First Foreign Trade Regulation 2011-1. Außhv 2011

Original Language Title: Erste Außenhandelsverordnung 2011 – 1. AußHV 2011

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343. Regulation of the Federal Minister of economy, family and youth to the implementation of the foreign trade law 2011 (first foreign trade regulation 2011-1st AußHV 2011)

According to the foreign trade law 2011 - AußHG 2011, Federal Law Gazette I no. 26, in particular due to the article 1, par. 2 and 3, 13 para of 3, 16 para of 1, 17 para 2, 19 paragraph 3, 4 and 5, 25, 27 para. 2, 28, 30 par. 4, 36 paragraph of 4, 44 para of 8, 45 para of 2, 54 paragraph of 2, 59 paragraph of 9, 62 para is 2, 65 (2) and 72 in terms of § 6 of this regulation in the agreement with the Federal Minister for European and international affairs as well as with the Minister of finance prescribed in terms of sections 6 and 19 of this regulation in the agreement:

Table of contents

1 section

Defence equipment

Section 1 defence 2nd section

End use

§ 2. assessment of the end use 3rd section

Restrictions on movements with third countries


§ 3 national General authorisation section 4 reporting requirements when using global licences § 5 reporting requirements relating to the export and procurement of certain goods with dual-use 4 section

Embargo

§ 6 5 ban section

Transfers of defence-related products within the European Union


§ 7 exempted from the permit requirements § 8 general authorisations § 9 reporting requirements when using global licences § 10 requirements for the certification of companies 6 section

Chemicals


§ 11 categories of chemicals article 12 thresholds for the application of restrictions on activities relating to chemicals § 13 thresholds for the application of restrictions on mixtures of chemicals and finished products § 14 reporting requirements 7 section

Requirements

§ 15 proof of the arrival of goods at the receiver 8 section

Reporting requirements for the use of general authorisations

Section 16 reporting requirements 9 section

Record-keeping obligations

§ 17 records at 10 weapons section

Preliminary inquiry

§ 18 contents of applications for 11 section

Exemption provisions for restrictions on imports

Section 19 exemption provisions 12 section

Final provisions


§ 20 note notification to article 21 entry into force 1 section

Defence equipment

Defence equipment

Section 1 defence equipment within the meaning of article 1, paragraph 1 Z 4 AußHG 2011 are all goods of the common military list of the European Union, OJ No. C 86/01 18.03. 2011 p. 1.

2. section

End use

Assessment of the end-use

2. (1) documents establishing the end use in the sense of § 13 AußHG 2011 have to contain in particular the following information:



1. Description of the goods;

2. quantity of goods;

3. estimated value of the goods;

4. end use of the goods;

5. name, address and, if available, telephone number, fax number and E-Mail address of the applicant;

6. name, address and, if available, telephone number, fax number and E-Mail address of the recipient and of the end user;

7 business of the receiver and end user;

8 country of destination and 9 final whereabouts Declaration in accordance with paragraph 2.

(2) the recipient has to undertake, to none other than the specified end users leave the estate. The receiver itself, the end user, he has to undertake to use the goods to none other than the stated purpose.

(3) If this is sufficient for a comprehensive evaluation of the approval criteria, Nos. 6, 7 and 9, as well as of paragraph 2 the following information and evidence are by way of derogation from paragraph 1 in deliveries to dealers who are entitled in the country of destination to the trade with the delivered goods, required:



1. name, address and, if available, telephone number, fax number and E-Mail address of all known additional recipient and end-users, and whose business activities;

2. undertaking to adhere all notification requirements with respect to the admissibility of the transfer of the goods supplied.

3. section

Restrictions on movements with third countries

National General authorisation

3. (1) the export of dual-use goods, in annex I of to Regulation (EC) No. 428/2009 setting up a Community regime for the control of exports, transfer, the mediation and the transit of dual use goods, OJ No. L 134 of 29.05 2009 p. 1, amended, are indicated, is subject to a national General authorisation, if



1. these goods in the customs territory of the European Union have been spent, 2. not more than three months in the customs territory of the European Union remained and 3 then either a) these goods again will run unchanged in the country of dispatch or b) goods of the same number and nature are carried out in the country of dispatch.

