Regulation (EU) 2019/125 of the European Parliament and of the Council of 16 January 2019 concerning trade in certain goods which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment (codification)

• 1. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes. NB: In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

• 1. In some instances, chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers.

CN code	Description
	1. Goods designed for restraining human beings, as follows:
ex 7326 90 98 ex 7616 99 90 ex 8301 50 00 ex 3926 90 97 ex 4203 30 00 ex 4203 40 00 ex 4205 00 90 ex 6217 10 00 ex 6307 90 98 ex 7315 81 00 ex 7315 82 00 ex 7315 89 00 ex 4017 00 00	1.1.  Shackles Notes: 1. Shackles are restraints consisting of two cuffs or rings fitted with a locking mechanism, with a connecting chain or bar. 2. This item does not control the leg restraints and gang chains prohibited by item 2.3 and 2.4 of Annex II. 3. This item does not control ‘ordinary handcuffs’. Ordinary handcuffs are handcuffs which meet all the following conditions: — their overall dimension including chain, measured from the outer edge of one cuff to the outer edge of the other cuff, is between 150 and 280 mm when both cuffs are locked; — the inside circumference of each cuff is a maximum of 165 mm when the ratchet is engaged at the last notch entering the locking mechanism; — the inside circumference of each cuff is a minimum of 200 mm when the ratchet is engaged at the first notch entering the locking mechanism; and — the cuffs have not been modified to cause physical pain or suffering.
ex 7326 90 98 ex 7616 99 90 ex 8301 50 00 ex 3926 90 97 ex 4203 30 00 ex 4203 40 00 ex 4205 00 90 ex 6217 10 00 ex 6307 90 98 ex 4017 00 00	1.2.  Individual cuffs or rings fitted with a locking mechanism, having an inside circumference exceeding 165 mm when the ratchet is engaged at the last notch entering the locking mechanism. Note: This item includes neck restraints and other individual cuffs or rings fitted with a locking mechanism, which are linked to ordinary handcuffs by means of a chain.
ex 7326 90 98 ex 7616 99 90 ex 8301 50 00 ex 3926 90 97 ex 4203 30 00 ex 4203 40 00 ex 4205 00 90 ex 6217 10 00 ex 6307 90 98 ex 7315 81 00 ex 7315 82 00 ex 7315 89 00 ex 4017 00 00	1.3.  Leg cuffs Notes: 1. Leg cuffs are restraints consisting of two cuffs, usually made of metal, fastened around the ankles, and attached by a chain to allow the detainee some movement. The cuff size is usually larger than those ordinary handcuffs and is adjustable. 2. This item does not control leg restraints and gang chains prohibited by items 2.3, 2.4, 2.5 and 2.6 of Annex II.
ex 6505 00 10 ex 6505 00 90 ex 6506 91 00 ex 6506 99 10 ex 6506 99 90	1.4.  Spit hoods: hoods, including hoods made of netting, comprising a cover of the mouth which prevents spitting. Note: This item includes spit hoods which are linked to ordinary handcuffs by means of a chain.
	2. Weapons and devices designed for the purpose of law enforcement including riot control or self-protection, as follows:
ex 8543 70 90 ex 9304 00 00	2.1.  Portable electric discharge weapons that can target only one individual each time an electric shock is administered, including but not limited to electric shock batons, electric shock shields, stun guns and electric shock dart guns Notes: 1. This item does not control electric shock belts and other devices falling within item 2.1 of Annex II. 2. This item does not control individual electronic shock devices when accompanying their user for the user’s own personal protection.
ex 8543 90 00 ex 9305 99 00	2.2.  Kits containing all essential components for assembly of portable electric discharge weapons controlled by item 2.1. Note: The following goods are considered to be essential components: — the unit producing an electric shock, — the switch, whether or not on a remote control, and — the electrodes or, where applicable, the wires through which the electrical shock is to be administered.
ex 8543 70 90 ex 9304 00 00	2.3.  Fixed or mountable electric discharge weapons that cover a wide area and can target multiple individuals with electrical shocks
ex 9303 90 00 ex 9304 00 00 ex 9306 30 90 ex 9306 90 90	2.4.  Single shot kinetic impact projectile (KIP) launchers and associated kinetic impact projectiles Note: This item includes projectiles commonly known as rubber or plastic bullets or impact rounds, chemical irritant impact projectiles and beanbags. They come in different shapes and sizes include large and small balls or cylinders, and can be made of rubber, PVC, dense foam, or wood. This item does not control equipment controlled by items ML1, 2 and 12 of the Common Military List of the European Union.
ex 9301 10 00 ex 9301 20 00 ex 9301 90 00 ex 9302 00 00 ex 9303 10 00 ex 9303 20 10 ex 9303 20 95 ex 9303 30 00 ex 9303 90 00 ex 9304 00 00	2.5.  Launchers and dissemination devices including multiple barrel launchers Note: This item includes multiple-barrel launchers that typically have between 2 and 36 barrels, and can be stand-alone or mounted onto vehicles, unmanned ground vehicles, or seafaring vessels. The launchers can be manually operated or operated by remote control, allowing for individual, sequential, or simultaneous firing of kinetic impact munitions or chemical irritants, resulting in rapid fire or bursts of fire. This item does not control equipment controlled by items ML1 and ML 2 of the Common Military List of the European Union.
