Proposal for a Regulation (EU) No …/… of the European Parliament and of the Council implementing Article 10 of the United Nations’ Firearms Protocol and establishing export authorisation, import and transit measures for firearms, their parts and components and ammunition SEC(2010)663 SEC(2010)662
Date: 2010-05-31
Institutions: European Commission
Subjects: export licence, fight against crime, firearms and munitions, illicit trade, import licence, industrial manufacturing, protocol to an agreement

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EUROPEAN COMMISSION 

Brussels, 31.5.2010 
COM(2010)273 final 

2010/0147 (COD) 

Proposal for a 

REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

implementing Article 10 of the United Nations’ Firearms Protocol and establishing 
export authorisation, import and transit measures for firearms, their parts and 
components and ammunition 

SEC(2010)663 
 SEC(2010)662 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

Specifically,  Union  action  is  needed  to  complete  the  process  of  transposition  into  Union 
(formerly  Community1)  legislation  of  the  provisions  of  the  ‘Protocol  against  the  Illicit 
Manufacturing of and Trafficking in Firearms, their Parts and Components and Ammunition2, 
supplementing  the  United  Nations  Convention  against  Transnational  Organised  Crime’, 
hereinafter referred to as the ‘UN Firearms Protocol’ or ‘UNFP’.  

In its Communication of 18 July 2005 on measures to ensure greater security in explosives, 
detonators, bomb-making equipment and firearms3, the Commission made clear the need and 
intention to implement Article 10 of the UNFP as part of the overall transposition work4 that 
would allow the Commission to meet its obligation to make a proposal for conclusion of the 
UNFP  on  behalf  of  the  Union,  which  represents  one  of  the  principal  aims  of  the 
Commission’s current policy on firearms. 

The present legislative proposal is aimed at finalising that work, by transposing the relevant 
provisions  of  Article  10  UNFP  on  ‘General  requirements  for  export,  import  and  transit 
licensing or authorization systems’. 

•  General context 

As  authorised  by  the  Council,  the  Commission  negotiated  on  behalf  of  the  European 
Community  the  articles  of  the  UNFP  falling  within  Community  competence  and  eventually 
signed it on 16 January 2002 on behalf of the European Community5. 

The  Council  and  Commission  Action  Plan  implementing  the  Hague  Programme  on 
strengthening freedom, security and justice in the European Union6 listed among its relevant 
actions a proposal on the conclusion — on behalf of the European Community — of the UN 
Firearms  Protocol.  The  successor  Stockholm  Programme  for  ‘an  open  and  secure  Europe, 
serving and protecting citizens’7 highlights trafficking in arms as one of the illegal activities 
that continue to challenge the internal security of the EU and reaffirms that the Union should 
continue  to  promote  ratification  of  international  Conventions  (and  their  Protocols),  in 
particular those developed under the auspices of the United Nations.  

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4 

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7 

When historical reference is made to the ‘European Community’ the reader should bear in mind that the 
European Union replaced and succeeded the European Community on the date of entry into force of the 
‘Lisbon Treaty’ on 1 December 2009, pursuant to Article 1 third paragraph of the Treaty on European 
Union (OJ C115 of 9 May 2008, p. 13). 
http://treaties.un.org/Pages/ViewDetails.aspx?src=TREATY&mtdsg_no=XVIII-12-
c&chapter=18&lang=en 
COM(2005) 329 final. 
Work that included the update of Directive 91/477/EEC on possession and transfers of firearms within 
the  EU,  as  amended  by  Directive  2008/51/EC,  addressing  other  parts  of  the  UNFP  from  the  internal 
market perspective. 
Council Decision 2001/748/EC of 16 October 2001 (OJ L 280 of 24 October 2001). 
OJ C 198, 12.8.2005, point 4.2, International legal Order, (o), p.20. 
EU Council Document 17024/09, CO EUR-PREP 3 JAI 896 POLGEN 229 of 2 December 2009. 

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Article  207  of  the  Treaty  on  the  Functioning  of  the  European  Union  (TFEU)8  provides  the 
legal basis for the envisaged proposal. (common commercial policy, an exclusive competence 
of  the  Union  according  to  Article  3  TFEU,  within  which  Article  10  UNFP  provisions  fall). 
The proposal applies only to firearms, their parts and essential components and ammunition 
for  civilian  use  and  not  to  firearms  that  are  intended  specifically  for  military  purposes. 
Pursuant to Article 207 of the Treaty on the Functioning of the European Union, the common 
commercial  policy  should  be  based  on  uniform  principles,  inter  alia  as  regards  exports. 
Common rules should therefore be established for exports from the Union. 

This proposal only addresses trade in/transfers of firearms to third countries and consequently 
does not concern intra-Community transfers of firearms, their parts and essential components 
and ammunition. 

•  Existing provisions in the area of the proposal 

There  are  no  existing  EU  provisions  in  the  area  of  the  proposal  (common  commercial 
policy).9 

•  Consistency with the other policies and objectives of the Union 

Conclusion  of  the  UNFP  by  the  European  Union  is  still  pending  and  represents  an 
international  commitment  for  the  EU.  The  action  ties  in  with  the  current  EU  policies  on 
measures  to  counter  transnational  crimes,  stepping  up  the  fight  against  illicit  trafficking  in 
firearms  —  including  export  control  and  tracing  —  and  on  measures  aimed  at  reducing  the 
proliferation and spread of small arms around the world. 

2. 

RESULTS  OF  CONSULTATION  WITH  THE  INTERESTED  PARTIES  AND 
IMPACT ASSESSMENT 

•  Consultation of interested parties 

Consultation methods, main sectors targeted and general profile of respondents 

The  stakeholders  were  consulted  by  means  of  questionnaires  and  invitations  to  meetings 
addressed  to  Member  States  and  interested  private  parties  (representatives  of  European 
associations of manufacturers of firearms and ammunition for civilian use, those engaged in 
civil  commerce  of  weapons,  hunters,  collectors,  NGOs,  research  institutions,  etc.),  the 
opening  of  a  specific  e-mail  account  (JLS-FIREARMS@ec.europa.eu)  for  permanent 
consultation  and  an  external  study  to  support  the  preparation  of  the  Impact  Assessment. 
Moreover, an ‘Inter-Service group’ was established within the Commission. 

