CELEX: 52004PC0731
Language: en
Date: 2004-10-29
Title: 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

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)
EN                                                                                    EN
 ---pagebreak---                             EXPLANATORY MEMORANDUM
   (1) The objective of the attached amended proposal, which replaces COM(2002)770 of 30
       December 2002, is to set up a specific trade regime covering certain equipment and
       products which could be used for torture and other cruel, inhuman or degrading
       treatment or punishment. The purpose of a regime of this kind is to contribute to the
       prevention of the violation of the 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.
   (2) 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.
   (3) 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.
   (4) 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.
   (5) 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.
   (6) 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.
EN                                              2                                                  EN
 ---pagebreak---    (8) 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.
   (9) Finally the provisions on services have been amended so as to bring them in line with
       Article 133 of the EC Treaty and the 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.
EN                                            3                                               EN
 ---pagebreak---                                          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)    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.
   (2)    Article 5 of the Universal Declaration of Human Rights, Article 7 of the International
          Covenant on Civil and Political Rights and Article 3 of the European Convention for
          the Protection of Human Rights and Fundamental Freedoms all lay down an
          unconditional, comprehensive prohibition on torture and other cruel, inhuman or
          degrading treatment or punishment. Other 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.
   (3)    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.
   (4)    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
          OJ C […], […], p. […].
   2
          Resolution 3452 (XXX) of 9.12.1975 of the General Assembly of the United Nations.
   3
          OJ C 364, 18.12.2000, p. 1.
EN                                                    4                                           EN
 ---pagebreak---        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.
   (5) 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.
   (6) 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.
   (7) 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.
   (8) 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
   4
       OJ C 87 E, 11.4.2002, p. 136.
EN                                              5                                                EN
 ---pagebreak---         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.
   (9)  It is considered necessary to prohibit exports and imports of equipment which has no,
        or virtually no, practical use other than for the purpose of capital punishment or for the
        purpose of torture and other cruel, inhuman or degrading treatment or punishment. In
        this regard, it should be noted that Article 33 of the United Nations Standard
        Minimum Rules for the Treatment of Prisoners5 prohibits the use of chains and irons
        as restraints.
   (10) It is also necessary to impose controls on exports of certain equipment and products
        which could be used not only for the 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.
   5
        Approved by Resolutions 663 C (XXIV) of 31.7.1957 and 2076(LXII) of 13.5.1977 of the Economic
        and Social Council of the United Nations.
   6
        Resolution 34/169 of 17.12.1979 of the General Assembly of the United Nations.
EN                                                   6                                                EN
 ---pagebreak---    (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.
EN                                                7                                                   EN
 ---pagebreak---         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.     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.
   2.     This Regulation does not apply to the supply of services, if that supply involves
          cross-border movement of natural persons.
   8
        OJ L 184, 17.7.1999, p. 23.
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 ---pagebreak---                                                    Article 2
                                                 Definitions
   For the purposes of this Regulation:
   (a)      "torture" means any act by which severe pain or suffering, whether physical or
            mental, is intentionally inflicted on a person for such purposes as obtaining from that
            person or from a third person information or a confession, 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;
   (b)      "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;
   (c)      "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;
   (d)      "export transaction" means the exit of goods from the customs territory of the
            Community as defined in Article 3 of Regulation (EEC) No 2913/1992
            establishing the Community Customs Code9; any exportation, re-export, sale,
            transfer, delivery or 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;
   (e)      "import transaction" means any the introduction of goods into the customs territory
            of the Community as defined in Article 3 of Regulation (EEC) No 2913/1992
            establishing the Community Customs Code;
   (f)      “technical assistance” means any 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.
EN                                                     9                                              EN
 ---pagebreak---        working knowledge or skills or consulting services. Technical assistance
       includes verbal forms of assistance;
   (g) "brokering activities" means negotiating or arranging contracts containing a
       commitment to deliver equipment or 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;
   (h) “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;
   (i) "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)    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;
       (2)    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;
       (3)    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;
       (4)    in case of import transactions and supplies of services referred to in
              Article 4, the museum that will display the equipment; and
       (5)    in case of supplies of services referred in Article 3 and 5, the natural or
              legal person that will supply the service.