ex 9306 21 00 ex 9306 29 00 ex 9306 30 10 ex 9306 30 30 ex 9306 30 90 ex 9306 90 10 ex 9306 90 90	2.6.  Ammunition containing multiple kinetic impact projectiles Note: This item includes ammunition that can be made from rubber, plastic, or wood, and can vary in terms of their size, number, and shape. The number included in each can range from a small number of large balls or blocks to hundreds of small pellets. This item does not control equipment controlled by items ML1 and ML 2 of the Common Military List of the European Union.
	3. Weapons and equipment disseminating incapacitating or irritating chemicals for use by law enforcement authorities for the purpose of riot control or self-protection, as follows:
ex 8424 20 00 ex 8424 89 70 ex 9304 00 00	3.1.  Portable weapons and equipment which either administer a dose of an incapacitating or irritating chemical substance that targets one individual or disseminate a dose of such substance affecting a small area, e.g. in the form of a spray fog or cloud, when the chemical substance is administered or disseminated. Notes: 1. This item does not control equipment controlled by item ML7(e) of the Common Military List of the European Union [^E0004]. 2. This item does not control individual portable equipment, even if containing a chemical substance, when accompanying their user for the user’s own personal protection. 3. In addition to relevant chemical substances, such as riot control agents or PAVA, the goods controlled by items 3.3, 3.4 and 3.7 shall be deemed to be incapacitating or irritating chemical substances.
ex 2939 79 90	3.2.  Pelargonic acid vanillylamide (PAVA) (CAS RN 2444-46-4) Note: This item does not control equipment controlled by item ML7(e) of the Common Military List of the European Union.
ex 3301 90 30 ex 1302 19 70	3.3.  Oleoresin capsicum (OC) (CAS RN 8023-77-6) Note: This item does not control equipment controlled by item ML7(e) of the Common Military List of the European Union.
ex 3301 90 30 ex 3302 10 90 ex 3302 90 10 ex 3302 90 90 ex 3824 99 92	3.4.  Mixtures containing at least 0,3 % by weight of PAVA or OC and a solvent (such as ethanol,1-propanol or hexane), which could be administered as such as incapacitating or irritating agents, in particular in aerosols and in liquid form, or used for manufacturing of incapacitating or irritating agents Notes: 1. This item does not control sauces and preparations therefor, soups or preparations therefor and mixed condiments or seasonings, provided that PAVA or OC is not the only constituent flavour in them. 2. This item does not control medicinal products for which a marketing authorisation has been granted in accordance with Union law [^E0005]
ex 8424 20 00 ex 8424 89 70 ex 9304 00 00	3.5.  Fixed or mountable equipment for the dissemination of incapacitating or irritating chemical agents that covers a wide area and is not designed to be attached to a wall or to a ceiling inside a building. Notes: 1. This item does not control equipment controlled by item ML7(e) of the Common Military List of the European Union. 2. This item also controls water cannons. 3. In addition to relevant chemical substances, such as riot control agents or PAVA, the goods controlled by items 3.3 and 3.4 shall be deemed to be incapacitating or irritating chemical substances.
ex 9306 21 00 ex 9306 29 00 ex 9306 30 10 ex 9306 30 30 ex 9306 30 90 ex 9306 90 10 ex 9306 90 90	3.6.  Large calibre projectiles containing riot control agents. Note: This item includes projectiles containing riot control agents, notably OC and PAVA with a calibre above 56mm. The use of such items must be consistent with relevant provisions of the Chemical Weapons Convention, notably Article 2.1 and 2.9.d.
ex 2934 99 90 ex 2930 90 95 ex 2933 99 20 ex 2921 29 00 ex 2830 90 85 ex 3824 99 92 ex 3824 99 93 ex 3824 99 96	3.7.  Malodorant chemical mixtures formulated to produce a foul and deeply unpleasant smell for riot control purposes provided they are non-injurious and have no long-lasting health effects. Notes: 1. This item is defined as being a mixture solely designed for law enforcement purposes containing at least one of the following range of chemicals formulated to produce a foul and deeply unpleasant smell and that can be dispersed by hand-held spray, grenades, launched projectiles, drones, and water cannon: 1. Thioacetone (CAS code 4756-05-2) 2. Allicin (CAS code 539-86-6) 3. Skatole (CAS code 83-34-1) 4. Cadaverine (CAS code 462-94-2) 5. Putrescine (CAS code 110-60-1) 6. Ammonium hydrosulfide (CAS code 12124-99-1) 7. Ethanethiol (CAS code 75-08-1) 8. Propanethiol (CAS code 107-03-9) 9. Isobutylthiol (CAS code 513-44-0) 10. Butanethiol (CAS code 109-79-5) 2. This item does not control malodorant chemical mixtures that are not intended for law enforcement purposes.