Summary of responses and how they have been taken into account 

Member  States  and  NGOs  agreed  that  implementing  Article  10  would  be  useful  for 
preventing  diversion  of  firearms  from  the  legal  market  to  the  illegal  market.  The  private 
parties argued that Member States already had strict regulations covering this aspect and were 
concerned  about  possible  negative  consequences  for  small  and  medium-sized  enterprises. 

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OJ, C115 of 9 May 2008, p 47. 
From the Internal Market perspective, Directive 91/477 is applicable to transfers within the EU (see also 
footnote 4). 

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Many  private  stakeholders  were  concerned  in  particular  that  the  transit  measures  and  the 
possible non-cooperation of a transit State could delay all procedures. All private stakeholders 
were of the opinion that simplified procedures should be used for temporary export or import 
of  firearms.  There  was  no  consensus  on  the  activities  to  which  the  simplified  procedures 
should  apply.  According  to  some  of  the  Member  States  and  NGOs,  simplified  procedures 
should be limited to hunters and sport shooters only (while the UNFP includes consideration 
also for other activities such as exhibitions or repairs). Authorizations for multiple shipments 
and  maximum  duration  for  processing  requests  for  licences  were  seen  as  an  advantage  by 
private parties and NGOs.  

The  Commission  has  considered  the  opinions  expressed  by  public  and  private  stakeholders. 
This  proposal  is  designed  to  bring  about  a  higher  degree  of  security/effectiveness  and 
efficiency.  The  combination  of  the  two  aspects  is  also  based  on  the  outcomes  of  the 
stakeholders’ consultation. 

•  Collection and use of expertise 

Scientific/expertise domains concerned 

Article 10 of the UN Firearms Protocol is part of an international instrument whose provisions 
were  previously  approved  by  the  Community  at  the  time  of  the  negotiations  and  at  a  later 
stage by means of signature of the Protocol. 

Methodology used 

Questionnaire to Member States and private stakeholders and NGOs, two separate meetings 
with representatives of Member States and private stakeholders, questionnaires in connection 
with an external study, opening of a specific e-mail account (JLS-FIREARMS@ec.europa.eu) 
for permanent consultation.  

Main organisations/experts consulted 

The  questionnaire  and  invitations  to  meetings  were  sent  to  the  relevant  national  authorities, 
representatives  of  European  associations  of  manufacturers  of  firearms  and  ammunitions  for 
civilian use, those engaged in civil commerce of weapons, hunters, collectors, NGOs, research 
institutions  and  other  European  Associations  (Chambers  of  Commerce;  Industries;  Craft, 
Small and Medium- sized Enterprises).  

Summary of advice received and used 

Besides  what  reported  under  ‘Summary  of  responses  and  how  they  have  been  taken  into 
account’, it is appropriate to further specify here the following. 

One  solution  advocated  during  the  consultation  was  to  use  tacit  consent  for  the  transit 
measures, which private stakeholders were in favour of while some Member States and NGOs 
were not.  

There was in essence unanimity on the fact that the burden to acquire the required information 
(import authorisation and notice of no objection to transit) should be on the private parties.  

The  possibility  of  hunters/sport  shooters  using  the  European  Firearms  Pass  and  an  official 
invitation to an event outside the EU was also suggested. 

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This proposal in particular takes into account the need for simplified measures for temporary 
export, mitigation of the possible negative impact of the transit measures required by the UN 
Firearms  Protocol  by  making  in  particular  use  of  tacit  consent  under  certain  conditions,  the 
use  of  multiple  authorisations  for  multiple  shipments  and  the  maximum  duration  of  the 
process  for  issuing  the  authorisation.  At  the  same  time  this  proposal  takes  into  account  the 
existing practices of the Member States.  

Means used to make the expert advice publicly available 

Impact Assessment accompanying this proposal.  

•  Impact Assessment 

The Impact Assessment accompanying this proposal developed four policy options.  

Policy  option  1  was  to  refrain  from  taking  EU  action.  This  was  identified  as  a  theoretical 
option  due  both  to  the  legal  international  obligation  entered  into  by  the  Community  (now 
Union) by means of signature of the Protocol and to the lack of uniform principles in a matter 
falling under the common commercial policy, an exclusive competence of the Union.  

The other three policy options were selected according to their focus on security or efficiency, 
where  efficiency  means  the  extent  to  which  objectives  can  be  achieved  for  a  given  level  of 
resources or at the least possible cost. In this case, efficiency refers to keeping the burden to a 
minimum for private parties and national administrations. 

Policy  option  2  aimed  at  optimal  achievement  of  the  objective  of  contributing  to  the 
improvement of security with regard to export, import and transit of firearms for civilian use 
and prevention of possible diversion from the legal market.  

Policy  option  3  aimed  to  achieve  efficient  implementation  of  Article  10  of  the  UNFP  for 
private parties. 

Policy option 4 focused on efficiency for national administrations.  

Option  3  was  the  preferred  one  and  is  reflected  in  this  proposal.  It  fulfils  the  objectives  of 
implementing  Article  10  UNFP  in  the  most  comprehensive  manner  and  is  the  best  way 
forward  by  combining  the  ‘shall’  (i.e.  mandatory)  provisions  —  adapted  to  the  type  of 
products  (for  civilian  use)  —  with  the  ‘may’  (i.e.  optional)  ones,  which  would  match 
stakeholders’ legitimate expectations. 

It combines different aspects of the various policy options on the basis of the main advantages 
and disadvantages identified for each one of them, in order to achieve a higher degree of both 
effectiveness  and  efficiency.  This  combination  of  effectiveness/security  and  efficiency 
appears to offer the highest potential for significant benefits for the interest groups involved 
and is — among other things — based on the outcomes of the stakeholders’ consultation. 

