engaging  in  an  import  or  export 
transaction; 

“museum”  means  an  institution  which  has  as  its  purpose,  or  its  principal 
purpose,  the  preservation  for  the  public  benefit  of  a  collection  of  historical, 
artistic or scientific interest which includes or is to include equipment subject to 
this  Regulation  and  which  is  maintained  wholly  or  mainly  out  of  money 
provided by a public authority; 

"the competent authority" means an authority 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 application for an authorisation; 

(j) 

“applicant” means  

(1) 

(2) 

(3) 

(4) 

(5) 

in case of export transactions referred to in Article 3 or 5, any natural or 
legal person that holds a contract with a consignee in a third country and 
has  the  power  for  determining  the  sending  of  equipment  or  products 
controlled  by  this  Regulation  out  of  the  customs  territory  of  the 
Community at the time when the customs declaration is accepted;  

if the legal person referred to under (1) has not been established under the 
law of a Member State and lacks a fixed establishment in the Community, 
the natural or legal person that will execute the export transaction;  

if  the  natural  person  referred  to  under  (1)  has  neither  a  permanent 
address  nor  his  or  her  usual  residence  in  the  Community,  the  natural  or 
legal person that will execute the export transaction; 

in  case  of  import  transactions  and  supplies  of  services  referred  to  in 
Article 4, the museum that will display the equipment; and 

in  case  of  supplies  of  services  referred  in  Article  3  and  5,  the  natural  or 
legal person that will supply the service. 

"competent authority" means an authority listed in Annex III. 

"territory of the Community" means all the territories of the Member States to which 
the Treaty establishing the European Community is applicable, under the conditions 
laid down in that Treaty. 

(f) 

(g) 

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Chapter II 

Equipment which has no, or virtually no, practical use other than 
for the purposes of capital punishment, torture and other cruel, 
inhuman or degrading treatment or punishment 

Article 3 
Export prohibition 

1. 

With respect to 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, as listed in Annex II, any 
export transaction shall be prohibited, 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, the 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  II;, 
shall be prohibited. 

(b)  brokering and similar activities for export transactions involving equipment 
listed  in  Annex  II.with  a  view  to  facilitating  or  promoting  any  export 
transaction concerning such 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  II,  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  II,  any  import  transaction  shall  be 
prohibited, irrespective of the origin of such equipment. 

The  supply,  by  any  person,  entity  or  body  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 person, 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:  

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(a)  of  technical  advice,  assistance  or  training  related  to  the  functioning,  use, 
production,  composition  or  transformation  of  equipment  listed  in  Annex  II;, 
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 II, and the provision 
supply  of  related  services,  if  it  is  demonstrated  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 could be used for the purpose of 
capital punishment, torture or other cruel, inhuman or degrading 
treatment or punishment 

Article 5 
Export authorisation requirement 

1. 

2. 

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. 

With respect to equipment and products listed in Annex III, 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 shipment 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 on 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 that person, entity or body, and  

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(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  transferring,  whether  directly  or  indirectly, 
technical  advice,  assistance  or  training  related  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 person, 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 

An authorisation for export transactions and activities referred to in Articles 5(1) and 
5(2)(b), may be granted only by the competent authority of the Member State where 
the exporter, seller, service provider or transferring party is established. 

An authorisation for activities referred to in Article 5(2)(a), may be granted only by 
the  competent  authority  of  the  Member  State  where  the  negotiating  or  arranging 
person, entity or body is established. 

Applicants shall supply the competent authority 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. 

An  authorisation  may  be  subject  to  such  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  for  the  purpose  of  torture  and 
other  cruel,  inhuman  or  degrading  treatment,  such  as  an  obligation  to  provide  a 
statement signed by the end-user or acceptance of a commitment not to re-export. 

Without prejudice to Article 14(2), the competent authority shall make a decision on 
the  application  for  an  authorisation  within  two  months.  It  shall  without  delay 
communicate  its  decision  to  the  applicant  and,  where  appropriate,  to  the  Member 
State in whose territory the export declaration will be presented. 

Unless  an  authorisation  for  an  export  transaction  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  person,  entity  or  body  in  a  third 
country. 

1. 

2. 

3. 

4. 

5. 

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6. 

Authorisations shall be valid throughout the Community. The period of validity of an 
authorisation  shall  be  six  months,  unless  the  competent  authority  decides  that  this 
period must be shorter. 