(2) the national General authorisation referred to in paragraph 1 shall not apply to exports



1 of goods with dual-use items listed in annex II, part 2, of Regulation (EC) No. 428/2009, in the current version, or 2. in a country that is one of the third countries listed in annex 1.

(3) the use of a national General authorisation within the meaning of paragraph 1 it should be noted in the required for the export customs declaration under application of the customs regulations for this purpose.

Reporting requirements when using global export authorisations

4. (1) the holders of global export authorisations in accordance with article 17 AußHG 2011 have to make each calendar year messages on all supplies made over the previous calendar year no later than March 1.

(2) the notifications referred to in paragraph 1 shall contain in particular:



1. name and address of the permit holder;

2. number of the global authorisation;

3. specification of the goods including customs tariff number;

4. receiver and familiar end-user of the goods and 5. amount and value of exported with date of customs clearance.

Reporting requirements relating to the export and procurement of certain dual use goods

5. (1) persons or companies who intend to run dual use goods which are not listed in annex I of to Regulation (EC) No. 428/2009, in the current version, or that the General export authorisation in accordance with article 9, paragraph 1 of Regulation (EC) No. 428/2009, in its current version, or a general authorisation in accordance with article 3, paragraph 1, are subject to have to a report before export , if



1. they have reasonable grounds to believe that the goods are wholly or partly for determining article 4 No. 428/2009, in the current version, use purposes paragraph 1 of Regulation (EC) or can be determined, or 2. is known to them, that the goods fully or partially for a in article 4 paragraph 1, 2 or 3 of Regulation (EC) No. 428/2009 , in its up-to-date version, uses referred to intended.

(2) a notification referred to in paragraph 1 shall contain in particular:



1. Description of the goods;

2. name and address of the intended recipient;

3. name and address of the intended end user, if this is known, and 4 in the case of paragraph 1 Z 1 specifying the circumstances, to have reason to believe, and in the case of paragraph 1 Z 2 with the known purpose.

(3) persons or companies who intend to convey dual use goods, have, regardless of whether these goods in annex I of to Regulation (EC) No. 428/2009, in its up-to-date version, led or not, to submit a message, if



1 of them is known they have reasonable grounds to believe that the goods are wholly or partly for determining article 4 No. 428/2009, in the current version, use purposes paragraph 1 of Regulation (EC) or can be determined, or 2. is known to them, that the goods fully or partially for a in article 4 paragraph 2 or 3 of Regulation (EC) No. 428/2009 , in its up-to-date version, uses referred to intended.

(4) a notification referred to in paragraph 3 shall contain in particular:



1. Description of the goods including the position in the list in annex I of to Regulation (EC) No. 428/2009, in the currently valid version, if it's goods is stated.

2. name and address of the intended recipient;

3. name and address of the intended end user, if known;

4. name and address of the supplier and 5 in the case of paragraph 3 No. 1 the intended use or specify of the circumstances which have led to the justified suspicion, and in the case of paragraph 3 Z 2 the intended use.

(5) in cases of justified suspicion within the meaning of paragraph 1 Z 1 and 3 is Z 1 connect a document establishing the end use within the meaning of § 2 a message.

4 section

Embargo

Arms embargo

6. (1) you are those over which an arms embargo on the basis of § 25 AußHG applies 2011 mentioned obligations in third countries referred to in annex 1 to this regulation.

(2) prohibited are:



1. the export, transit and brokerage of defence-related products within the meaning of § 1 in third States that are listed in Appendix 1, 2. other operations within the meaning of article 1, paragraph 1 Z 23 AußHG 2011, which lead to a movement of defence-related products in these countries, and 3. the importation of defence-related products within the meaning of § 1 in third countries are listed in Appendix 2.


(3) operations within the meaning of section 2 are subject to no. 1 and no. 2, which are covered by the derogations listed in annex 3 not the prohibition referred to in paragraph 2, but a permit requirement.

5. section

Transfers of defence-related products within the European Union

Exemptions from the permit requirements

The movement of defence-related products to other EU Member States is governed by § 7 no permit requirement, if these goods are sent back for repair, maintenance, exhibition or use for demonstration purposes back in the Federal territory.