The envisaged simplified procedure for temporary exports for ‘verifiable lawful purposes’ and 
in particular the proposed transit measures will reduce the possible administrative burdens for 
those lawful purposes listed by the UNFP itself.  

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With regard to the specific issue of the proposed tacit consent, it was structured with the aim 
of balancing the interest in speeding up the process (business) with that of ensuring a feasible 
deadline for allowing the transit State to react (security). 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

Article 10 of the UNFP on ‘General requirements for export, import and transit licensing or 
authorisation systems’ requires ‘each State Party to establish or maintain an effective system 
of  export  and  import  licensing  or  authorisation,  as  well  as  of  measures  on  international 
transit,  for  the  transfer  of  firearms,  their  parts  and  components  and  ammunition’,  thereby 
improving scrutiny of transfers and allowing better enforcement of laws. 

Article  10  UNFP  is  based  on  the  principle  that  firearms  and  related  items  should  not  be 
transferred between States without the awareness and consent of all States involved. Firearms 
should  not  be  exported  to  or  through  countries  that  have  not  authorised  the  transfer.  The 
content  of  the  documents  used  for  legal  export  and  import  should  be  sufficient  to  ensure 
tracing.  Besides  the  above-mentioned  ‘Shall’  provisions,  Article  10  UNFP  also  allows  the 
Parties  to  adopt  simplified  procedures  for  temporary  export,  import  and  transit  of  small 
numbers of firearms for ‘verifiable lawful purposes’, such as recreational, repair, exhibition. 
The latter are referred to as ‘May’ provisions. 

Chapter I of this proposal addresses ‘Subject, Definition and Scope’. Definitions (Article 2) 
take  into  account  —  where  appropriate  —  the  parallel  provisions  of  the  UN  Firearms 
Protocol, but are tailored to or directly invoke other existing EU legislation, for the sake of 
clarity:  for  example,  the  definitions  of  firearms,  parts  and  essential  components  and 
ammunition mirror those of Directive 91/477 or direct reference is made to the Community 
Customs Code. Article 3 lists the specific exceptions to which the Regulation does not apply.  

Chapter  II  deals  with  ‘export  authorisation,  procedures  and  controls’.  The  relevant  articles 
transpose the concepts mandatorily established by Article 10 UNFP. Article 4 establishes the 
general obligation for requiring export authorisation, refers to the list of products to which the 
proposal applies (in Annex to the proposal) and provides for updates. Articles 5 and 6 on the 
conditions for issuing the export authorisation also include some of the mitigation measures 
resulting  from  the  advice  received  from  stakeholders  during  the  consultation,  for  example: 
maximum  processing  period,  possible  use  of  electronic  documents  and  tacit  consent  for 
transit. Articles 11 and 12 address respectively the correspondent provisions of Article 10(4) 
and  (5)  UNFP  on  verification  of  the  authorisation  procedure.  Article  7  concerns  simplified 
procedures  for  verifiable  lawful  purposes  for  temporary  exports,  implementing  the  non-
binding  provision  of  Article  10(6)  UNFP.  This  chapter  also  includes  provisions  on  general 
criteria  to  be  taken  into  account  by  Member  States  when  assessing  a  request  for  export 
authorisation (Articles 8 and 9) and on powers of national competent authorities (Article 13), 
which are similar to those laid down in other commercial policy legislation, namely the ‘Dual 
Use’ Regulation10. Article 10 focuses on the need for record-keeping. Article 14 reproduces a 
standard formula on penalties.  

10 

OJ L 134 of 29.5.2009, p 1. 

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Chapter III, on ‘customs procedures’ (Articles 15 and 16), and Chapter IV on ‘administrative 
cooperation’ (Article 17), include standard provisions commonly used in a commercial policy 
instrument. 

Chapter  V  refers  to  ‘general  and  final  provisions’.  Besides  the  establishment  of  a 
Coordination Group (Article 18), it includes in particular a review clause (Article 19(3)), and 
provisions on the entry into force of the Regulation (Article 20).  

•  Legal basis 

Article 207 of the Treaty on the Functioning of the European Union. 

•  Subsidiarity principle 

The  proposal  falls  under  the  exclusive  competence  of  the  Union.  The  subsidiarity  principle 
therefore does not apply. 

•  Proportionality principle 

The proposal complies with the proportionality principle for the following reason(s): 

Proportionality is ensured by limiting the content of the proposed option to the provisions of 
Article  10  UNFP,  which  previously  received  EU  approval  during  the  negotiations  on  the 
Protocol.  On  the  whole,  this  proposal  does  not  go  beyond  what  is  necessary  to  achieve  the 
objective.  Besides  standard  provisions  of  a  commercial  policy  nature,  in  order  to  take  into 
account  the  concerns  and  comments  of  private  stakeholders  the  proposal  implements  the 
‘May’  provisions  of  Article  10  UNFP,  plus  others  aimed  at  reducing  the  burden  of 
administrative rules, in particular those related to the transit measures.  

•  Choice of instruments 

Proposed instrument: Regulation. 

Other  means  would  not  be  adequate.  A  Regulation  is  the  legislative  instrument  foreseen  by 
Article 207(2) for commercial policy matters.  

4. 

BUDGETARY IMPLICATION 

The proposal has no implication for the Union budget. 

5. 

OPTIONAL ELEMENTS 

•  Review/revision/sunset clause 

The proposal includes a review clause. 

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2010/0147 (COD) 

Proposal for a 

REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

of[…] 

implementing Article 10 of the United Nations’ Firearms Protocol and establishing 
export authorisation, import and transit measures for firearms, their parts and 
components and ammunition 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 207 thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

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In  accordance  with  Council  Decision  2001/748/EC  of  16  October  200111  concerning 
the  signing  on  behalf  of  the  European  Community12  of  the  United  Nations  Protocol 
against  the  illicit  manufacturing  of  and  trafficking  in  firearms,  their  parts  and 
components  and  ammunition,  supplementing  the  United  Nations  Convention  against 
transnational  Organised  Crime,  the  Commission  signed  that  Protocol  (hereinafter 
referred to as the ‘UN Firearms Protocol’ or ‘UNFP’) on behalf of the Community on 
16 January 2002. 