Last version adopted by the Council on 19 February 2024 (OJ C, C/2024/1945, 1.3.2024, ELI: http://data.europa.eu/eli/C/2024/1945/oj).

See in particular Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency (OJ L 136, 30.4.2004, p. 1, ELI: http://data.europa.eu/eli/reg/2004/726/oj) and Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use (OJ L 311, 28.11.2001, p. 67, http://data.europa.eu/eli/dir/2001/83/oj).

ANNEX IV

GOODS THAT COULD BE USED FOR THE PURPOSE OF CAPITAL PUNISHMENT REFERRED TO IN ARTICLE 16

CN code	Description
	1. Products which could be used for the execution of human beings by means of lethal injection, as follows:
	1.1.  Short and intermediate acting barbiturate anaesthetic agents including, but not limited to:
ex 2933 53 90 [(a) to (f)] ex 2933 59 95 [(g) and (h)]	(a) amobarbital (CAS RN 57-43-2) (b) amobarbital sodium salt (CAS RN 64-43-7) (c) pentobarbital (CAS RN 76-74-4) (d) pentobarbital sodium salt (CAS 57-33-0) (e) secobarbital (CAS RN 76-73-3) (f) secobarbital sodium salt (CAS RN 309-43-3) (g) thiopental (CAS RN 76-75-5) (h) thiopental sodium salt (CAS RN 71-73-8), also known as thiopentone sodium
ex 3003 90 00 ex 3004 90 00 ex 3824 90 96	Note: This item also controls products containing one of the anaesthetic agents listed under short or intermediate acting barbiturate anaesthetic agents.

ANNEX V

UNION GENERAL EXPORT AUTHORISATION EU GEA 2019/125

PART 1

Goods

This general export authorisation covers the goods listed in any entry in Annex IV to Regulation (EU) 2019/125 of the European Parliament and of the Council ([^E0006]).

It also covers supplies of technical assistance to the end-user to the extent that such assistance is necessary for the installation, operation, maintenance or repair of those goods whose export is authorised, if such assistance is provided by the exporter.

PART 2

Destinations

An export authorisation under Regulation (EU) 2019/125 is not required for supplies to a country or territory that is part of the customs territory of the Union, which for the purpose of this Regulation includes Ceuta, Helgoland and Melilla (Article 34(2)).

This general export authorisation is valid throughout the Union for exports to the following destinations:

Danish territories not included in the customs territory:

• — Faroe Islands,

• — Greenland

French territories not included in the customs territory:

• — French Polynesia,

• — French Southern and Antarctic Territories,

• — New Caledonia and Dependencies,

• — Saint-Barthélemy,

• — Saint Pierre and Miquelon,

• — Wallis and Futuna Islands

Dutch territories not included in the customs territory:

• — Aruba,

• — Bonaire,

• — Curaçao,

• — Saba,

• — Sint Eustatius,

• — Sint Maarten

Relevant British territories not included in the customs territory:

• — Anguilla,

• — Bermuda,

• — Falkland Islands,

• — Gibraltar,

• — Montserrat,

• — Saint Helena and Dependencies,

• — South Georgia and the South Sandwich Islands,

• — Turks and Caicos Islands

Albania

Andorra

Argentina

Australia

Benin

Bolivia

Bosnia and Herzegovina

Canada

Cape Verde

Colombia

Costa Rica

Djibouti

Dominican Republic

Ecuador

Gabon

The Gambia

Georgia

Guinea-Bissau

Honduras

Iceland

Kyrgyzstan

Liberia

Liechtenstein

Madagascar

Mexico

Moldova

Mongolia

Montenegro

Mozambique

Namibia

Nepal

New Zealand

Nicaragua

North Macedonia

Norway

Panama

Paraguay

Philippines

Rwanda

San Marino

Sao Tome and Principe

Serbia

Seychelles

South Africa

Switzerland (including Büsingen and Campione d'Italia)

Timor-Leste

Togo

Turkey

Turkmenistan

Ukraine

United Kingdom, without prejudice to the application of Regulation (EU) 2019/125 to and in the United Kingdom in respect of Northern Ireland, in accordance with Article 5(4), read in conjunction with Annex 2, point 47, of the Protocol on Ireland/Northern Ireland annexed to the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and from the European Atomic Energy Community, as of 1 January 2021

Uruguay

Uzbekistan

Venezuela

PART 3

Conditions and requirements for using this general export authorisation

• (1)This general export authorisation may not be used if:

• (a) the exporter has been prohibited from using this general export authorisation in accordance with Article 20(1) of Regulation (EU) 2019/125;

• (b) the competent authorities of the Member State in which the exporter is resident or established have informed the exporter that the goods in question are or may be intended, in their entirety or in part, either for re-export to a third country or to be used for the purpose of capital punishment in a third country;

• (c) the exporter knows or has reasonable grounds to believe that the goods in question are intended, in their entirety or in part, either for re-export to a third country or to be used for the purpose of capital punishment in a third country;

• (d) the relevant goods are exported to a customs free zone or free warehouse which is located in a destination covered by this general export authorisation;

• (e) the exporter is the manufacturer of the medicinal products in question and has not concluded a legally binding agreement with the distributor requiring the latter to make all supplies and transfers subject to the conclusion of a legally binding agreement requiring, preferably subject to a dissuasive contractual penalty, the customer
• (i) not to use any of the goods received from the distributor for capital punishment;
• (ii) not to supply or transfer any of these goods to a third party, if the customer knows or has reasonable grounds to believe that the goods are intended to be used for the purpose of capital punishment; and
• (iii) to impose the same requirements on any third party to which the customer might supply or transfer any of these goods;

• (f) the exporter is not the manufacturer of the medicinal products in question and has not obtained a signed end-user declaration from the end-user in the country of destination;

• (g) the exporter of medicinal products has not concluded a legally binding agreement with the distributor or end-user requiring, preferably subject to a dissuasive contractual penalty, the distributor or, if the agreement was concluded by the end-user, the end-user to obtain prior authorisation from the exporter for
• (i) any transfer or supply of any part of the shipment to a law enforcement authority in a country or territory that has not abolished capital punishment;
• (ii) any transfer or supply of any part of the shipment to a natural or legal person, entity or body procuring relevant goods for or providing services involving use of such goods to such a law enforcement authority, and
• (iii) any re-export or transfer of any part of the shipment to a country or territory that has not abolished capital punishment; or

• (h) the exporter of goods other than medicinal products has not concluded a legally binding agreement referred to in point (g), with the end-user.