General authorisations

Section 8 (1) the general authorisation shipment subject to Z 1 to 5 AußHG according to § 28 para. 1 2011 within the European Union.

(2) a general authorisation other subject than in referred paragraph 1 shipment operations within the European Union, where up to five firearms, the the Weapons Act 1996 - WaffG, Federal Law Gazette I no. 12/1997, last amended by Federal Law Gazette I no. 4/2008, are subject to, are spent by persons or companies that have a business license to trade in such weapons,.

(3) for general authorisations according to the par. 1 and 2 with the exception of the general authorisations in accordance with article 28, paragraph 1 5 AußHG 2011 apply Z export restrictions in the third countries referred to in annex 1.

(4) a general authorisation in accordance with article 28, paragraph 1 Z 5 AußHG 2011 may be used, if either



1. a statement of the recipient exists attesting that the components spent within the scope of this approval in his own goods are integrated or will be integrated and not again independently spent therefore as such at a later date or can be carried out unless the export restrictions referred to in paragraph 3 are complied for the purpose of maintenance or repair, or 2..

Reporting requirements when using global export authorisations

§ 9 (1) the holders of global export authorisations according to § 30 AußHG 2011 have to make each calendar year messages on all supplies made over the previous calendar year no later than March 1.

(2) the notifications referred to in paragraph 1 shall contain in particular:



1. name and address of the permit holder;

2. number of the global authorisation;

3. specification of the goods including customs tariff number;

4. receiver and familiar end-user of the goods;

5. country and that other EU Member States, on which the goods were spent, and 6 amount and value of the shipped goods.

Requirements for the certification of enterprises

10. (1) persons or companies have as prerequisite for certification in accordance with the § 36 and 37 AußHG § 2011 is for the purpose of the practical implementation of that within the structure of the Organization to set up an internal control system movement control, integrated into the existing in-house processes. This system must be directly linked to the export control systems so that export operations, following a shipment, can immediately be identified.

(2) scope and complexity of the systems referred to in paragraph 1 are to turn off on the size of the company and to allow a full and rapid traceability of all vaccination - and export operations.

(3) it is to ensure that at least two people are responsible for the processing of export or shipment operations.

(4) the Executive pursuant to § 36 para 2 Z 3 AußHG 2011 must be at least one of the responsible officer within the meaning of § 50 AußHG 2011 and member of the Management Board of the company. It has the personal responsibility for the implementation of all internal programs to comply with vaccination - and export control procedures and care of the export control system of the company to come to. Moreover, the management and supervision of the staff of export and movement control the company are the responsibility of's you.

(5) it is to ensure that all employees involved in export and shipment operations before their deployment in this area immediately with all of their field of activity are familiar applicable regulations and internal control procedures and be informed without delay of any changes to these regulations and control procedures.

(6) an application for certification within the meaning of article 36, paragraph 1 AußHG 2011 has to contain in particular the following information:



1. information on organizational, human and technical resources for the implementation and monitoring of the export, transit, commutation and transfer operations;

2. evidence of measures to comply with the relevant vaccination and export control regulations;

3. representation of the hierarchy of those responsible and the distribution of responsibilities within the company;

4. name, address, position in the company and area of responsibility of executives in accordance with paragraph 4;

5. Description of the internal audit and control structures and procedures;

6. Description of the internal organisational procedures and safety measures before, during, and after the approval phase of operations within the meaning of no. 1 includes the system of required records and 7 information and evidence of the measures within the meaning of paragraph 5 to the training, awareness-raising and training for staff involved in operations within the meaning of no. 1.

6 article

Chemicals

Categories of chemicals

§ 11 chemicals of categories 1 to 6 are the goods listed in Appendix 4 in the respective categories.

Thresholds for the application of restrictions on activities related to chemicals

§ 12. The thresholds specified in annex 4 apply to chemicals of the categories 1 to 6. The specified threshold always refer to a calculated 100% purity of the chemicals.

Thresholds for the application of restrictions on mixtures of chemicals and finished products

13. (1) in article 45, paragraph 1 AußHG 2011 called prohibition, authorisation or reporting requirements for all or individual operations or activities of the blends and finished products, annex 4 contained chemicals, do not apply, if a chemical covered by the respective restriction below in Appendix 4 of specified quantity and concentration thresholds.