The UN Firearms Protocol - the purpose of which is promote, facilitate and strengthen 
cooperation among States Parties in order to prevent, combat and eradicate the illicit 
manufacturing  of  and  trafficking  in  firearms,  their  parts  and  components  and 
ammunition - entered into force on 3 July 2005. 

In order to facilitate the tracing of firearms and efficiently combat illicit trafficking in 
firearms,  their  parts  and  ammunition,  it  is  necessary  to  improve  the  exchange  of 
information between Member States. 

OJ L 280 of 24.10.2001, p.5. 
The European Union replaced and succeeded the European Community on 1 December 2009, date of 
entry  into  force  of  the  Treaty  on  European  Union,  pursuant  to  Article  1,  third  paragraph  thereof  (OJ 
C115 of 9 May 2008, p. 13). 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Personal data must be processed in accordance with the rules laid down in Directive 
95/46/EC of the European Parliament and of the Council of 24 October 1995 on the 
protection  of  individuals  with  regard  to  the  processing  of  personal  data  and  on  the 
movement of such data13 and Regulation (EC) No 45/2001 of the European Parliament 
and of the Council of 18 December 2000 on the protection of individuals with regard 
to the processing of personal data by the Community institutions and bodies and on the 
free movement of such data14.  

In its Communication on measures to ensure greater security in explosives, detonators, 
bomb-making  equipment  and  firearms15,  the  Commission  announced  its  intention  to 
implement Article 10 of the UN Firearms Protocol as part of the measures which need 
to be taken in order for the Union to be in the position to conclude that Protocol.  

The UN Firearms Protocol requires all parties in particular to put in place or improve 
administrative  procedures  or  systems 
the 
manufacturing, marking, import and export of firearms.  

to  exercise  effective  control  over 

Compliance with the UN Firearms Protocol also requires that the illicit trafficking in 
firearms their parts and components or ammunition be established as criminal offences 
and that measures be taken to enable their confiscation. 

This Regulation should not apply to firearms, their parts and essential components or 
ammunition that are intended specifically for military purposes. The need to meet the 
requirements of Article 10 of the UN Firearms Protocol should be adapted to provide 
for simplified procedures for firearms for civilian use. Consequently, some facilitation 
with  regard  to  authorisation  for  multiple  shipments,  transit  measures  and  temporary 
exports for lawful purposes should be ensured.  

This  Regulation  does  not  affect  the  application  of  Article  346  of  the  Treaty  on  the 
Functioning of the European Union, which refers to essential interests of the security 
of  the  Member  States,  and  has  no  impact  to  Directive  2009/43/EC  of  the  European 
Parliament  and  of  the  Council  simplifying  terms  and  conditions  of  transfers  of 
defence-related  products  within  the  Community16.  Moreover,  the  UN  Firearms 
Protocol and consequently this Regulation do not apply to State-to-State transactions 
or to State transfers in cases where the application of the Protocol would prejudice the 
right of a State Party to take action in the interest of national security consistent with 
the Charter of the United Nations. 

(10)  Council  Directive  91/477/EEC  of  18  June  1991  on  control  of  the  acquisition  and 
possession  of  weapons17  addresses  transfers  of  firearms  for  civilian  use  within  the 
territory  of  the  Union  while  this  Regulation  focuses  on  measures  in  respect  of 
movements from the territory of the European Union to or through third countries. 

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17 

OJ L 281, 23.11.1995, p. 31. 
OJ L 8, 12.1.2001, p. 1. 
COM  (2005)  329  final.  The  Communication  also  announced  the  technical  modification  of  Directive 
91/477  aimed  at  integrating  the  appropriate  provisions  required  by  the  UN  Protocol  as  regards  intra-
Community transfers of weapons concerned by the Directive, finally amended by Directive 2008/51/EC 
published on OJ.L 179, 8.7.2008, p 5. 
OJ L 146, 10.6.2009, p.  
OJ L 256, 13.9.1991, p.51 

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(11)  Firearms,  their  parts  and  essential  components  and  ammunition  when  imported  from 
third countries are subject to Union legislation and, in particular, to the requirements 
of Council Directive 91/477/EEC. 

(12)  Consistency should be ensured with regard to record-keeping provisions in force under 

Union legislation. 

(13) 

In order to ensure that this Regulation is properly applied, each Member State should 
take measures giving the competent authorities appropriate powers.  

(14)  For reasons of expediency, the Commission should be empowered to maintain the list 
of  firearms,  their  parts  and  essential  components  and  ammunition  for  which  an 
authorisation  is  required  under  this  Regulation  and  to  amend  it  on  the  basis  of  any 
subsequent  amendment  to  Annex  I  to  Council  Regulation  (EEC)  No  2658/87  of  23 
July  1987  on  the  tariff  and  statistical  nomenclature  and  on  the  Common  Customs 
Tariff18. 

(15)  The  Union  has  adopted  a  body  of  customs  rules,  contained  in  Council  Regulation 
(EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code19 
and  its  implementing  provisions  as  laid  down  in  Commission  Regulation  (EEC)  No 
2454/9320. Consideration should also be given to Regulation (EC) No 450/2008 of the 
European Parliament and of the Council of 23 April 2008 laying down the Community 
Customs  Code  (Modernised  Customs  Code)21  whose  provisions  are  applicable  in 
different phases according to its Article 188. Nothing in this Regulation constrains any 
powers  under  and  pursuant  to  the  Community  Customs  Code  and  its  implementing 
provisions. 

(16)  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 
should be effective, proportionate and dissuasive. 

(17)  This  Regulation  is  without  prejudice  to  the  Union  regime  for  the  control  of  exports, 
transfer,  brokering  and  transit  of  dual-use  items  established  by  Council  Regulation 
(EC) No 428/2009 of 5 May 200922.  

(18)  The  Commission  and  the  Member  States  should  inform  each  other  of  the  measures 
taken  under  this  Regulation  and  other  relevant  information  at  their  disposal  in 
connection with this Regulation.  