• (2)Exporters that use this general export authorisation EU GEA 2019/125 shall notify the competent authorities of the Member State where they are resident or established of their first use of this general export authorisation no later than 30 days after the date when the first export took place.

• Exporters shall also report in the customs declaration the fact that they are using this general export authorisation EU GEA 2019/125 by indicating in box 44 the relevant code found in the TARIC database.

• (3)Reporting requirements attached to the use of this general export authorisation and any additional information that the Member State from which the export is made might require on items exported under this general export authorisation are defined by Member States.

• A Member State may require exporters resident or established in that Member State to register prior to the first use of this general export authorisation. Without prejudice to Article 20(1) of Regulation (EU) 2019/125, registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within ten working days of receipt.

ANNEX VI

LIST OF TERRITORIES OF MEMBER STATES REFERRED TO IN ARTICLE 11(2)

DENMARK:

• — Greenland

FRANCE:

• — New Caledonia and Dependencies,

• — French Polynesia,

• — French Southern and Antarctic Territories,

• — Wallis and Futuna Islands,

• — St Pierre and Miquelon

GERMANY:

• — Büsingen

ANNEX VII

EXPORT OR IMPORT AUTHORISATION FORM REFERRED TO IN ARTICLE 21(1)

Technical specification:

The following form shall measure 210 × 297 mm with a maximum tolerance of 5 mm less and 8 mm more. The boxes are based on a unit of measurement of one tenth of an inch horizontally and one sixth of an inch vertically. The subdivisions are based on a unit of measurement of one tenth of an inch horizontally.

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EUROPEAN UNION

AUTHORISATION EXPORT/IMPORT TORTURE EQUIPMENT

1 Applicant (full name, address, customs number) Type

AUTHORISATION FOREXPORT OR IMPORT OF GOODS THAT COULD BEUSED FOR TORTURE(REGULATION (EU) 2019/125)

2 Consignee (full name and address)

3 Authorisation No

Export Import

4 Expiry date

5 Agent/Representative (if different from applicant)

6 Country where the goods are located

Code

7 Country of destination

Code

8 Member State where a Customs procedure will take place

9 End-user (full name and address)

Issuing authority

10 Description of Item

11 ItemNo 1

12 CN Code

13 Quantity

14 Specific requirements and conditions

10 Description of item

11 ItemNo 2

12 CN Code

13 Quantity

14 Specific requirements and conditions

10 Description of item

11 ItemNo 3

12 HS Code

13 Quantity

14 Specific requirements and conditions

15 The undersigned certifies that, pursuant to Article 9(1) of Regulation (EU) 2019/125 and subject to the requirements, conditions and procedures setout in this form and the attachment(s) to which it refers, the competent authority has authorised [an export] [an import] (delete as not appropriate) concerning the goods described in box 10.

16 Number of attachments

Done at (place, date)

Name (typed or capitals)

Signature: Stamp of issuing authority

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Note: In part of column 17, write the quantity still available and in part 2 of column 17, write the quantity deducted on this occasion

3 Autorisation No

11 Item No

17 Net quantity (Net mass/ other unit with indication of unit)

18 Customs Document (Type and number) and date of deduction

19 Member State, name and signature, stamp of deduction

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Explanatory notes to the form

‘Authorisation for export or import of goods that could be used for torture (Regulation (EU) 2019/125)’.

This authorisation form shall be used to issue an authorisation for an export or import of goods in accordance with Regulation (EU) 2019/125 of the European Parliament and of the Council ([^E0007]). It should not be used to authorise the supply of technical assistance.

The issuing authority is the authority defined in point h of Article 2 of Regulation (EU) 2019/125 which is set out in Annex I to that Regulation.

Authorisations shall be issued on this single page form, which should be printed on both sides. The competent customs office deducts the exported quantities from the total quantity available. It has to make sure that the different items subject to the authorisation are clearly separated for this purpose.

Where national procedures of the Member States require additional copies of the form (as for example for the application) this authorisation form may be included in a form set containing the necessary copies following the national rules applicable. In the box above box 3 of each specimen and in the margin on the left, it should be clearly indicated for which purpose (e.g. application, copy for applicant) the relevant copies are intended. One specimen only shall be the authorisation form set out in Annex VII to Regulation (EU) 2019/125.

