Processing Terms for Individual Import Licences, Export Licences, Transit Permissions, General Export Authorisation User Certificates, International Import Certificates, End-Use Certificates and Delivery Verification Certificates for Strategic Goods, Proc

Government of the Republic Regulation No. 61 of 9 March 2004
(RT1 I 2004, 14, 97),
entered into force 18 March 2004.

This Regulation is established on the basis of subsection 13 (3), 23 (4), 31 (3) and 40 (3) of the Strategic Goods Act (RT I 2004, 2, 7).

Chapter 1
General Provisions

§ 1. Scope of application of Regulation

This Regulation provides for:

1) the terms and procedure for application, issue, extension, suspension and revocation of Individual Import Licences, Export Licences and Transit Permissions (hereinafter licences);

2) terms and procedure for application, issue and revocation of General Export Authorisation User Certificates (hereinafter certificates);

3) terms and procedure for application, issue and revocation of International Import Certificates, End-Use Certificates and Delivery Verification Certificates (hereinafter end-use control documents);

4) terms and procedure for application for entry and entry in the State Register of Brokers of Military Goods (hereinafter register), amendment of register entries and deletion from register;

5) a list of documents and data to be appended to requests.

§ 2. Protection of personal data

In processing of the data provided in this Regulation, including making of decisions and performance of acts, the rules and requirements for processing personal data shall be observed pursuant to the Personal Data Protection Act (RT I 2003, 26, 158) and the Databases Act (RT I 1997, 28, 423; 1998, 36/37, 552; 1999, 10, 155; 2000, 50, 317; 57, 373; 92, 597; 2001, 7, 17; 17, 77; 2002, 61, 375; 63, 387; 2003, 18, 107; 26, 158).

§ 3. Preservation of requests and documents

(1) The documents related to the processing of licences, certificates and end-use control documents shall be preserved in the Database of Individual Import Licences, Export Licences, Transit Permissions, General Export Authorisation User Certificates, International Import Certificates and End-Use Control Documents for Strategic Goods.

(2) The documents related to registry processing shall be preserved in the in State Register of Brokers of Military Goods and List of Documents.

§ 4. Submission of requests and applications

(1) For obtaining a licence, certificate or end-use control document, or entry in the register, a standard format request (hereinafter request) and the documents listed in §§ 7–9 shall be submitted.

(2) For extension and revocation of licences, revocation of certificates and end-use control documents, or amendment or deletion of register entries, a reasoned written application shall be submitted (hereinafter application) to which, in the cases provided by the Strategic Goods Act, documents certifying the correctness of data shall be appended.

(3) Requests, applications and documents appended thereto shall be submitted, by post or using electronic means, to the Strategic Goods Commission (hereinafter commission) formed on the basis of subsection 8 (1) of the Strategic Goods Act.

(4) Requests, applications and documents submitted in electronic form shall be accompanied by a digital signature.

(5) Information which cannot be supplied in the data fields of a request may be provided on one or several additional sheets of paper signed by the same person(s) who signs (sign) the request.

§ 5. Language of documents

(1) Requests and applications shall be submitted to the commission in Estonian. Upon application for an end-use control document, the name of the strategic goods shall be submitted in English.

(2) Documents appended to a request, except for documents presented in the English, German or Russian language, shall be provided with a translation by a sworn translator into Estonian or English.

Chapter 2
Information to be Submitted in Request

§ 6. Information to be submitted in request

(1) A request shall contain the following information:

1. the name, address, telephone and fax number, email and webpage address of the exporter, importer or principal of strategic goods, or the provider of the service related to military goods (hereinafter service) and the personal identification code or date of birth if the submitter is a natural person or the registry code if the submitter is a legal person;
2. the name, address, telephone and fax number, e-mail and webpage address of the recipient of the goods or service, or end-user of the goods and the personal identification code or date of birth if the recipient or end-user is a natural person or the registry code if the recipient or end-user is a legal person;
3. a description, and the field and place of end-use of the goods or service;
4. the country of location and location, country of origin, country of consignment and country of final destination of the goods, and the country codes;
5. code of customs-approved treatment of the goods;
6. the journey of the goods from the country of consignment to the end-user;
7. the time assumed to be necessary for the import, export or transit of the goods, or for the provision of the service, and in the event of transfer of technology, the date of commencement and conclusion of the transfer;
8. the quantity and value of goods;
9. the code of the goods according to the Nomenclature of Commodities;
10. the code of the goods according to the list of strategic goods;
11. the name, telephone number and e-mail address of the contact person and representative;
12. the filing date of the request.