Article 76 
Decisions on authorisations for export transactions 

Subject  to  Articles  7  and  8,  decisions  on  applications  for  authorisation  for  of  export 
transactions concerning any equipment and products listed in Annex III shall be taken by the 
competent authority on a case by case basis, taking into account all relevant considerations, 
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, 
where appropriate, any restrictions on trade in the equipment and products concerned 
applied the enforcement of restrictions on the transfer of the equipment 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 equipment and products listed in Annex II that is 
destined  for  end-users  other  than  law  enforcement  authorities,  a  competent  authority  shall 
refrain from granting an authorisation, if it is not satisfied that all the following conditions are 
met: 

(a) 

(b) 

(c) 

the end-user needs such equipment for a legitimate purpose; 

the end-user will effectively use this equipment for such purpose; 

the equipment will not be sold, transferred or delivered by the end-user to any other 
person, entity or body, including in particular law enforcement authorities, in a third 
country where torture or other cruel, inhuman or degrading treatment or punishment 
is reported to occur. 

Article 97 
Criteria for granting export authorisations for end-use by  
law enforcement authorities 

1. 

As  regards  export  transactions  concerning  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) 

(b) 

the  equipment  or  product  is  listed  in  Part  A  of  Annex  III  and  the  third 
country concerned has not abolished capital punishment; 

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 

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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  tolerating  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  and  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) 

(d) 

(e) 

(f) 

the  country  of  destination  has  failed  to  enact  a  prohibition  by  law, 
including criminal law, of torture and other cruel, degrading or inhuman 
treatment or punishment; 

the  country  of  destination  is  not  doing  enough  to  bring  the  persons 
responsible for torture and other cruel, degrading or inhuman treatment 
or punishment to justice, and to impose, in respect of such acts, penalties 
which  are  both  dissuasive  and  proportionate  to  the  nature  of  the  acts 
committed; 

the  country  of  destination  fails  to  impose  restrictions  on  its  exports  of 
equipment  and  products  listed  in  Annexes  II  and  III,  to  third  countries 
that fulfil at least one of the criteria set out at (a) to (d) above; and 

an application for authorisation of an export transaction or for the supply 
of  services  involving  the  law  enforcement  authority  concerned  has  been 
dismissed by another Member State in the preceding five years. 

As regards export transactions concerning equipment and products listed in Annex II destined 
for  law  enforcement  authorities,  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  has  been  or  is  being  practised  by  the  law  enforcement  authority 
concerned, and  

(b) 

the competent authority is not satisfied that the third country concerned: 

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15 

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(i) 

has  prohibited  torture  and  other  cruel,  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  punishment, 
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  III 
destined for law enforcement authorities interrogating individuals, a competent authority shall 
refrain from granting an authorisation, if 

(a) 

(b) 

there  are  indications  that  torture  or  other  cruel,  degrading  or  inhuman  treatment  or 
punishment have occurred in the third country concerned during interrogations, and 

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  concerning  equipment  and  products  listed  in  Annex  III 
destined  for  law  enforcement  authorities  detaining  individuals,  a  competent  authority  shall 
refrain from granting an authorisation, if 

(a) 

(b) 

there  are  indications  that  torture  or  other  cruel,  degrading  or  inhuman  treatment  or 
punishment  has  occurred  in  a  detention  centre  or  prison  which  either  is  being 
managed by, or operates under the authority or supervision of, the law enforcement 
authority concerned, and 

the  competent  authority  is  not  satisfied  that  the  third  country  concerned  is  both 
bringing  the  persons  responsible  for  torture  and  other  cruel,  degrading  or  inhuman 
treatment  or  punishment  committed  in  detention  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. 

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Article 8 
Criteria for granting export authorisations for end-use by  
end-users other than law enforcement authorities 

As regards export transactions concerning equipment or a product listed in Annex III, 
which  is  destined  for  end-users  other  than  law  enforcement  authorities,  the  competent 
authority  shall  not  grant  any  authorisation,  if  it  is  not  satisfied  that  the  following 
conditions are met: 

(a) 

(b) 

(c) 

1. 

the end-user needs such equipment or product for a legitimate purpose; 

the  end-user  undertakes  to  refrain  from  making  such  equipment  or  product 
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 

there are no reasonable grounds to suspect or believe that the end-user has been 
participating  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. 

Article 129 
Authorisations for export supply of services 

In deciding whether or not to grant an authorisation for services referred to in 
Article 5(2), the competent authority 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 supply 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  punishment  of  equipment  and  products 
listed in Part B of Annex III. 

2. 

The  competent  authority  shall  not  grant  any  authorisation  for  the  supply  to  a 
law  enforcement  authority  in  a  third  country  of  services  referred  to  in  Article 
5(2), if  

(a) 

(b) 

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; 

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 

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(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  shall  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  Article  5(2),  if  it  is  not  satisfied  that  the 
following conditions are met: 

(a) 

(b) 

(c) 

the natural or legal person concerned needs the equipment or product to 
which the services relate for a legitimate purpose; 

the natural or legal person concerned undertakes to refrain from making 
the advice, working knowledge or skills 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 

there are no reasonable grounds to suspect or believe that the natural or 
legal person concerned has been participating 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. 