Box 1	Applicant:	Please indicate the applicant's name and the full address. The applicant's customs number may also be indicated (optional in most cases). The type of applicant should be indicated (optional) in the relevant box, using the numbers 1, 2 or 4 referring to the points set out in the definition in Article 2(i) of Regulation (EU) 2019/125.
Box 3	Authorisation No:	Please fill out the number and tick either the export or the import box. See Article 2(d) and (e) and Article 34 of Regulation (EU) 2019/125 for the definitions of the terms ‘export’ and ‘import’.
Box 4	Expiry date:	Please state day (two digits), month (two digits) and year (four digits).
Box 5	Agent/representative:	Please indicate the name of a duly authorised representative or (customs) agent acting on behalf of the applicant, if the application is not presented by the applicant. See also Article 18 of Regulation (EU) No 952/2013.
Box 6	Country where the goods are located:	Please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009 of the European Parliament and of the Council [^E0008]. See Commission Regulation (EU) No 1106/2012 [^E0009].
Box 7	Country of destination:	Please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009. See Regulation (EU) No 1106/2012.
Box 10	Description of item:	Please consider including data on packaging of the goods concerned. Note that the value of the goods may also be indicated in box 10. If there is not sufficient space in box 10, please continue on an attached blank sheet, mentioning the authorisation number. Please indicate the number of attachments in box 16. This form is designed for use for up to three different types of goods (see Annexes II and III to Regulation (EU) 2019/125). If it is necessary to authorise the export or import of more than three types of goods, please grant two authorisations.
Box 11	Item No:	This box needs to be completed on the back of the form only. Please ensure that the Item No corresponds to the printed item number in box 11 found next to the description of the relevant item on the view side.
Box 14	Specific requirements and conditions:	If there is not sufficient space in box 14, please continue on an attached blank sheet, mentioning the authorisation number. Please indicate the number of attachments in box 16.
Box 16	Number of attachments:	Please indicate the number of attachments, if any (see explanations to boxes 10 and 14).

Regulation (EC) No 471/2009 of the European Parliament and of the Council of 6 May 2009 on Community statistics relating to external trade with non-member countries and repealing Council Regulation (EC) No 1172/95 (OJ L 152, 16.6.2009, p. 23).

Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries of countries and territories (OJ L 328, 28.11.2012, p. 7).

ANNEX VIII

AUTHORISATION FORM FOR THE SUPPLY OF BROKERING SERVICES REFERRED TO IN ARTICLE 21(1)

Technical specification:

The following form shall measure 210 × 297 mm with a maximum tolerance of 5 mm less and 8 mm more. The boxes are based on a unit of measurement of one tenth of an inch horizontally and one sixth of an inch vertically. The subdivisions are based on a unit of measurement of one tenth of an inch horizontally.

Image omitted; see official source

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EUROPEAN UNION

1

1 Applying broker (full name and address)

AUTHORISATION FOR THE SUPPLY OF BROKERINGSERVICES RELATED TO GOODS THAT COULD BE USEDFOR TORTURE OR FOR CAPITAL PUNISHMENT(REGULATION (EU) 2019/125)

Authorisation Brokering Services (Regulation (EU) 2019/125)

2 Natural person or legal person, entity or body exporting the goods from the relevant third country to thethird country of destination (full name and address)

3 Authorisation No

Individual authorisation Global authorisation

4 Expiry date

5 Consingnee in third country of destination (full name and address)

End user Distributor Other

6 Third country where goods are located

Country code

7 Third country of destination

Country code

8 End user of distributor in third country of destination (full name and address) if different from consignee

End user Distributor

9 Member State in which the broker is resident or established

If there is no such Member State, Member State of which the broker is a national or incorporated legal person, entity or body

1

10 Third parties involved (e.g. agent)

Issuing authority

11 End use (where appropriate)

12 Precise information on the location of the goods in the third country where the goods are located

13 Description of item

14 ItemNo 1

15 HS Code

16 Quantity

17 Currency and value

13 Description of item

14 ItemNo 2

15 HS Code

16 Quantity

17 Currency and value

13 Description of item

14 ItemNo 3

15 HS Code

16 Quantity

17 Currency and value

18 Specific requirements and conditions

19 The undersigned certifies that pursuant to Article 9(1) of Regulation (EU) 2019/125 and subject to the requirements, conditions and procedures set out in this form and the attachement(s) to which it refers, the competent authority has authorised brokering services concerning the goods described in box 13.

20 Number of attachments

Done at (place, date)

Name (typed or capitals)

Signature: Stamp of issuing authority

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EUROPEAN UNION

Report on use of authorised quantities

AUTHORISATION FOR THE SUPPLY OF BROKERINGSERVICES RELATED TO GOODS THAT COULD BE USEDFOR TORTURE OR FOR CAPITAL PUNISHMENT(REGULATION (EU) 2019/125)

Note: In column 21 write the quantity still available in part 1 and the quantity deducted on this occasion in part 2

3 Authorisation No

14 Item No

21 Net quantity (Net mass or other unit) with indication of unit

22 Date of deduction

23 Reference document (State, type, number)

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Explanatory notes to the form

‘Authorisation for the supply of brokering services related to goods that could be used for capital punishment or for torture (Regulation (EU) 2019/125 of the European Parliament and of the Council ([^E0010]))’.

This authorisation form shall be used to issue an authorisation for brokering services in accordance with Regulation (EU) 2019/125.

The issuing authority is the authority defined in point (h) of Article 2 of Regulation (EU) 2019/125. It is an authority that is included in the list of competent authorities in Annex I to that Regulation.

