IMPACT ASSESSMENT STUDY ON THE EXPORT OF DUAL USE GOODS
Why is IMS (Interexport Management Systems Ltd) involved in this questionnaire and in the European Commission Impact Assessment Study?
The European Commission, after a tendering procedure, has selected Interexport Management Systems Ltd (IMS) of London, a company specialising in export control issues, to contribute to the preparation of an Impact Assessment Study on potential changes to the Dual Use Goods Regulation (Regulation 1334/2000). Part of this study will use information supplied by industry through this questionnaire, which has been prepared with the agreement of the European Commission, DG TRADE. The information will be used to test the impact of certain options to improve the Regulation.
What are export controls of dual use goods?
Dual use goods cover items and technologies which are primarily designed for civil usebut which can also have a military use. In particular, some of those dual use items can contribute to the proliferation of Weapons of mass destruction or of their means of delivery (missiles). Controlled goods include biological, chemical, nuclear, defence-related, aerospace, information technology and missile items.
The Regulation (1334/2000) controls exports of sensitive items and technologies which are listed in its Annex I (latest version detailed in Regulation 1504/2004 in OJ 281 dated31/08/2004).All the items listed in the EC regulation require authorisations to be obtained from Member States where the exporter is located before they can be exported outside of the Community. Further details are available by clicking on the link ‘Summary of the EU Dual Use Goods Regulation (1334/2000)’
Why a questionnaire to your company?
Before adopting new measures, the European Commission needs to assess their impact. It also has to evaluate the effectiveness of the existing controls and particularly determine if there is a level playing field in the single market for dual-use items;
The attached questionnaire is being sent to a range of companies, including SME’s, across the EU to obtain representative data that can be used in the impact assessment study;
Your company has been chosen because of its area of activity which could fall into the scope of dual use items and technologies.
What will be done with the questionnaire?
IMS and the European Commission are bound by the directive on data protection and confidentiality. The source of information will be respected though if you are content for your name to be published in the final report, you can indicate your agreement to this within the questionnaire.
Why should your company bother answering this questionnaire?
Answering the questionnaire will allow the European Commission to getdetailedfeedback on the issues which it should address to improve the implementation of the Regulation;
Based on your answers to this questionnaire, your company may be selected to take part in further consultations. These will consider options to reform the export control system and to ensure that the system fully complies with UN resolution 1540 regarding the prevention of illicit transit, transhipment or brokering of dual use items.
Who should answer the questionnaire in your company?
Ideally, the person who is in charge of compliance programmes in your company and who deals with export controls or other trade authorisations.
How to complete the questionnaire? How long will it take?
The questionnaire consists of 19 questions, and should take no longer than 20 minutes to complete. The questionnaire is in Microsoft Word and allows the respondent to complete each question using either selection boxes or narrative. Although many of the questions require specific answers, space has been made available for you to add other relevant comments. In addition, there is space at the end of the form for you to provide any comments you have on the Dual Use Regulation that you do not feel have been addressed by the form.
On completion of the Questionnaire/timeframe for sending back the questionnaire
Given the need for the European Commission to establish a representative sample of exporters/suppliers of dual-use technologies with whom to assess the impact of reforming the Regulation as soon as possible, it would be ideal to get your answers by the end of October. If you are unable to complete the questionnaire by then, we would appreciate it being returned as soon as possible. Once completed, please save the document using your company name and country as the filename. As an example, for IMS this would be IMS-UK. Then attach the document to an email and send to
Further information
If you require any further information on the questionnaire, please send an e-mail to
IMPACT ASSESSMENT STUDY - QUESTIONNAIRE
Please complete and return this as soon as you are able to (ideally by the end of October 2005, if possible)
Company Details
Name and role of person completing the questionnaire (e.g. Export Control Manager)
Your Email address
Name of company
Company Address
Country
1
Please select the appropriate box for your company:
Less than 50 employees
Up to 500 employees
Above 500 employees
______
Q1Before reading this questionnaire, were you aware of EC Regulation 1334/2000 on Dual Use Goods?
Yes No
Q2.We need to understand your company’s role and activities undertaken in respect of the supply, export, transport or brokering of dual use goods. Please complete the following table ticking the appropriate boxes. The first column lists the 10 Categories of goods controlled by the Regulation.Against this, please select all boxes where your company is active.
NOTE: For a description of the headings (Supplier etc) and Categories (0-Nuclear etc), Click in the grey box e.g. with the name ‘Supplier’, and then press the F1 key. This will display help text giving a description of that entry.
Supplier / Exporter / Transporter / BrokerCategory 0 – Nuclear Goods
Category 1 – Materials
Category 2 – Materials Processing
Category 3 – Electronics
Category 4 – Computers
Category 5 – Telecomms and Encryption
Category 6 – Sensors and Lasers
Category 7 – Navigation
Category 8 – Marine
Category 9 – Propulsion
1
a) If you have not completed any of the boxes, please explain why? (e.g. because you didn’t understand the technical Categories 0 to 9; because you didn’t understand the definitions of supplier etc; because you know you do not deal in dual use goods; other reasons)
b)If you have not completed any of the boxes, or have ONLYcompleted boxes in the Supplier or Transporter columns, please go to question 19.