(2) The data specified in clauses (1) 2) and 5)–9) shall not be submitted in a request for issue of a certificate.

(3) The data specified in clauses (1) 5)–7) shall not be submitted in a request for issue of an end-use control document.

(4) The data specified in clauses (1) 4)–9) shall not be submitted in a request for entry in the register.

(5) A person wishing to obtain a licence shall confirm in the corresponding request that, upon becoming aware of information concerning the use of the goods for the purposes listed in § 46 of the Strategic Goods Act, the person undertakes to immediately inform the commission such information.

(6) A person wishing to obtain a certificate shall confirm in the corresponding request, that the person undertakes to submit a report on export of strategic goods and provided services pursuant to clause 27 (3) of the Strategic Goods Act.

(7) A person wishing to obtain an end-use control document shall confirm in the corresponding request that the person undertakes to comply with the terms and conditions specified in the document.

Chapter 3
Documents to be Appended to Requests

§ 7. Documents to be appended to requests

(1) The following documents shall be annexed to a request:

1. activity licence if a licence is required for handling the goods;
2. documents certifying the origin and acquisition of the strategic goods;
3. documents reflecting the quality and technical indicators of the strategic goods (the structural formula of chemicals and Chemical Abstracts Service (CAS) registration number if such number exists);
4. a contract entered into with a person of the country of origin, consignment or destination of the goods based on which the goods are exported, imported or transited, or the service is provided;
5. the end-user’s confirmation of the terms and conditions relating to the end-use or, at the request of the commission, an end-use control document issued by the relevant authority of a foreign state;
6. a document certifying payment of the state fee.

(2) The submitter of a request or application may append other documents which the submitter deems relevant to the request or application. Documents of no relevance to the proceeding shall be returned or destroyed with the consent of the submitter of the request or application.

§ 8. Specifications of requests related to services

(1) Only persons who are entered in a register in Estonia or a state which participates in all export control regimens have the right to request a non-exclusive license or General Export Authorisation User Certificate for brokerage.

(2) A person entered in the register prescribed for exercising control over brokers of military goods in a state participating in all export control regimens who wishes to obtain a non-exclusive license or General Export Authorisation User Certificate for brokerage shall submit, in addition to the documents listed in subsection 7 (1), an extract from such register.

(3) Upon request for issue of a licence or certificate for electronic transfer of technology, an Information Network Security Plan shall be submitted at the request of the commission in addition to the documents listed in subsection 7 (1).

§ 9. Documents to be appended to request for entry in register

(1) The documents listed in clauses 7 (1) 2), 4) and 5) shall not be appended to a request for entry in the register.

(2) In addition to the above, the following documents shall be appended to a request for entry in register:

1. a list of employees engaged in brokerage which sets out their personal identification codes or dates of birth, addresses and telephone numbers if the submitter of the application is a legal person;
2. a description of past commercial activities of the submitter of the request.

§ 10. Documents to be appended to request for issue of certificate or end-use control document

(1) The documents listed in clauses 7 (1) 2), 4) and 5) shall not be appended to a request for issue of a certificate.

(2) The documents listed in clause 7 (1) 5) shall not be appended to a request for issue of an end-use control document.

§ 11. Requirements for documents to be appended to requests

(1) The documents shall be submitter on paper by electronic means. Documents submitted by electronic means shall be in the Portable Document File Format (PDF). The commission may request submission of documents on paper due to poor quality or illegibility of scanned materials, or in order to verify the authenticity of the documents.

