斯德哥尔摩国际和平研究所-The-dual_18页_611kb

Summary of the Dual-Use Export Control Policy Review

I. Core Content

The 2009 European Union (EU) Dual-Use Regulation serves as the legal framework for controlling the export, transfer, brokering and transit of dual-use items across the EU. These items are goods and technologies that have both civilian and military applications, and they are subject to control either because they are listed in the EU's control list or due to their intended end use or end user. The regulation is currently undergoing a comprehensive review, with the European Commission expected to publish detailed proposals by the first half of 2016. These proposals will be discussed by the EU Council and the European Parliament before final adoption, likely not before the end of 2016.

The review process is driven by the need to balance security, trade and academic freedom, while addressing the evolving technological, economic and political landscape. The EU aims to enhance the effectiveness of dual-use export controls, promote convergence in policy implementation, and ensure that the system supports both security and competitiveness.

II. Main Objectives of the Review

The review is structured around five key objectives:

1. Enhancing effectiveness and creating convergence in policy implementation
2. Adopting a 'human security approach'
3. Modernizing the licensing architecture
4. Engaging with the private sector and other stakeholders
5. Improving engagement with non-EU states and export control regimes

These objectives are aimed at improving the uniformity and efficiency of the EU's dual-use export control system, ensuring that it remains relevant and effective in a rapidly changing world.

III. Key Considerations and Challenges

1. Diverse Stakeholders and Activities

Dual-use export controls affect a wide range of actors, including manufacturers, transport providers, academics, and institutions, not just exporters. Activities such as brokering, transit, and trans-shipment are also subject to control, and the EU's framework is part of a broader international export control system that includes the UN and US regimes.

2. Security and Proliferation Risks

The EU's dual-use export controls are a critical component of the EU's WMD strategy, aimed at preventing the proliferation of WMD-related technologies and goods. The scope of control has expanded in recent years, with the blurring of lines between civilian and military technologies, and the potential for dual-use items to contribute to human rights abuses.

3. Technological and Economic Changes

The increasing availability of advanced dual-use goods and the rise of electronic information transfer have made traditional border-based export controls less effective. At the same time, global supply chains and transnational company structures complicate enforcement, and budget cuts have reduced the capacity of authorities to manage and enforce these controls.

4. Implementation Challenges

• Differences in national implementation of the regulation due to varying interpretations of key terms and concepts (e.g., 'intangible technology transfer', 'public domain', 'basic scientific research').
• Inconsistent application of catch-all controls, which are used to control non-listed items based on their potential end use.
• Resource constraints at the national level, including staffing reductions and budget cuts, which impact the ability of authorities to manage the increasing workload.

5. EU-Level Coordination Issues

• Fragmentation between different EU institutions responsible for export controls, such as the Directorate General for Trade (DG Trade) and Directorate General for Taxation and Customs Union (DG TAXUD).
• Lack of shared forums and joined-up policies for discussing implementation and enforcement issues.
• Need for greater coordination between export control regimes and other EU policies, such as sanctions and military exports.

IV. Proposed Solutions and Actions

1. Standardizing Decision-Making Procedures

• The Commission proposes a risk-based approach to licensing, based on a common risk management framework.
• Improving information sharing between member states, particularly regarding licensing outcomes and export control violations.
• Setting agreed processing times and obligatory electronic licensing systems to enhance efficiency and transparency.

2. Clarifying Key Terms and Concepts

• Developing detailed guidance on the interpretation of terms such as 'intangible technology transfer' and 'basic scientific research'.
• Ensuring consistency across the EU in how these terms are applied to avoid divergent enforcement practices.

3. Harmonizing Catch-All Controls

• The Commission aims to harmonize the interpretation of catch-all controls across the EU.
• Increasing information exchange between member states to ensure a more uniform application of these controls.

4. Engaging with Stakeholders

• The review includes consultations with industry associations, economic operators, civil society organizations, and academia.
• The Commission is seeking input on how to balance security and economic competitiveness.

5. Capacity Building and Funding

• The need for EU-wide capacity-building and training for officials involved in export controls.
• The Commission recommends the establishment of a targeted capacity-building programme.
• Currently, no EU funding is available for training within member states, with some relying on US support.

V. Conclusion

The review of the EU Dual-Use Regulation is a complex and multifaceted process, addressing both technical and political challenges. It seeks to modernize the system to ensure it remains effective, coherent, and adaptable to new threats and opportunities. The outcome of the review will have significant implications for security, trade, and academic freedom, and will shape the future of dual-use export controls in the EU and beyond.