HAVE ADOPTED THIS REGULATION: 

CHAPTER I  

SUBJECT, DEFINITIONS AND SCOPE 

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OJ L 256, 7.9.1987, p.1. 
OJ L 302, 19.10.1992, p. 1. 
OJ L 253, 11.10.1993, p. 1. 
OJ L 145, 4.6.2008,p.1  
OJ L 134, 29.5.2009, p.1. 

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Article 1 

This  Regulation  lays  down  rules  governing  export  authorisation,  and  import  and  transit 
measures for firearms, their parts and essential components and ammunition, for the purpose 
of implementing Article 10 of the United Nations Protocol against the Illicit Manufacturing of 
and  Trafficking  in  Firearms,  Their  Parts  and  Components  and  Ammunition,  supplementing 
the United Nations Convention against Transnational Organised Crime (hereinafter referred to 
as" the UN Firearms Protocol"). 

For the purposes of this Regulation:  

Article 2 

1. 

‘firearm’  means  any  portable  barrelled  weapon  that  expels,  is  designed  to  expel  or 
may be converted to expel a shot, bullet or projectile by the action of a combustible 
propellant. 

An  object  is  considered  as  capable  of  being  converted  to  expel  a  shot,  bullet  or 
projectile by the action of a combustible propellant if:  

2. 

3. 

4. 

— it has the appearance of a firearm, and  

— as a result of its construction or the material from which it is made, it can be so 
converted; 

‘parts  and  essential  components’  means  any  element  or  replacement  element 
specifically designed for a firearm and essential to its operation, including a barrel, 
frame or receiver, slide or cylinder, bolt or breech block, and any device designed or 
adapted to diminish the sound caused by firing a firearm.  

‘Essential  component’  means  the  breach-closing  mechanism,  the  chamber  and  the 
barrel of a firearm which, being separate objects, are included in the category of the 
firearms on which they are or are intended to be mounted; 

‘ammunition’  means  the  complete  round  or  the  components  thereof,  including 
cartridge  cases,  primers,  propellant  powder,  bullets  or  projectiles  that  are  used  in  a 
firearm,  provided  that  those  components  are  themselves  subject  to  authorisation  in 
the relevant Member State; 

‘deactivated  firearms’  means  objects  corresponding  to  the  definition  of  a  firearm 
which have been rendered permanently unfit for use by deactivation, ensuring that all 
essential  parts  of  the  firearm  have  been  rendered  permanently  inoperable  and 
incapable of removal, replacement or modification that would permit the firearm to 
be reactivated in any way; 

5. 

‘export’ means: 

(i) an export procedure within the meaning of Article 161 of Regulation (EEC) No 
2913/92; 

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6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

(ii) a re-export within the meaning of Article 182 of Regulation (EEC) No 2913/92 
but not including items in transit;  

‘exporter’ means any natural or legal person on whose behalf an export declaration is 
made,  that  is  to  say  the  person  who,  at  the  time  when  the  declaration  is  accepted, 
holds  the  contract  with  the  consignee  in  the  third  country  and  has  the  power  for 
determining the sending of the item out of the customs territory of the Union. If no 
export contract has been concluded or if the holder of the contract does not act on its 
own behalf,  the  exporter  shall mean  the  person who has the power for determining 
the sending of the item out of the customs territory of the Union; 

Where  the  benefit  of  a  right  to  dispose  of  firearms,  their  parts  and  essential 
components  or  ammunition  belongs  to  a  person  established  outside  the  Union 
pursuant  to  the  contract  on  which  the  export  is  based,  the  exporter  shall  be 
considered to be the contracting party established in the Union;  

‘customs territory of the Union’ means the territory within the meaning of Article 3 
of Regulation (EEC) No 2913/92; 

‘export declaration’ means the act whereby a person indicates in the prescribed form 
and manner his intention to place firearms, their parts and essential components, and 
ammunition under an export procedure; 

‘temporary export’ means the movement of firearms leaving the customs territory of 
the Union and intended for re-importation.  

‘transit’  means  the  operation  of  transport  of  goods  leaving  the  customs  territory  of 
the Union and passing through the territory of one or more third countries with final 
destination in another third country; 

‘transhipment’  means  transit  involving  the  physical  operation  of  unloading  goods 
from the importing means of transport followed by reloading, generally onto another 
means of transport; 

‘export authorisation’ means an authorisation granted to one specific exporter for one 
end  user  or  consignee  in  a  third  country  and  covering  one  or  more  firearms,  their 
parts and components and ammunition; 

‘multiple  export  authorisation’  means  an  authorisation  granted  to  one  specific 
exporter for multiple shipments to the same end user or consignee in a third country 
and covering one or more firearms, their parts and components and ammunition; 

‘illicit trafficking’ means the import, export, sale, delivery, movement or transfer of 
firearms,  their  parts  and  essential  components  or  ammunition  from  or  across  the 
territory of one Member State to that of a third country, if: 

(i) the Member State concerned does not authorise it in accordance with the terms of 
this Regulation, or 

(ii)  the  firearms  are  not  marked  in  accordance  with  Article  4(1)  of  Directive 
91/477/EEC, or 

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(iii) the imported firearms are not marked at the time of importation at least with a 
simple  marking  permitting  identification  of  the  first  country  of  import  within  the 
European  Union,  or,  where  the  firearm  does  not  bear  such  a  marking,  a  unique 
marking identifying the imported firearms;  

15. 

‘tracing’  means  the  systematic  tracking  of  firearms  and,  where  possible,  their  parts 
and  essential  components  and  ammunition  from  manufacturer  to  purchaser  for  the 
purpose  of  assisting  the  competent  authorities  of  Member  States  in  detecting, 
investigating and analysing illicit manufacturing and trafficking.  

1. 