1
Q3Have you applied for an individual export authorisation (i.e. completed an application form to export specific goods to a specific end-user)?
Yes No
1
a)If Yes, in which MemberState(s) did you makethe application(s) and, if possible, please estimate how many applications you have made over the past 12 months
b)If Yes, do you have comments on this application process?
1
Q4.Have you applied for any global export authorisation(s) (a global authorisation allows shipments of multiple goods to multiple destinationsoutside the EU
Yes No
1
a)IfYes, in which MemberState(s)did you make applications and, if possible, can you estimate how many applications you have made over the past 12 months?
b) If you have applied in more than one MemberState, what comparison can be made between the practices, and can you list any lessons that could be learnt from these differing practices?
1
Q5. Do you have experience of using the Community General Export Authorisation (the CGEA) which allows shipments of most controlled dual use items and technologies to the 7 countries listedbelow?
Yes No
a)If Yes, please selectthe destination(s) you exported goods to
Community General Export Authorisation destination / Select if goods sent to this destinationAustralia
Canada
Japan
New Zealand
Norway
Switzerland
United States of America
b)If Yes, please selecttheMemberState(s)from which you exported goods
using the Community General Export Authorisation. If you have selectedmore than one, please detail any significant differences you noted between the use of the authorisation by those Member States:
MemberState / Select box if Community General Export Authorisation used from this country / Details of significant differencesAustria
Belgium
Cyprus
CzechRepublic
Denmark
Estonia
France
Finland
Germany
Greece
Hungary
Ireland
Italy
Latvia
Lithuania
Luxemburg
Malta
Netherlands
Poland
Portugal
Slovakia
Slovenia
Spain
Sweden
United Kingdom
1
c)Do you have any other comments on the use of the Community General Export Authorisation?
d)If No, have you exported to the countries listed below via another exportauthorisation such as an individual, global or national general export authorisation? If so, please can you provide details of why you chose that option
Countries / Export Authorisation used and reasons whyAustralia
Canada
Japan
New Zealand
Norway
Switzerland
United States of America
1
Q6.Have you used a National General Export Authorisation(other than the Community General Export Authorisation)from any of the following MemberState(s)? (Note: A National General Export Authorisation can be issued by a MemberState and generally covers the export of least sensitive goods to least sensitive destinations. At present those listed below are the only Member States who issue these authorisations)
Select appropriate boxFrance
Germany
Greece
Italy
Netherlands
Sweden
United Kingdom
1
a)If you have selected one of the boxes above, can you summarise below the type of goods you exported under the Authorisation?
b)Please detail any comments you have on the process in place in the country where you used the National General Export Authorisation to export from.
1
c)If you have not used a National General Export Authorisation, are you aware of the existence of these authorisations? Yes No
Q7.Have you ever usedanauthorisation for intangible transfers of technology (a transmission of software or technology by electronic media, fax or telephone to a destination outside the EU)? Yes No Don’t Know
a)If Yes, which type of authorisation did you use?
Select appropriate boxIndividual Authorisation
Global Authorisation
National General Authorisation
Community General Export Authorisation (CGEA)
1
b)In which MemberState(s) did you use the authorisation(s)?
c) Did you find any major differences in the licensing of intangible goods when compared to tangible goods, and what where these?
1
Q8.Have you ever been informed by a Government Authority that your export required an export authorisationbecause it could be used in support of a Weapons of Mass Destruction programme or for certain military end uses. (This is the End Use or Catch All control that applies to goods not listed in the Dual Use Goods Regulation)
Yes No
1
a)If Yes, in which MemberState(s) did this occur?
1
b)If you were informed of such an obligation for the export of non listed items, would this:
- Lead you to inform other subsidiaries based in other countries?
Yes No
- Lead you to apply to the government for an authorisation, prior to exporting those items?
Yes No
- Discourage you from exporting so you would not apply to the government for an authorisation?
Yes No
- Lead your company to export from another MemberState in the EU?
Yes No
Q9.Have you ever applied for an export authorisation for goods not listed in the Dual Use Goods Regulation because you knew or suspected that they may be used in support of a weapons of Mass Destruction programme or for certain military end uses. (This is the End Use or Catch All control that applies to goods not listed in the Dual Use Goods Regulation)
Yes No
1
a)If Yes, in which MemberState(s) did this occur?
1
b) If No, was it because (please select appropriate box):
You are not aware of this obligationYou have not been informed of this obligation by the government
Your company has not put in place training for staff so they have no criteria against which to make a risk assessment
Any other reason
1
Q10.Export control authorities in Member States make information on the export licensing process available in different ways. In the table below can you indicate,by entering a number from 1 to 5, which you consider to be the most important and which the least important (1 being Not very important and 5 being Very important)
Enter a number (from 1 to 5) / Any commentsDetails on the authorisation application form and information on how to fill in the form correctly.