(2) even dilute solutions of chemicals apply a mixture of chemicals.

(3) the exemptions referred to in paragraph 1 do not apply to mixtures, the chemicals of category 1 of the annex 4 contained.

Reporting requirements

14. (1) initial messages, periodic messages, and messages about the task of an activity within the meaning of § 44 para 2 AußHG 2011 have for each in accordance with article 44, paragraph 1 Z 2-4 reportable chemicals and any concentration of such chemicals separated to be carried out.

(2) all sorts of messages within the meaning of paragraph 1 shall contain in particular:



1. name and address of the notifying parties and addresses of all production sites in Austria, where the chemical is developed, manufactured or stored

2. name and address of the owner or of the company which operates the production facilities;

3. name, address and, if available, telephone number, fax number and E-Mail address of a responsible officer in accordance with section 50 AußHG 2011.

4. chemical name according to nomenclature of the International Union of pure and applied chemistry (IUPAC), number in accordance with the Chemical Abstracts Service (CAS number), and any trade names of chemicals;

5. concentration of the chemical;

6 number of production facilities within a production facility of the company carrying out reporting activities;

7 plant type where to specify whether a facility, specifically used for the production of reportable chemicals or to a multi-purpose plant;

8 production capacity of the production plant, which manufactures the chemical;

9 intended use of the chemical and 10 main activities of the notifying parties.

(3) periodic messages for each of the chemicals referred to in paragraph 1 and concentrations are to submit at the following times:



1 year advance messages that relate to the reportable activities planned for the next calendar year: until no later than 30 September of each calendar year, and 2. year-end messages, which themselves were reportable activities on the in the preceding calendar year are: no later than 1 March of each calendar year.

(4) periodic reports concerning chemicals within the meaning of article 44, paragraph 1 Z 2 AußHG 2011 shall contain in addition the following data:



1 year advance warning: a) in the following calendar year expected to be developed, produced and implemented total amounts of each chemical or concentration and b) for chemicals of category 2 of the period in which the affected chemical is to expected to be produced and 2nd annual message: a) produced and implemented total amounts of each chemical or concentration has developed in the last calendar year,

(b) the period in which the affected chemical or concentration was produced;

(c) introduced from other EU Member States-related total quantities and any chemical, their concentration as well as break down the quantities by country of origin, manufacturer, shipper and intended use;

d)

running and in other EU Member States spent total quantities of each chemical, their concentration, as well as the breakdown of this amount by exporting country, manufacturer, end user, mailers and intended use and e) each chemical in stock and their concentrations at all sites of the company at the beginning and at the end of the calendar year.

(5) periodic reports concerning chemicals within the meaning of article 44, paragraph 1 Z 3 AußHG 2011 shall contain in addition the following data:



1 year advance warning: a) in the following calendar year expected to be developed, produced and implemented total amounts of each chemical or concentration and b) number of production facilities, as well as number of production facilities for category 5 chemicals used at the production site of the company and 2nd annual message used for chemicals of category 4: a) in the last calendar year, produced and implemented total amounts of each chemical or concentration and b developed,) number of production facilities, as well as number of production facilities for category 5 chemicals used at the plant used for chemicals of category 4 of the company.

(6) in the case of chemicals within the meaning of article 44, paragraph 1 Z 2011 are 4 AußHG to specify also the following data in the annual message:



1. in the past year developed, produced and implemented total quantities of each chemical and their concentration;

2. introduced and from other EU Member States-related total quantities of each chemical, their concentration as well as break down the quantities by country of origin, manufacturer, shipper and intended use;

3. running and spent in other EU Member States total amounts of each chemical, their concentration, as well as breakdown of these amounts after exporting country, end-users, mailers and intended use and 4 stock of any chemicals or concentrations at all sites of the company at the beginning and at the end of the calendar year.

7 section

Requirements

Proof of the arrival of goods to the recipient

Section 15 (1) persons or companies that perform defence equipment pursuant to part ML1 of the common military list referred to in article 1 of the European Union, to perform or provide, is as a condition within the meaning of section 54 paragraph 2 Z 3 AußHG 2011 proof to impose that the goods actually at the specified recipient in terms of the approval in the specified destination country have arrived.