   (f) "competent authority" means an authority listed in Annex III.
   (g) "territory of the Community" means all the territories of the Member States to which
       the Treaty establishing the European Community is applicable, under the conditions
       laid down in that Treaty.
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 ---pagebreak---                                             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:
EN                                                 11                                                EN
 ---pagebreak---          (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.    For any export transaction concerning equipment and products that could be used
         for the purpose of capital punishment, as listed in Part A of Annex III, or for
         the purpose of torture and other cruel, inhuman or degrading treatment or
         punishment, as listed in Part B of Annex III Annex II, an authorisation shall be
         required, irrespective of the origin of such equipment or products.
   2.    With respect to equipment and products listed in Annex 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
EN                                               12                                                EN
 ---pagebreak---              (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
   1. 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.
   2. 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.
   3. 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.
   4. 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.
   5. 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.
EN                                             13                                              EN
 ---pagebreak---    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)       the end-user needs such equipment for a legitimate purpose;
   (b)       the end-user will effectively use this equipment for such purpose;
   (c)       the equipment will not be sold, transferred or delivered by the end-user to any other
             person, entity or body, including in 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)   the equipment or product is listed in Part A of Annex III and the third
                   country concerned has not abolished capital punishment;
             (b)   the equipment or product is listed in Part B of Annex III and it has been
                   established that the law enforcement authority concerned has practised
EN                                                  14                                                  EN
 ---pagebreak---                    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)    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;
            (d)    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;
            (e)    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
            (f)    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:
EN                                                  15                                           EN
 ---pagebreak---              (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)       there are indications that torture or other cruel, degrading or inhuman treatment or
             punishment have occurred in the third country concerned during interrogations, and
   (b)       the competent authority is not satisfied that the third country concerned has ensured
             that statements obtained through torture and other cruel, inhuman or degrading
             treatment or punishment shall not be invoked as evidence in any proceedings, except
             against a person accused of such acts as evidence that the statement was made.
                                                Article 11
        Additional criteria for granting export authorisations for end-use by law enforcement
                                    authorities detaining individuals
   As regards export transactions 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)       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
   (b)       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.
EN                                                  16                                             EN
 ---pagebreak---                                               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)     the end-user needs such equipment or product for a legitimate purpose;
   (b)     the end-user undertakes to refrain from making such equipment or product
           available to, and for use by, any other person, entity or body, including in
           particular law enforcement authorities, in the third country of destination and
           in any other third country, unless approved in advance by the competent
           authority; and
   (c)     there are no reasonable grounds to 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
   1.      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)    the equipment or product to which the services relate is listed in Part A of
                  Annex III and the third country concerned has not abolished capital
                  punishment;
           (b)    the equipment or product to which the services relate, is listed in Part B of
                  Annex III and it has been established that the law enforcement authority
                  concerned has practised torture or other cruel, degrading or inhuman
                  treatment or punishment within the previous five years; or
EN                                                17                                            EN
 ---pagebreak---       (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)   the natural or legal person concerned needs the equipment or product to
            which the services relate for a legitimate purpose;
      (b)   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
      (c)   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.
   1. 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.
   2. 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.
                                       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
EN                                             18                                              EN
 ---pagebreak---       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.
   2. 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.
   3. 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
   1. Authorisations for export and import transactions shall be issued on a form
      consistent with the model set out in Annex IV and shall be valid throughout the
      Community. The period of validity of an authorisation shall be twelve months,
      unless the competent authority decides that this period must be shorter.
      Forms shall be printed on white paper free of mechanical pulp, dressed for
      writing and weighing between 55 and 65 grams per square metre. Their size
      shall be 210 mm x 297 mm; the layout of the forms shall be followed precisely.
      Both sides of the forms shall in addition have a yellow printed guilloche-pattern
      background so as to reveal any falsification by mechanical or chemical means.
      Member States shall be responsible for having the forms printed.