Access to the legislation.
Information on the different sorts of authorisation in force and their conditions of use.
Information on where not to export.
Information on what not to export.
Easy access to the licensing authorities.
Information on registration and record keeping
Existence of sanctions and liabilities
Simple administrative procedures i.e. all export control information available from one government agency
Target time set by administration for dealing with the application
Regular information given on the progress of an application.
1
Q11. Does yourcompany (this includes any subsidiaries) broker deals between third countries (i.e. arrange for the supply of goods from one country to another where both countries are outside of the EUand the goods are not located in the EU)? Yes No
a)If Yes, is all of the trade between the following countries? Argentina, Australia, Bulgaria, Canada, Japan, NewZealand, Norway,Republic of Korea, Switzerland, Turkey,Ukraine, UnitedStates. Yes No
1
b) If No, please list allcountries the trade is between
1
Q12.Do you have experience of the export control systems ofAustralia, Canada, China, Japan, Russia,United States? Yes No
If Yes,can you rate the systems you have usedagainst the EU system on the features listed below (select the boxes as appropriate)
Australia / Worse / Same / Better / Any commentsAdministrative Practices
Industry Awareness
Legislation
Canada / Worse / Same / Better / Any comments
Administrative Practices
Industry Awareness
Legislation
China / Worse / Same / Better / Any comments
Administrative Practices
Industry Awareness
Legislation
Japan / Worse / Same / Better / Any comments
Administrative Practices
Industry Awareness
Legislation
Russia / Worse / Same / Better / Any comments
Administrative Practices
Industry Awareness
Legislation
United States / Worse / Same / Better / Any comments
Administrative Practices
Industry Awareness
Legislation
1
Q13.a) Do you consider that this Regulation (1334/2000)could or should be simplified?
1
Yes No Don’t Know
1
b) If Yes, which areas do you consider need simplification?
c) Do you have any other comments on the EU system comparedto other export control systems?
Q14.Which website would your company search to get information on export controls?
Q15.Please detail any other comments or information you would like to include about your experience of authorisations for dual use items
Q16.Have you tried to search on the European Commission website?
1
Yes No
1
If Yes, please complete the table below based on your experience of the website. Please indicate,by entering a number from 1 to 5, which you consider to be the most satisfactoryand which the least satisfactory (1 being the Least satisfactory and 5 being Very satisfactory)
Enter number (1 to 5)Easy to find information
Content of the website
Frequency of updating
Accessibility
Q17.What information wouldyou expect to find on theEuropean commissionwebsite?
Q18.Do you have any other comments on any of the issues covered in this questionnaire?
1
Q19.Please indicate whether your company will be willing to allow its name to be published in the final report of the Impact Assessment Study Yes No
1
Please save this document using your company name and country as the filename. As an example, for IMS this would be IMS-UK. Then attach the document to an email and send to. Thank you.
IMS would like to thank for your time in completing this questionnaire. Your answers and comments will be an integral part of the assessment study.
Summary of the EU Dual Use Goods Regulation (1334/2000)
The EU Dual Use Goods Regulation establishes control on the export of a range of goods from EU Member States. The Regulation is directly binding on all Member States. However,the Regulation gives some room for Member States to adopt national implementing measures in limited areas, for example to apply proportionate penalties for violations of export controls. Each MemberState also sets up its own decision making process to grant authorisations with decisions taken in conformity with criteria listed in the Regulation. The Regulation contains 24 Articles which are directly enforceableand the document can be found at
What goods are controlled?
The Regulation controls exports of dual use goods listed in its Annex I (latest list in Regulation 1504/2004). These are goods that have been designed for a civilian application but can have a military use. A typical example is an electronic component which may be designed for a commercial application, such as a mobile phone, but can be used in a military communications system. This list is based on decisions taken in international export control regimes
The control regimes are:
The Wassenaar Arrangement (WA) – control lists for both Military and Dual Use items used in conventional arms
The Missile Technology Control Regime (MTCR) – controls complete rocket systems and components for missiles capable of delivering weapons of Mass Destruction payloads.
The Nuclear Suppliers Group (NSG) – controls goods used for nuclear and nuclear related applications.
The Australia Group – controls chemical and biological agents and manufacturing equipment that could be used in the manufacture of chemical and biological weapons.
The list in Annex I to the Regulation combines the goods controlled by these regimes and lists them in 10 Categories. These categories are:-
Category 0 - Nuclear Materials, Facilities, and Equipment. Covers goods specially designed for nuclear use as well as materials, production equipment and other goods associated with the nuclear industry.
Category 1 - Materials, Chemicals, Microorganisms & Toxins. Covers general purpose materials used in dual-use goods. Also covers chemicals, including mixtures and compounds, and biological agents.
Category 2 – Materials Processing. Covers machine tools for the manufacture of sensitive goods as well as production facilities for chemicals and biological agents.
Category 3 – Electronics. Covers electronic components and assemblies used in sensitive goods.