(2) this evidence is to provide, by a declaration signed by the receiver by hand.

8 section

Reporting requirements for the use of general authorisations

Reporting requirements

16. (1) for the purpose of registration is the Federal Ministry of economy, family and youth intend to use one or more general authorisations within the meaning of article 1, paragraph 1 Z 26 AußHG 2011 prior to the first operation to report.

(2) this message is for any type of general authorisation, that is to be invoked, to include in particular the following data:



1. specification, whether it is to a general authorisation in accordance with article 1 para. 1 No. 26 lit. a, b, or c AußHG 2011 is;

2. name and address of the person or company that would like to take this general authorisation to complete;

3. Description of the goods or goods categories, for which this general authorisation should be used, including customs tariff numbers and 4. prospective recipient and destination countries.

(3) all registered persons or companies are committed to annual report aggregated data about all business transactions carried out in a calendar year as part of a general authorisation. This message is for any general authorisation, which was used, to dispose of separately.

(4) a notification referred to in paragraph 3 has to be carried out no later than 1 March of the following year.

(5) this message must contain the following data:



1. specification, whether it is to a general authorisation in accordance with article 1 para. 1 No. 26 lit. a, b, or c AußHG 2011 is;

2. name and address of the person or company that has taken the general authorisation to complete;

3. Description of the goods or goods categories was used for the general authorisation, including customs tariff numbers;

4. receiver and familiar end-user of the goods and 5 total quantities and values of exported or shipped goods.

9 section

Record-keeping obligations

Records in weapons

§ Are 17 persons or companies not amended I no. 111/2010, obliged No. 194/1994, to conduct a weapons book within the meaning of section 144 of the Gewerbeordnung, BGBl. the Federal Act Federal Law Gazette, have the label of the goods within the meaning of section 65, subsection 2 Z 1 AußHG 2011, if it is to defence equipment pursuant to part ML1 of the common military list referred to in article 1 of the European Union , to specify the production number.

10 section

Pre-registration questions

Contents of applications

§ 18. A preliminary inquiry has all information to contain 2011 enabling a comprehensive assessment of the intended operation on the basis of the approval criteria set out in the 2nd part of the AußHG. It shall specify in particular:



1. Description of the goods;

2. quantity of goods;

3. estimated value of the goods;

4. end use of the goods;

5. name, address and, if available, telephone number, fax number and E-Mail address of the applicant;

6. name, address and, if available, telephone number, fax number and E-Mail address of the recipient and of the end user;

7 business of the receiver and end user and 8 country of destination.

11 Chapter

Exemption provisions for restrictions on imports

Exemption provisions

§ 19 import restrictions as a result of directly applicable law of the European Union within the meaning of § 1 para 1 No. 24 lit. c AußHG 2011 do not apply to imports of 1.
Goods with a value of up to EUR 1 000;

2. returned goods within the meaning of article 185 of the customs code, Regulation (EEC) No 2913/92, OJ No. L 302 of 19.10 1992 p. 1, in its up-to-date version;

3. personal property within the meaning of articles 3 to 11 of Regulation (EC) no 1186/2009 on the Community system of reliefs from customs duty, OJ No. L 324 of 10.12 2009 p. 23, in its up-to-date version;

4. inheritance goods within the meaning of articles 17 to 20 of Regulation (EC) no 1186/2009, in the currently valid version, and 5 for promotion, for examination, analysis or test purposes no. certain goods, as well as shipments to the bodies responsible for copyright or intellectual property rights within the meaning of articles 86 to 102 of Regulation (EC) 1186/2009, in the applicable version.

12 section

Final provisions

Note on notification

§ 20. This regulation is in accordance with the provisions of Directive 98/34/EC, OJ No L 24 of 21.06. 1998 p. 37, as last amended by Directive 2006/96/EC, OJ No. L 363 of 20.12 2006 p. 81, the European Commission shall notify (Notifikationsnummer 2011/318/A).