   2. Authorisations for export and import transactions shall be subject to any
      requirements and conditions the competent authority deems appropriate in
      order to prevent the equipment concerned being used for the purpose of capital
      punishment or for the purpose of torture and other cruel, inhuman or
      degrading treatment, such as an obligation to provide a statement signed by the
      end-user or acceptance of a commitment not to re-export.
   3. Unless an authorisation for export or 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.
EN                                          19                                          EN
 ---pagebreak---    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.
   5. 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.
   6. 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
   1. 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.
   2. 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.
EN                                         20                                            EN
 ---pagebreak---    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
                                        Article 13
               Amendment of Annexes data regarding competent authorities
   1. The Commission shall be empowered to amend Annex I. The data regarding
      competent authorities of the Member States in Annex III shall be amended by the
      Commission on the basis of information supplied by the Member States.
   2. In accordance with the provisions of Article 16, the Commission shall be
      empowered to amend Annexes II, III and IV.
                                        Article 14
                                 Exchange of information
   1. The Commission and the Member States 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.
EN                                          21                                                EN
 ---pagebreak---            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.      The Commission shall be assisted by the committee on common rules for exports of
           products, instituted by Article 4(1) of Regulation (EEC) No 2603/1969.11
   2.      Where reference is made to this paragraph, Articles 4 5 and 7 of Decision
           1999/468/EC shall apply. Where reference is made to this paragraph, the
           regulatory procedure laid down in 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.
   3.      The Committee shall adopt its rules of procedure. The Committee shall examine
           any matter concerning the implementation of this Regulation raised by its
           chairman either on his or her own initiative or at the request of a representative
           of a Member State.
   10
          OJ L 145, 31.5.2001, p. 43.
   11
          OJ L 324, 27.12.1969, p. 25.
EN                                                22                                              EN
 ---pagebreak---                                                Article 17
                                               Penalties
   1.       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.
   2.       The Member States shall notify those provisions to the Commission by 30 April
            2003 2005 at the latest and shall notify it without delay of any subsequent
            amendment affecting them.
                                               Article 18
                                            Entry into force
   This Regulation shall enter into force on the twentieth sixtieth day following that of its
   publication in the Official Journal of the European Union Communities.
   This Regulation shall be binding in its entirety and directly applicable in all Member States.
   Done at Brussels,
                                                 For the Council
                                                 The President
EN                                                 23                                             EN
 ---pagebreak---                                              ANNEX I
   List of authorities referred to in Articles 10 and 12
   A.      Authorities of the Member States
   (to be completed by the Member States)
   BELGIUM
   CZECH REPUBLIC
   DENMARK
   GERMANY
   ESTONIA
   GREECE
   SPAIN
   FRANCE
   IRELAND
   ITALY
   CYPRUS
   LATVIA
   LITHUANIA
   LUXEMBOURG
   HUNGARY
   MALTA
   NETHERLANDS
   AUSTRIA
   POLAND
   PORTUGAL
   SLOVAKIA
   SLOVENIA
   FINLAND
EN                                               24      EN
 ---pagebreak---    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
                                      ANNEX I ANNEX II
   List of equipment referred to in Articles 3 and 4
   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
   ex 4421 90 98          Gallows and guillotines
   ex 8208 90 00
   ex 8543 89 95          Electric chairs designed or modified for the purpose of
   ex 9401 79 00          execution of human beings (output at least 1 000 V)
   ex 9401 80 00
   ex 9402 10 00
   ex 9402 90 00
   ex 9406 00 38 39       Air-tight vaults, made of e.g. steel and glass, designed or
   ex 9406 00 80 90       modified for the purpose of execution of human beings by the
                          administration of a lethal gas
   ex 8413 81 90          Automatic drug injection systems designed or modified for
   ex 9018 90 50          the purpose of execution of human beings by the
   ex 9018 90 60
EN                                               25                                             EN
 ---pagebreak---    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       Leg-irons, gang-chains and shackles, designed for restraining
   ex 8301 50 00          human beings, except ordinary handcuffs. Ordinary
   ex 3926 90 99          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       Individual cuffs or shackle bracelets, designed for restraining
   ex 8301 50 00          human beings, having a minimum internal perimeter
   ex 3926 90 99          exceeding 190 mm when fully locked
   ex 7326 90 98 97       Thumb-cuffs and thumb-screws, including serrated thumb-
   ex 8301 50 00          cuffs
   ex 3926 90 99
                          Components designed or modified for any of the above
                                      ANNEX II ANNEX III
   List of equipment and products referred to in Article 5
   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          Restraint chairs and shackle boards
   ex 9401 69 00
EN                                               26                                           EN
 ---pagebreak---    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    Portable devices designed or modified for the purpose of riot