This Regulation shall not apply to: 

Article 3  

(a) 

(b) 

(c) 

(d) 

State to State transactions or State transfers; 

firearms,  their  parts  and  essential  components  and  ammunition  if  specially 
designed for military use and, in any case, firearms of the fully automatic firing 
type; 

firearms, their parts and essential components and ammunition when destined 
for armed forces, the police, and the public authorities of the Member States;  

collectors and bodies concerned with cultural and historical aspects of firearms, 
their  parts  and  essential  components  and  ammunition  and  recognised  as  such 
by  the  Member  State  in  whose  territory  they  are  established,  provided  that 
tracing measures are ensured; 

(e) 

deactivated firearms; 

(f) 

(g) 

antique  firearms  and  their  replicas  as  defined  in  accordance  with  national 
legislation,  provided 
firearms 
manufactured after 1899; 

firearms  do  not 

that  antique 

include 

shipments by sea and through ports of third countries, provided that there is no 
transhipment or change of means of transport.  

2. 

This  Regulation  is  without  prejudice  to  the  body  of  customs  rules  contained  in 
Council  Regulation  (EEC)  No  2913/92  (Community  Customs  Code)  and 
Commission  Regulation  (EEC)  No  2454/93  (implementing  provisions  of  the 
Community  Customs  Code),  in  Regulation  (EC)  No  450/2008  of  the  European 
Parliament  and  of  the  Council  of  23  April  2008  laying  down  the  "Modernised 
Customs Code" and to the regime for the control of exports, transfer, brokering and 
transit of dual-use items established by Council Regulation (EC) No 428/2009 (Dual 
Use Regulation). 

CHAPTER II 

EXPORT AUTHORISATION, PROCEDURES AND CONTROLS  

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Article 4 

An export authorisation or a multiple export authorisation shall be required for the export of 
firearms,  their  parts  and  essential  components  and  ammunition  listed  in  Annex  I.  Such 
authorisation  shall  be  granted  by  the  competent  authorities  of  the  Member  State  where  the 
exporter is established or is resident. 

The Commission shall amend Annex I on the basis of the amendments to Annex I to Council 
Regulation (EEC) No 2658/87 on the tariff and statistical nomenclature and on the Common 
Customs Tariff. 

1. 

2. 

3. 

4. 

5. 

6. 

1. 

Article 5 

Before issuing an export authorisation or a multiple export authorisation for firearms, 
their  parts  and  components  and  ammunition,  the  Member  State  concerned  shall 
verify that: 

(a) 

(b) 

the importing third country has issued the relevant import authorisation and, 

the third countries of transit, if any, have given notice in writing — and at the 
latest prior to shipment — that they have no objection to the transit. 

If no objections to the transit are received within twenty working days from the day 
of  the  written  request  for  no  objection  to  the  transit  submitted  by  the  exporter,  the 
consulted  third  country  of  transit  shall  be  regarded  as  having  no  objection  and  as 
having given its tacit consent to the transit  

The  exporter shall  supply the  competent  authority of the Member State responsible 
for issuing the export or multiple export authorisation with the necessary documents 
proving that the importing third country has authorised the import and that the transit 
third country had no objection to the transit or has given its tacit consent to it.  

The  Member  States  shall  process  requests  for  exports  authorization  or  multiple 
export  authorization  within  a  period  of  time  to  be  determined  by  national  law  or 
practice, which in all cases shall not exceed ninety working days.  

The period of validity of an export or a multiple export authorisation shall be decided 
by the Member States, but shall not be less than twelve months. 

Member States may decide to make use of electronic documents for the purpose of 
processing the requests for authorisation. 

Article 6  

For the purpose of tracing, the export authorization or multiple export authorisation, 
and the import authorisation and accompanying documentation shall together contain 
information that includes: 

(a) 

the dates of issuance and expiry of authorisations; 

(b) 

the place of issue of authorisations; 

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2. 

1. 

2. 

3. 

4. 

(c) 

the country of export; 

(d) 

the country of import; 

(e) 

(f) 

(g) 

(h) 

whenever applicable, the third countries of transit; 

the consignee;  

the final recipient, if known at the time of the shipment; 

a description and the quantity of the firearms, their parts and components and 
ammunition, including the marking applied to the firearms.  

The information referred to in paragraph 1, if contained in the import authorisation, 
shall be provided by the exporter in advance to the third countries of transit, at the 
latest prior to the shipment.  

Article 7  

The  simplified  procedures  set  out  in  paragraphs  2,  3  and  4  shall  apply  for  the 
temporary export of firearms for verifiable lawful purposes, which include hunting, 
sport shooting, evaluation, exhibitions and repair. 

The  transit  measures  as  established  by  this  Regulation  will  not  apply  to  temporary 
exports.  

When leaving the customs territory of the Union through a point of crossing of the 
external border of the Member State of their residence, for the temporary export of 
one or more firearms during a journey to a third country, hunters and sport shooters 
may produce the European firearms pass pursuant to Articles 1 and 12 of Directive 
91/477/EEC,  a  national  firearms  licence,  a  national  hunting  permit,  or  other  valid 
national  document  issued  by  the  competent  authority  of  the  Member  State  of  their 
residence. 

When leaving the customs territory of the Union through a point of crossing of the 
external  border  of  a  Member  State  other  than  that  of  their  residence,  for  the 
temporary export of one or more firearms during a journey to a third country, hunters 
and  sport  shooters  may  produce  a  valid  European  firearms  pass  issued  pursuant  to 
Articles  1  and  12  of  Directive  91/477/EEC  by  the  competent  authority  of  the 
Member State of their residence. 

The competent authority of the Member State in which the point of crossing of the 
external  border  of  the  Union  is  situated  shall  notify  the  competent  authority  of  the 
Member  State  of  residence  of  the  hunter  or  sport  shooter  that  issued  the  European 
Firearms  pass  of  the  date  of  the  temporary  export,  the  quantity  of  firearms 
temporarily exported and the prospective date of return, as declared by the hunter or 
sport shooter at the time of the temporary export.  

5. 

Hunters  and  sport  shooters  who  intend  to  make  use  of  the  simplified  procedure 
referred to in paragraphs 3 and 4 of this Article shall substantiate the reasons for their 

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journey,  in  particular  by  producing  an  invitation  or  other  proof  of  their  hunting  or 
target shooting activities in the third country of destination.  

Article 8 

1. 