Box 1	Applying broker	Please indicate the name and full address of the applying broker. Broker is defined in point (l) of Article 2 of Regulation (EU) 2019/125.
Box 3	Authorisation No	Please fill out the number and tick the appropriate box indicating whether the authorisation is an individual or global one (see points (p) and (q) of Article 2 of Regulation (EU) 2019/125 for the definitions).
Box 4	Expiry date	Please state day (two digits), month (two digits) and year (four digits). The period of validity of an individual authorisation is from three months to twelve months and that of a global authorisation from one year to three years. When the period of validity comes to an end, an extension can be requested, if necessary.
Box 5	Consignee	Please indicate, in addition to the name and address, whether the consignee in the third country of destination is an end-user, a distributor as referred to in point (r) of Article 2 of Regulation (EU) 2019/125 or a party having another role in the transaction. If the consignee is a distributor but also uses part of the shipment for a specific end-use, please tick both ‘Distributor’ and ‘End-user’ and mention the end-use in box 11.
Box 6	Third country where the goods are located	Please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009 of the European Parliament and of the Council [^E0011]. See Commission Regulation (EU) No 1106/2012 [^E0012].
Box 7	Third country of destination	Please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009. See Regulation (EU) No 1106/2012.
Box 9	Issuing Member State	Please state in the appropriate line both the name of the Member State concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009. See Regulation (EU) No 1106/2012.
Box 11	End use	Please give a precise description of the use that will be made of the goods and also indicate whether the end user is a law enforcement authority as defined in point (c) of Article 2 of Regulation (EU) 2019/125 or a supplier of training on the use of the brokered goods. Leave blank if the brokering services are supplied to a distributor, unless the distributor itself uses part of the goods for a specific end-use.
Box 12	Precise location of the goods in the third country from which they will be exported	Please describe the whereabouts of the goods in the third country from which they will be supplied to the person, entity or body mentioned in box 2. The location must be an address in the country mentioned in box 6 or similar information describing the whereabouts of the goods. Note that indicating a post office box number or similar postal address is not allowed.
Box 13	Description of item	The description of the goods should include a reference to a specific item of Annex III or IV to Regulation (EU) 2019/125. Please consider including data on packaging of the goods concerned. If there is not sufficient space in box 13, please continue on an attached blank sheet, mentioning the authorisation number. Please indicate the number of attachments in box 20.
Box 14	Item No	This box needs to be completed on the back of the form only. Please ensure that the Item No corresponds to the printed item number in box 14 found next to the description of the relevant item on the view side.
Box 15	HS code	The HS code is a customs code assigned to the goods in the Harmonised System. Where the code from the EU Combined Nomenclature is known, that code may be used instead. See Commission Implementing Regulation (EU) 2016/1821 [^E0013] for the current version of the Combined Nomenclature.
Box 17	Currency and value	Please indicate the value and currency using the price that is payable (without converting it). If that price is not known, the estimated value should be stated, preceded by the mention EV. The currency has to be indicated using the alphabetic code (ISO 4217:2015).
Box 18	Specific requirements and conditions	Box 18 concerns the item 1, 2 or 3 (please specify where appropriate) described in the boxes 14 to 16 preceding it. If there is not sufficient space in box 18, please continue on an attached blank sheet, mentioning the authorisation number. Please indicate the number of attachments in box 20.
Box 20	Number of attachments	Please indicate the number of attachments, if any (see explanations to boxes 13 and 18).

Regulation (EC) No 471/2009 of the European Parliament and of the Council of 6 May 2009 on Community statistics relating to external trade with non-member countries and repealing Council Regulation (EC) No 1172/95 (OJ L 152, 16.6.2009, p. 23).

Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries of countries and territories (OJ L 328, 28.11.2012, p. 7).

Commission Implementing Regulation (EU) 2016/1821 of 6 October 2016 amending Annex I to Council Regulation (EEC) No 2658/87 on the tariff and statistical nomenclature and on the Common Customs Tariff (OJ L 294, 28.10.2016, p. 1).

ANNEX IX

AUTHORISATION FORM FOR THE SUPPLY OF TECHNICAL ASSISTANCE REFERRED TO IN ARTICLE 21(1)

Technical specification:

The following form shall measure 210 × 297 mm with a maximum tolerance of 5 mm less and 8 mm more. The boxes are based on a unit of measurement of one tenth of an inch horizontally and one sixth of an inch vertically. The subdivisions are based on a unit of measurement of one tenth of an inch horizontally.

Image omitted; see official source

Text of image

EUROPEAN UNION

1

1 Applying supplier of technical assistance (full name and address)

AUTHORISATION FOR THE SUPPLY OF TECHNICALASSISTANCE RELATED TO GOODS THAT COULD BEUSED FOR TORTURE OR FOR CAPITAL PUNISHMENT(REGULATION (EU) 2019/125)

Authorisation technical Assistance (Regulation (EU) 2019/125)

2 Natural person or legal person, entity or body to whom the technical assistance will be supplied (full name and address)

3 Authorisation No

Based on Article 3 4 7a 7d

4 Expiry date

5 The natural or legal person, entity or body mentioned at 2 is

A museum

A law enforcement agency

An institution providing education or training

A supplier of repair services, maintanace or other technical services related to the goods to which the technical assistance relates

A manufacturer of the goods to which

None of the above. Please specify the activity of the natural or legal person, entity or body at 2:

6 Third country or Member State to which the technical assistance will be supplied (name and code)

7 This authorisation applies to

A single supply of technical assistance

Technical assistance provided during a period of time. Please specify the period concerned:

8 Member State in which the supplier of technical assistance is resident or established

If there is no such Member State, Member State of which the supplier of technical assistance is a national or incorporated legal person, entity or body

1

9 Description of the type of googd to which the technical assistance relates

Issuing authority

10 Description of the technical assistance that is authorised

11 If the person, entity or body mentioned at 2 is a person, entity or body in a third country, the technical assistance will be supplied

from the EU to that third country by staff in that third country from another third country (please specify)

12 Description of any training on the use of the goods to which the technical assistance relates, which will be supplied to the natural or legal person, entity or body mentioned at 2

13 The training on the use of goods mentioned at 9 will be supplied by:

The supplier of technical assistance mentioned at 1

A third country acting on behalf of or in association with the supplier of technical assistance (full name and address)

14 Specific requirements and conditions

15 The undersigned certifies that pursuant to Article 9(1) of Regulation (EU) 2019/125 and subject to the requirements, conditions and procedures set out in this form and the attachment(s) to which it refers, the competent authority has authorised the supply of technical assistance concerning the goods described in box 9.