   ex 9304 00 00    control or self-protection by the administration of an electric
                    shock (high frequency pulses equal to or exceeding 1 000 V
                    50 000 V), including but not limited to electric-shock batons,
                    electric shock shields, stun guns and electric shock dart guns
                    (tasers)
   ex 8424 20 00    Portable devices designed or modified for the purpose of riot
   ex 9304 00 00    control or self-protection by the administration of an
                    incapacitating chemical substance such as tear gas, OC
                    (oleoresin capsicum or pepper spray) and PAVA (pelargonic
                    acid vanillylamide, synthetic pepper spray)
                    Components specially designed or modified for any of the
                    above
   ex 2926 90 95    α-Bromophenylacetonitrile (α-bromobenzyl cyanide) (CA)
                    (CAS 5798-79-8)
   ex 2926 90 95    (2-chlorobenzylidene)malononitrile
                    (o-chlorobenzalmalononitrile) (CS) (CAS 2698-41-1)
   ex 2914 70 00 90 2-chloroacetophenone (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)
EN                                         27                                       EN
 ---pagebreak---                                           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)
EN                                             28                   EN
 ---pagebreak---                                      1                      EUROPEAN COMMUNITY                                                                     AUTHORISATION
                                                                                                                                                        ―
                                                                                                                                           REGULATION (EC) No ___/2004
                                                                                                                                               (IMPORT OR EXPORT) 12
                                                            1.   Applicant (full name, address and nature of                        2. Authorisation No
                                                                 business13)
                                                                                                                                    3. Expiry date14
                                                                                                                                                              2 __ __ __ / __ __ / __ __
      Authorisation Regulation (EC) No ___/2004 (Torture)
                                                                                                                                    4. Issuing authority15
                                                            5.   Other person(s) authorised to use this                             6. Consignee (full name and address)
                                                                 authorisation (full name, address and nature of
                                                                 business2)
                                                            7.   Country where the equipment or products are                        10. End-user (full name and address)
                                                                 located 16
                                                            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
                                                            This form should not be used to authorise the supply of technical assistance and brokering services.
     13
                                                            Please specify in relation to the items at 11: manufacturer, importer, exporter, transporting firm or other.
     14
                                                            If shorter than twelve months after date of issuing please give an explanation at 14. Please state year (four digits),
                                                            month (two digits) and day (two digits).
     15
                                                            See Annex I to Regulation (EC) No …/2004. See also Article 2(h).
     16
                                                            Please use the country codes 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.
     17
                                                            Please include data on packaging and value of the equipment and products concerned.
     18
                                                            Please continue the description in one or more attachments to this form (page 1a), if necessary.
EN                                                                                                                             29                                                          EN
 ---pagebreak---                          1a                                 EUROPEAN COMMUNITY                                                                  ATTACHMENT TO
                                                                                                                                               AUTHORISATION ―
                                                                                                                                        REGULATION (EC) No ___/2004
                                                                                                                                             (IMPORT OR EXPORT)1
                                                            1.   Applicant (full name, address and nature of                     2. Authorisation No
                                                                 business2)
                                                                                                                                 3. Expiry date3       2 __ __ __ / __ __ / __ __
      Authorisation Regulation (EC) No ___/2004 (Torture)
                                                                                                                                 4. Issuing authority4
                                                            11. Description of item(s) 6                                         12. CN code                  13. Quantity
                         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)”.
EN                                                                                                                          30                                                      EN