In  deciding  whether  or  not  to  grant  an  export  authorization  or  a  multiple  export 
authorisation  under  this  Regulation,  the  Member  States  shall  take  into  account  all 
relevant considerations including, where appropriate:  

(a) 

(b) 

the obligations and  commitments they  have each accepted  as members  of the 
relevant international export control arrangements, or by ratification of relevant 
international treaties; 

their obligations under sanctions imposed by decisions adopted by the Council 
or  by  a  decision  of  the  Organisation  for  Security  and  Cooperation  in  Europe 
(OSCE)  or  by  a  binding  resolution  of  the  Security  Council  of  the  United 
Nations, in particular on arms embargoes; 

(c) 

considerations of national foreign and security policy, including those covered 
by Council Common Position 2008/944/CFSP23;  

(d) 

considerations about intended end use, consignee and the risk of diversion. 

2. 

In addition to the criteria set out in paragraph 1, when assessing an application for a 
multiple  export  authorisation  Member  States  shall  take  into  consideration  the 
application  by  the  exporter  of  proportionate  and  adequate  means  and  procedures  to 
ensure compliance with the provisions and objectives of this Regulation and with the 
terms and conditions of the authorisation. 

1. 

Member States shall: 

Article 9 

(a) 

refuse  to  grant  an  export  or  a  multiple  export  authorisation  if  the  natural  or 
legal person applying for such authorisation has any previous criminal records 
concerning  illicit  trafficking  in  firearms,  their  parts  and  essential  components 
or ammunition, or to other serious crimes; 

(b) 

annul, suspend, modify or revoke an export or a multiple export authorisation if 
the conditions for granting it are no longer met. 

2. 

Where  Member  States  refuse,  annul,  suspend  or  revoke  an  export  or  a  multiple 
export authorization they shall notify the competent authorities of the other Member 
States  thereof  and  share  the  relevant  information  with  them.  In  case  the  competent 
authorities  of  a  Member  State  have  suspended  an  export  authorization,  the  final 
assessment shall be communicated to the Member States at the end of the period of 
suspension.  

23 

OJ L 335, 13.12.2008, p. 99. 

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3. 

Before  the  competent  authorities  of  a  Member  State,  acting  under  this  Regulation, 
grant an export or multiple export authorisation they shall examine all denials taken 
under  this  Regulation  they  have  been  notified  of  to  ascertain  whether  an 
authorisation has been denied by the competent authorities of another Member State 
or  States  for  an  essentially  identical  transaction  (meaning  an  item  with  essentially 
identical parameters or technical characteristics to the same importer or consignee). 
They  shall  first  consult  the  competent  authorities  of  the  Member  State  or  States 
which issued such denial(s) as provided for in paragraphs 1 and 2. If following such 
consultation  the  competent  authorities  of  the  Member  State  decide  to  grant  an 
authorisation they shall notify the competent authorities of the other Member States, 
providing all relevant information to explain the decision.  

4. 

All information shared in accordance with the provisions of this  Article shall  be in 
compliance  with  the  provisions  of  Article  17,  (2)  concerning  the  confidentiality  of 
such information 

Article 10 

In accordance with their national law or practice in force, Member States shall keep - for not 
less  than  twenty  years  -  all  information  relating  to  firearms  and,  where  appropriate  and 
feasible, their parts and essential components and ammunition, which is necessary to trace and 
identify those firearms, their parts and essential components and ammunition, and to prevent 
and detect illicit trafficking of those products. Such information shall include the place, date 
of issue and expiry of the export authorisation; the country of export; the country of import; 
where applicable, the third country of transit; the consignee; the final recipient if known at the 
time of export; and the description and quantity of the articles, including the marking applied 
to them.  

This  Article  shall  not  apply  to  temporary  exports  effected  by  hunters  and  sport  shooters 
referred to in Article 7.  

Article 11 

1. 

2. 

3. 

Member  States  may  request  the  importing  third  country  to  confirm  receipt  of  the 
dispatched  shipment  of  firearms, 
their  parts  and  essential  components  or 
ammunition.  

Upon request, Member States shall inform the exporting third country of the receipt 
within  the  customs  territory  of  the  Union  of  the  dispatched  shipment  of  firearms, 
their  parts  and  essential  components  or  ammunition.  Such  confirmation  shall  be 
ensured in principle by producing the relevant customs importation documents.  

The first subparagraph shall apply only if the requesting third country of export was 
already a State Party to the UN Firearms Protocol at the time of the exportation to the 
Union.  

Member  States  shall  comply  with  paragraphs  1  and  2  in  accordance  with  their 
national  laws  or  practice  in  force.  In  particular,  with  regard  to  exports  to  third 
countries, the competent authority of the Member State may decide either to address 
the exporter or to contact the importing third country directly.  

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Article 12 

Member  States  shall  -  to  the  extent  possible  -  take  such  measures  as  may  be  necessary  to 
ensure that the authorisation procedures are secure and that the authenticity of authorisation 
documents can be verified or validated. 

Verification and validation may also be ensured where appropriate via diplomatic channels. 

Article 13 

In  order  to  ensure  that  this  Regulation  is  properly  applied,  each  Member  State  shall  take 
necessary and proportionate measures to enable its competent authorities: 

(a) 

(b) 

to gather information on any order or transaction involving firearms, their parts 
and essential components and ammunition; 

to establish that the export control measures are being properly applied, which 
may  include  in  particular  the  power  to  enter  the  premises  of  persons  with  an 
interest in an export transaction. 

Article 14 

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. 

CHAPTER III  

CUSTOMS PROCEDURE 

Article 15 

1. 

2. 

3. 

When completing the formalities for the export of firearms, their parts and essential 
components or ammunition at the customs office responsible for handling the export 
declaration, the  exporter shall furnish  proof that  any  necessary  export authorisation 
has been obtained. 

The exporter may be required to provide a translation of any documents furnished as 
proof into an official language of the Member State where the export declaration is 
presented.  