Entry into force

§ 21. Paragraphs 7 to 10 of this regulation and whose article 16, insofar as he is on general authorisations within the meaning of article 1 para. 1 No. 26 lit. c AußHG 2011 relates, enter on July 1, 2012, the other provisions of this regulation enter into force on the day after its announcement.

Mitterlehner

Appendix 1

Arms embargo countries



Armenia, Azerbaijan, Belarus, Burma, Côte d ´ Ivoire, Democratic Republic of the Congo, Democratic People's Republic of Korea, Eritrea, Iraq, Iran, Lebanon, Liberia, Libya, Republic of Guinea, Rwanda, Zimbabwe, Somalia, Sudan, South Sudan, Syria



Appendix 2

Arms embargo countries - ban



Democratic People's Republic of Korea, Iran, Libya



Appendix 3

Arms embargo - exceptions



Burma/Myanmar: Article 2 of the decision of the Council 2010/232/CFSP renewing restrictive measures against Burma/Myanmar OJ No. L 105 of 27.04 2010 p. 22



Côte d ´ Ivoire: article 2 of the decision of the Council 2010/656/CFSP extending restrictive measures against Côte d'Ivoire, OJ ´ No.  L 285 of 30.10 2010 p. 28, as amended by the decision of the Council 2011/412/CFSP, OJ No. L 183 of 13.07. 2011 p. 27



Democratic Republic of the Congo: article 2 of the decision of the Council 2010/788/CFSP concerning restrictive measures against the Democratic Republic of the Congo and repealing common position 2008/369/CFSP, OJ No. L 336 of 21.12 2010 p. 30



Iraq: Article 1 paragraph 2 of the decision of the Council 2003/495/CFSP on Iraq and repealing common positions 96/741/CFSP and 2002/599/CFSP, OJ No. L 169 of 08.07 2003 p. 72 as amended by common position 2004/553/CFSP. OJ No. L 246 of the are 2004 p. 32



Iran: Article 1 paragraph 2 of the decision of the Council 2010/413/CFSP concerning restrictive measures against Iran and repealing common position 2007/140/CFSP, OJ No. L 195 from 27.07 2010 p. 39, as amended by the amending OJ No. L 197, 29.07. 2010 page 19



Lebanon: Article 2 of common position 2006/625/CFSP concerning the prohibition of the sale or supply of arms and related goods and the provision of related services to entities or individuals in Lebanon in the sense of resolution 1701 (2006) of the Security Council of the United Nations, OJ No. L 253 of 16.09. 2006 p. 36





Liberia: Article 2 of common position 2008/109/CFSP concerning restrictive measures against Liberia, OJ No. L 38 of 13.02 2008 S. 26 as amended by the decision of the Council 2010/129/CFSP, OJ No. L 51 02.03. 2010 p. 23



Libya: Article 2 of the decision of the Council 2011/137/CFSP concerning restrictive measures in view of the situation in Libya, OJ No. L 58 of the preliminaries 2011 page 53



Republic of Guinea: Article 2 of the decision of the Council 2010/638/CFSP concerning restrictive measures against the Republic of Guinea, OJ No. L 280 of 26.10 2010 p.10



Zimbabwe: Article 3 of the decision of the Council 2011/101/CFSP concerning restrictive measures against Zimbabwe, OJ No. L 42 of 16.02 2011 p. 6 as amended by the amending OJ No. L 100 of 14.04. 2011 p. 1



Somalia: Article 1 paragraph 3 of the decision of the Council 2010/231/CFSP concerning restrictive measures against Somalia and repealing common position 2009/138/CFSP, OJ No. L 105 of 27.04 2010 p. 17



Sudan and South Sudan: Article 5 of the decision of the Council 2011/423/CFSP concerning restrictive measures against Sudan and South Sudan and repealing common position 2005/411/CFSP, OJ No. L 188 of 19.07. 2011 p. 20



Appendix 4

Chemicals

Chemicals are listed in some cases with their name and CAS number. Chemicals of the same structural formula (including hydrates) is recorded regardless of the name or the CAS number. The CAS numbers are specified, so that regardless of the nomenclature can be determined, whether a particular chemical or mixture is covered. The CAS numbers can be used not only for identification, because some forms of acquired chemicals have different CAS numbers, and also blends that contain a covered chemical have different CAS numbers.