A competent authority shall refrain from granting an authorisation for the activities 
referred  to  in  Article  5(2)(a),  if  the  export  transactions  or  the  provision  of  services 
implementing the contract or agreement which the applicant intends to negotiate or 
arrange,  would  not  be  authorised  in  accordance  with  this  Regulation,  assuming, 
where necessary, that such implementing export transaction or provision of services 
would be subject to the jurisdiction of the Community. 

A competent authority shall refrain from granting an authorisation for the activities 
referred to in Article 5(2)(b), if the equipment to which the services relate, would not 
be authorised for export from the Community to the end-user concerned, assuming, 
where necessary, that such export transaction would be subject to the jurisdiction of 
the Community. 

1. 

2. 

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 Articles 3, 4 and 5 may be granted only by the competent 
authority of the Member State where the applicant has established his business 

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2. 

3. 

1. 

2. 

3. 

or,  if  the  business  has  not  been  established  under  the  law  of  a  Member  State, 
where  the  applicant  has  a  fixed  establishment  or,  in  the  absence  thereof,  his 
permanent address or usual residence. 

Applicants  shall  supply  the  competent  authority  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) 

information  on  the  shipment  route  and  intermediaries  in  so  far  as 
available. 

Within two months of receipt of the application, the competent authority shall 
either  request  any  additional  information  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  decision,  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 

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 falsification by mechanical or chemical means. 
Member States shall be responsible for having the forms printed. 

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 obligation to provide a statement signed by the 
end-user or acceptance of a commitment not to re-export. 

Unless an authorisation for export or import transactions stipulates otherwise, 
only  the  applicant  shall  have  the  right  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. 

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4. 

The competent authority may annul or suspend an authorisation it has granted, 
or  amend  the  requirements  and  conditions  to  which  such  authorisation  is 
subject, if  

(a) 

the decision to grant an authorisation was made on the basis of incorrect 
or incomplete information and  

–  the  applicant  knew  or  should  reasonably  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 purpose stated in the application. 

When completing customs formalities, the exporter or importer shall submit the 
duly  completed  form  set  out  in  Annex  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 translation into such official language. 

If  a  customs  declaration  is  made  concerning  equipment  or  products  listed  in 
Annexes  II  or  III,  and  it  is  confirmed  that  no  authorisation  has  been  granted 
pursuant  to  this  Regulation  for  the  intended  export  or  import  transaction,  the 
customs  authorities  shall  seize  the  equipment  or  products  declared  and  draw 
attention  to  the  possibility  to  apply  for  an  authorisation  pursuant  to  this 
Regulation.  If  no  application  for  an  authorisation  is  made  within  a  reasonable 
period of time after the seizure, or if the competent authority dismisses such an 
application,  they  shall  dispose  of  the  seized  equipment  or  products  in 
accordance with applicable national legislation. 

Article 12 
Notification and consultation requirement 

The authorities of the Member States, as listed 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  application  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. 

The competent authority shall 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 supply 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  authorisation  should,  nevertheless,  be 
granted. 

5. 

6. 

1. 

2. 

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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 IVV 

General and final provisions 

1. 

2. 

1. 

Article 13 
Amendment of Annexes data regarding competent authorities 

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 the 
Commission on the basis of information supplied by the Member States. 

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 

The  Commission  and  the  Member  States  shall  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 the policies and practices of third countries concerning 
capital  punishment  and  torture  and  other  cruel,  inhuman  or  degrading 
treatment; 

(d) 

information  in  respect  of  violation  and  enforcement  problems  and  judgments 
handed down by national courts. 

A competent authority, which receives an application for an authorisation referred to 
in Article 6, shall provide a summary of the application to the competent authorities 
of the other Member States and the Commission within two 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  authorisation,  and  of  any  conditions  that  it  considers 
appropriate. 

If a reasoned objection is raised by a Member State or the Commission within two 
weeks  of  receipt  of  the  summary  of  the  application,  the  competent  authority 
concerned may make a new proposal within one week. 

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If the competent authority fails to make a new proposal, or if a reasoned objection is 
raised  by  a  Member  State  or  by  the  Commission  in  respect  of  any  new  proposal 
within one week, the decision on authorisation shall be taken by the Commission in 
accordance with the procedure referred to in Article 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 countries concerned by these applications, 
and on the decisions it has taken on these applications, on interpretation issues that 
have  arisen,  and  on  any  organisational  or  other  problems  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 for the purpose for which it was requested. 

Article 16 
Committee 

1. 

2. 

3. 

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 

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  Article  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  shall  be  set  at  10 
working days. 

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 initiative or at the request of a representative 
of a Member State. 

10 
11 

OJ L 145, 31.5.2001, p. 43. 
OJ L 324, 27.12.1969, p. 25.  

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Article 17 
Penalties 

1. 