Without  prejudice  to  any  powers  conferred  on  it  under,  and  pursuant  to,  regulation 
(EEC) No 2913/92, a Member State may for a period not exceeding ten working days 
suspend  the  process  of  export  from  its  territory  or,  if  necessary,  otherwise  prevent 
firearms, their parts and essential components or ammunition which are covered by a 
valid export authorisation from leaving the Union through its territory, where it has 
grounds for suspicion that:  

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4. 

1. 

2. 

1. 

(a) 

relevant  information  was  not  taken  into  account  when  the  authorisation  was 
granted, or 

(b) 

circumstances have materially changed since the grant of the authorisation. 

Within  the  period  referred  to  in  paragraph  3,  the  Member  State  shall  either  release 
the  firearms,  their  parts  and  essential  components  or  ammunition  or  take  action 
pursuant to Article 9(1)(b) of this Regulation. 

Article 16  

Member States may provide that customs formalities for the export of firearms, their 
parts  and  essential  components  or  ammunition  can  be  completed  only  at  customs 
offices empowered to that end.  

Member States availing themselves of the option set out in paragraph 1 shall inform 
the  Commission  of  the  duly  empowered  customs  offices  or  of  subsequent  changes. 
The Commission shall publish and update this information on a yearly basis in the C 
series of the Official Journal of the European Union. 

CHAPTER IV 

ADMINISTRATIVE COOPERATION 

Article 17 

Member  States,  in  cooperation  with  the  Commission,  shall  take  all  appropriate 
measures  to  establish  direct  cooperation  and  exchange  of  information  between 
competent  authorities  with  a  view  to  enhancing  the  efficiency  of  the  measures 
established by this Regulation. Such information may include:  

(a) 

(b) 

details  of  exporters  whose  application  for  an  authorization  is  refused  or  of 
exporters who are the subject of decisions taken by Member States pursuant to 
Article 9; 

data on consignees or other actors involved in suspicious activities, and, where 
available, routes taken. 

2. 

Council  Regulation  (EC)  No  515/97  of  13  March  199724,  and  in  particular  the 
provisions  in  that  Regulation  on  the  confidentiality  of  information,  shall  apply 
mutatis mutandis, without prejudice to Article 18 of this Regulation.  

CHAPTER V 

24 

OJ L 82, 22.3.1997, p. 1. 

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GENERAL AND FINAL PROVISIONS 

Article 18 

1. 

2. 

1. 

2. 

3. 

A  Firearms  Exports  Coordination  Group  chaired  by  a  representative  of  the 
Commission shall be set up. Each Member State shall appoint a representative to this 
Group.  

The  Firearms  Exports  Coordination  Group  shall  examine  any  question  concerning 
the  application  of  this  Regulation  which  may  be  raised  either  by  the  Chair  or  by  a 
representative  of  a  Member  State.  It  shall  be  bound  by  confidentiality  rules  of 
Council Regulation (EC) No 515/97.  

The  Chair  of  the  Firearms  Exports  Coordination  Group  or  the  Coordination  Group 
shall,  whenever  it  is  considered  to  be  necessary,  consult  any  relevant  stakeholders 
concerned by this Regulation. 

Article 19 

Each  Member  State  shall  inform  the  Commission  of  the  laws,  regulations  and 
administrative  provisions  adopted  in  implementation  of  this  Regulation,  including 
the measures referred to in Article 14. 

By  the  date  of  entry  into  force  of  this  Regulation,  each  Member  State  shall  inform 
the other Member States and the Commission of the national authorities  competent 
for implementing Articles 5, 7, 9 and 15. Based on the information supplied by the 
Member  States,  the  Commission  shall  publish  and  update  a  list  of  these  authorities 
on a yearly basis in the C series of the Official Journal of the European Union.  

Every five years the Commission shall review the implementation of this Regulation 
and present a report to the European Parliament and the Council on its application, 
which  may  include  proposals  for  its  amendment.  Member  States  shall  provide  the 
Commission with all appropriate information for the preparation of the report. 

Article 20 

This Regulation shall enter into force on the hundred and twentieth day following that of its 
publication in the Official Journal of the European Union.  

Article  10(2)  of  this  Regulation  shall  apply  from  the  date  from  which  the  European  Union 
becomes Party to the UN Firearms Protocol, following its conclusion pursuant to Article 218 
of the Treaty.  

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

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Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX25 

List of firearms, their parts and essential components and ammunition as referred to in Article 
2(1) and 4(1):  

Combined Nomenclature Code and Description 

Description 

Code CN 

A: Firearms  

9302 00 00 

Revolvers and pistols, other than those of heading 9303 or 9304 

9303 

Other firearms including sporting shotguns and rifles. 

9303 20 

Other  sporting,  hunting  or  target-shooting  shotguns, 
combination shotgun-rifles: 

including 

9303 20 10 

- Single-barrelled, smooth bore  

9303 20 95 

- Other 

9303 30 00 

Other sporting, hunting or target-shooting rifles. 

9303 90 00 

Other. 

9304 00 00 

Other arms (for example, spring, air or gas guns and pistols). 

B: Parts and essential components  

9305 

Parts and accessories of articles of headings 9302 to 9304: 

9305 10 00 

– Of revolvers or pistols 

– Of shotguns or rifles of heading 9303: 

9305 21 00 

– – Shotgun barrels 

9305 29 00 

– – Other 

9305 99 00 

– Other 

C: Ammunition  

9306 

Cartridges  and  other  ammunition  and  projectiles  and  parts  thereof, 
including shots 

– Shotgun cartridges and parts thereof: 

25 

Based on the Combined Nomenclature of goods as laid down in Council Regulation (EEC) No 2658/87 
of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff. 

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9306 21 00 

– – Cartridges  

9306 29 

– – Other: 

9306 29 40 

– – –Cases  

9306 29 70 

– – – Other  

9306 30 

– Other cartridges and parts thereof: 

9306 30 10 

– – For revolvers and pistols of heading 9302 

– – – Other: 

9306 30 91 

– – – – Centrefire cartridges 

9306 30 93 

– – – – Rimfire cartridges 

9306 30 97 

– – – – Other 

9306 90 

– Other: 

9306 90 90 

– – Other 

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