16 Number of attachments

Done at (place, date)

Name (typed or capitals)

Signature: (Stamp of issuing authority)

Explanatory notes to the form

‘Authorisation for the supply of technical assistance related to goods that could be used for capital punishment or for torture (Regulation (EU) 2019/125 of the European Parliament and of the Council ([^E0014]))’.

This authorisation form shall be used to authorise a supply of technical assistance in accordance with Regulation (EU) 2019/125. If the technical assistance accompanies an export for which an authorisation is granted by or in accordance with Regulation (EU) 2019/125, this form should not be used, except in the following cases:

• — the technical assistance relates to goods listed in Annex II to Regulation (EU) 2019/125 (see Article 3(2)); or

• — the technical assistance relating to goods listed in Annex III or in Annex IV to Regulation (EU) 2019/125 goes beyond what is necessary for the installation, operation, maintenance or repair of the exported goods (see Article 21(2) and, as regards goods listed in Annex IV, Part 1 of the Union General Export Authorisation EU GEA 2019/125 in Annex V to Regulation (EU) 2019/125).

The issuing authority is the authority defined in point (h) of Article 2 of Regulation (EU) 2019/125. It is an authority that is included in the list of competent authorities in Annex I to that Regulation.

Authorisations shall be issued on this single page form with attachments as necessary.

Box 1	Applying supplier of technical assistance	Please indicate the applicant's name and full address. Supplier of technical assistance is defined in point (m) of Article 2 of Regulation (EU) 2019/125. If the technical assistance accompanies an export for which an authorisation is granted, please also indicate the applicant's customs number, if possible, and indicate the number of the related export authorisation in box 14.
Box 3	Authorisation No	Please fill out the number and tick the appropriate box indicating the Article of Regulation (EU) 2019/125 on which the authorisation is based.
Box 4	Expiry date	Please state day (two digits), month (two digits) and year (four digits). The period of validity of an authorisation is from three months to twelve months. When the period of validity comes to an end, an extension can be requested, if necessary.
Box 5	Activity of the natural or legal person, entity or body mentioned at 2	Please indicate the main activity of the person, entity or body to which the technical assistance will be supplied. The term law enforcement authority is defined in point (c) of Article 2 of Regulation (EU) 2019/125. If the main activity is not in the list, tick ‘None of the above’ and describe the main activity using generic words (e.g. wholesaler, retailer, hospital).
Box 6	Third country or Member State to which the technical assistance will be supplied	Please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009 [^E0015] of the European Parliament and of the Council. See Commission Regulation (EU) No 1106/2012 [^E0016]. Note that in box 6 a Member State should only be mentioned, if the authorisation is based on Article 4 of Regulation (EU) 2019/125.
Box 7	Type of authorisation	Please indicate whether the supply of technical assistance is provided during a particular period and, if so, state the period in days, weeks or months during which the supplier of technical assistance has to respond to requests for advice, support or training. A single supply of technical assistance concerns one specific request for advice or support or a specific training (even if it concerns a course given during several days).
Box 8	Issuing Member State	Please state in the appropriate line both the name of the Member State concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009. See Regulation (EU) No 1106/2012.
Box 9	Description of the type of goods to which the technical assistance relates	Please describe the type of goods concerned by the technical assistance. The description should include a reference to a specific item of Annex II, III or IV to Regulation (EU) 2019/125.
Box 10	Description of the technical assistance that is authorised	Please describe the technical assistance in a clear and precise manner. Insert a reference to the date and number of an agreement concluded by the supplier of technical assistance or attach such an agreement, where appropriate.
Box 11	Mode of supply	Box 11 should not be filled out if the authorisation is based on Article 4 of Regulation (EU) 2019/125. If the technical assistance is supplied from a third country other than the third country where the recipient is resident or established, please state both the name of the country concerned and the relevant country code taken from the codes established pursuant to Regulation (EC) No 471/2009. See Regulation (EU) No 1106/2012.
Box 12	Description of training on the use of goods to which the technical assistance relates	Please indicate whether the technical support or technical service covered by the definition of technical assistance in point (f) of Article 2 of Regulation (EU) 2019/125 is accompanied by training for users of the relevant goods. Please state which type of users will receive such training and specify the objectives and contents of the training programme.
Box 14	Specific requirements and conditions	If there is not sufficient space in box 14, please continue on an attached blank sheet, mentioning the authorisation number. Please indicate the number of attachments in box 16.
Box 16	Number of attachments	Please indicate the number of attachments, if any (see explanations to boxes 10 and 14).

Regulation (EC) No 471/2009 of the European Parliament and of the Council of 6 May 2009 on Community statistics relating to external trade with non-member countries and repealing Council Regulation (EC) No 1172/95 (OJ L 152, 16.6.2009, p. 23).

Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries of countries and territories (OJ L 328, 28.11.2012, p. 7).

ANNEX X

REPEALED REGULATION WITH LIST OF ITS SUCCESSIVE AMENDMENTS

Council Regulation (EC) No 1236/2005 (OJ L 200, 30.7.2005, p. 1)
Commission Regulation (EC) No 1377/2006 (OJ L 255, 19.9.2006, p. 3)
Council Regulation (EC) No 1791/2006 (OJ L 363, 20.12.2006, p. 1)	Only the thirteenth indent of Article 1(1) as regards Regulation (EC) No 1236/2005, and point 13(5) of the Annex
Commission Regulation (EC) No 675/2008 (OJ L 189, 17.7.2008, p. 14)
Commission Regulation (EU) No 1226/2010 (OJ L 336, 21.12.2010, p. 13)
Commission Implementing Regulation (EU) No 1352/2011 (OJ L 338, 21.12.2011, p. 31)
Council Regulation (EU) No 517/2013 (OJ L 158, 10.6.2013, p. 1)	Only Article 1(1)(n), fourth indent, and point 16(4) of the Annex
Commission Regulation (EU) No 585/2013 (OJ L 169, 21.6.2013, p. 46)
Regulation (EU) No 37/2014 of the European Parliament and of the Council (OJ L 18, 21.1.2014, p. 1)	Only point 12 of the Annex
Commission Implementing Regulation (EU) No 775/2014 (OJ L 210, 17.7.2014, p. 1)
Commission Delegated Regulation (EU) 2015/1113 (OJ L 182, 10.7.2015, p. 10)
Regulation (EU) 2016/2134 of the European Parliament and of the Council (OJ L 338, 13.12.2016, p. 1)
Commission Delegated Regulation (EU) 2018/181 (OJ L 40, 13.2.2018, p. 1)

ANNEX XI

CORRELATION TABLE

Regulation (EC) No 1236/2005	This Regulation
Article 1	Article 1
Article 2	Article 2
Article 3	Article 3
Article 4	Article 4
Article 4a	Article 5
Article 4b	Article 6
Article 4c	Article 7
Article 4d	Article 8
Article 4e	Article 9
Article 4f	Article 10
Article 5	Article 11
Article 6(1)	Article 12(1)
Article 6(2), first subparagraph	Article 12(2), first subparagraph
Article 6(2), second subparagraph, introductory wording	Article 12(2), second subparagraph, introductory wording
Article 6(2), second subparagraph, first indent	Article 12(2), second subparagraph, point (a)
Article 6(2), second subparagraph, second indent	Article 12(2), second subparagraph, point (b)
Article 6(2), third subparagraph	Article 12(2), third subparagraph
Article 6(3), introductory wording	Article 12(3), first subparagraph
Article 6(3), point 3.1	Article 12(3), second subparagraph
Article 6(3), point 3.2	Article 12(3), third subparagraph
Article 6a	Article 13
Article 7	Article 14
Article 7a	Article 15
Article 7b	Article 16
Article 7c(1)	Article 17(1)
Article 7c(2)	Article 17(2)
Article 7c(3), introductory wording	Article 17(3), first subparagraph
Article 7c(3), point 3.1	Article 17(3), second subparagraph
Article 7c(3), point 3.2	Article 17(3), third subparagraph
Article 7c(3), point 3.3	Article 17(3), fourth subparagraph
Article 7c(4)	Article 17(4)
Article 7d	Article 18
Article 7e	Article 19
Article 8	Article 20
Article 9	Article 21
Article 10	Article 22
Article 11	Article 23
Article 12	Article 24
Article 12a	Article 25
Article 13(1), (2) and (3)	Article 26(1), (2) and (3)
Article 13(3a)	Article 26(4)
Article 13(4)	Article 26(5)
Article 13(5)	Article 26(6)
Article 13a	Article 27
Article 14	Article 28
Article 15a	Article 29
Article 15b	Article 30
Article 15c	Article 31
Article 15d	Article 32
Article 17	Article 33
Article 18	Article 34
—	Article 35
Article 19	Article 36
Annex I	Annex I
Annex II	Annex II
Annex III	Annex III
Annex IIIa	Annex IV
Annex IIIb	Annex V
Annex IV	Annex VI
Annex V	Annex VII
Annex VI	Annex VIII
Annex VII	Annex IX
—	Annex X
—	Annex XI

[^E0001]: Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ L 269, 10.10.2013, p. 1).

[^E0002]: Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).

[^E0003]: Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff (OJ L 256, 7.9.1987, p. 1, ELI: http://data.europa.eu/eli/reg/1987/2658/oj).

[^E0006]: Regulation (EU) 2019/125 of the European Parliament and of the Council of 16 January 2019 concerning trade in certain goods which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment (see page 1 of this Official Journal).

[^E0007]: Regulation (EU) 2019/125 of the European Parliament and of the Council of 16 January 2019 concerning trade in certain goods which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment (OJ L 30, 31.1.2019, p. 1).

[^E0010]: Regulation (EU) 2019/125 of the European Parliament and of the Council of 16 January 2019 concerning trade in certain goods which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment (OJ L 30, 31.1.2019, p. 1).

[^E0014]: Regulation (EU) 2019/125 of the European Parliament and of the Council of 16 January 2019 concerning trade in certain goods which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment (OJ L 30, 31.1.2019, p. 1).