2. 

The Member States shall lay down the rules on penalties applicable to infringements 
of the provisions of this Regulation and shall take all measures necessary to ensure 
that  they  are  implemented.  The  penalties  provided  for  must  be  effective, 
proportionate and dissuasive. 

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 

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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 

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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 matters 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 

List of equipment referred to in Articles 3 and 4 

ANNEX I ANNEX II 

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. 

CN code 

Description 

Gallows and guillotines 

Electric  chairs  designed  or  modified  for  the  purpose  of 
execution of human beings (output at least 1 000 V) 

ex 4421 90 98 
ex 8208 90 00 

ex 8543 89 95 
ex 9401 79 00 
ex 9401 80 00 
ex 9402 10 00 
ex 9402 90 00 

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 execution 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  systems  designed  or  modified  for 
the 
the  purpose  of  execution  of  human  beings  by 

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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 V1 000 V 

ex 7326 90 98 97 
ex 8301 50 00 
ex 3926 90 99 

Leg-irons, gang-chains and shackles, designed for restraining 
human  beings,  except  ordinary  handcuffs.  Ordinary 
handcuffs  are  handcuffs  which  for  which  have  an  the 
overall  dimension  including  chain,  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 bracelets, designed for restraining 
human  beings,  having  a  minimum 
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 modified for any of the above 

List of equipment and products referred to in Article 5 

ANNEX II ANNEX III 

Equipment and products that could be used for the purpose of capital punishment 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 

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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 

ex 8424 20 00 
ex 9304 00 00 

Portable devices designed or modified 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) 

Portable devices designed or modified for the purpose of riot 
the  administration  of  an 
control  or  self-protection  by 
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 (Phenylacyl 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) 

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ANNEX III 

List of competent authorities 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) 

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1 

EUROPEAN COMMUNITY 

1.  Applicant (full name, address and nature of 

business13) 

)
e
r
u
t
r
o
T
(
4
0
0
2
_
_
_
o
N

/

5.  Other  person(s)  authorised 

this 
authorisation (full name, address and nature of 
business2) 

to  use 

AUTHORISATION 
― 
REGULATION (EC) No ___/2004 
(IMPORT OR EXPORT) 12 

2. Authorisation No 

3. Expiry date14 

4. Issuing authority15 

2 __ __ __ / __ __ / __ __ 

6. Consignee (full name and address) 

)

C
E

l

(
n
o
i
t
a
u
g
e
R
n
o
i
t
a
s
i
r
o
h
t
u
A

7.  Country  where  the  equipment  or  products  are 

located 16 

10. End-user (full name and address) 

8.  Country of destination5 

9.  Member State where a customs procedure will 

take place 

11. Description of item(s) 17 18 

12. CN code7 

13. Quantity7 

1 

14. Specific requirements and conditions7  

15. The undersigned certifies that, pursuant to Article 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  export  transaction/an  import  transaction  (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 
13 
14 

15 
16 

17 
18 

This form should not be used to authorise the supply of technical assistance and brokering services. 
Please specify in relation to the items at 11: manufacturer, importer, exporter, transporting firm or other. 
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).  
See Annex I to Regulation (EC) No …/2004. See also Article 2(h). 
Please use the country codes established pursuant to Council Regulation (EC) No 1172/1995, OJ L 118, 25.5.1995, 
p. 10. See Commission Regulation (EC) No 1779/2002, OJ L 296, 5.10.2002, p. 6. 
Please include data on packaging and value of the equipment and products concerned. 
Please continue the description in one or more attachments to this form (page 1a), if necessary. 

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1a 

EUROPEAN COMMUNITY 

ATTACHMENT TO 

1.  Applicant (full name, address and nature of 

business2) 

AUTHORISATION ― 
REGULATION (EC) No ___/2004 
(IMPORT OR EXPORT)1 

2. Authorisation No 

3. Expiry date3 

2 __ __ __ / __ __ / __ __ 

4. Issuing authority4 

11. Description of item(s) 6 

12. CN code 

13. Quantity 

)
e
r
u
t
r
o
T
(
4
0
0
2
_
_
_
o
N

/

)

C
E

l

(
n
o
i
t
a
u
g
e
R
n
o
i
t
a
s
i
r
o
h
t
u
A

1a 

14. Specific requirements and conditions 

15. The undersigned certifies that, pursuant to Article 11(1) of Regulation (EC) No ___/2004 and subject 
to the requirements, conditions and procedures set out in page 1 of the authorisation and in this attachment, 
the  competent  authority  at  4  has  authorised  an  export  transaction/an  import  transaction  (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  AUTHORISATION  if  it  is  not  accompanied  by  a  duly  completed 
PAGE 1 entitled “Authorisation ― Regulation (EC) No …/2004 (Import or Export)”. 

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