(2) A copy or, at the request of the commission, an original copy of a document shall be submitted on paper. An end-use control document issued by a relevant authority of a foreign state and a confirmation by the end-user shall be submitted on paper as an original copy.

(3) A document issued by a foreign state shall be legalised or authenticated by a certificate replacing legalisation (apostle), unless otherwise provided for in an international agreement.

§ 12. Requirements for contracts

The contract specified in clause 7 (1) 4) shall contain the following information:

1) the names and contact details of contracting parties;
2) type of contract;
3) name of the goods or service which is the object of the contract (the structural formula of chemicals and CAS registration number), and the quantity of goods.

§ 13. Requirements of confirmation of end-user

(1) The confirmation of an end-user specified in clause 7 (1) 5) shall set out the information listed in § 11 and a description of the planned end-use.

(2) By a confirmation of an end-user, the end-user shall confirm that:

1. the goods are used only in the field specified in the confirmation;
2. the goods are not re-imported or re-addressed without a written consent of a competent authority;
3. receipt of the goods is confirmed if the exporter or commission so requests;
4. the commission shall be informed of changes in the field of end use of the goods;
5. supervisory agencies have the possibility to monitor the use of the goods;
6. other terms and conditions are complied with to ensure control over the end-use of the goods.
7. Upon re-addressing of goods subject to state supervision over the import and end-use of strategic goods in the case of transfer of the goods, the new owner of the goods shall submit a confirmation of the end-user to the commission.

Chapter 4
Procedure for and Terms of Processing

§ 14. Acceptance for processing of requests

(1) A request specified in subsection (4) 1) shall be accepted for processing no later than on the working day following the date of submission of the request and requisite documents, or the date of elimination of the deficiencies in the request.

(2) A request is not accepted for processing if the goods for the import, export or transit of which a licence, certificate or end-use control document is requested does not conform to the characteristics of strategic goods, or if the submitted document is not necessary for the import, export or transit of the goods, or the provision of the service for another reason.

(3) If acceptance for processing of a request is denied, the commission shall inform the person thereof and return the submitted documents and state fee.

§ 15. Term for review of request

(1) The commission shall review a request and make a corresponding decision within thirty days after acceptance for processing of the request.

(2) If the commission needs additional information for making a decision or if the submitted information needs additional verification, the commission has the right to extend the term for review of the request. For each specific extension of the term, the length of the new term shall not exceed thirty calendar days.

(3) The submitter of a request shall be informed of extension of the term, the reasons thereof and the new term without delay.

§ 16. Processing of applications

(1) An application specified in subsection (4) 2) shall be accepted for processing no later than on the working day following the date of submission of the application and requisite documents.

(2) The commission shall review an application and make a corresponding decision within ten days after acceptance for processing of the application.

(3) If the commission needs additional information for making a decision or if the submitted information needs additional verification, the commission has the right to extend the term for review of the application. For each specific extension of the term, the length of the new term shall not exceed ten calendar days.

(4) The applicant shall be informed of extension of the term, the reasons thereof and the new term without delay.

§ 17. Notification of commission decision

(1) The commission shall notify the submitter of a request or an applicant of a decision concerning the request or application and the reasons for such decision in writing within five working days after making the decision.

(2) The commission shall notify the holder of a licence, certificate or end-use control document of a decision on revocation of a such document and the reasons thereof, or a decision on suspension of a licence and the term thereof in writing within three working days after making the decision.

(3) If necessary, the commission shall notify the relevant authorities of a foreign state, international organisations and supervisory authorities of its decision.

§ 18. Issue of licences, certificates and end-use control documents

(1) A licence, certificate or end-use control document shall be issued within five days of making the corresponding decision.

(2) A licence, certificate or end-use control document shall be sent to the person by registered letter, or upon agreement of the parties, by unregistered letter. A person shall specify the preferred manner of delivery in the request for the licence, certificate or end-use control document.

§ 19. Extension of term of licence

(1) In order to be granted extension of the term of a licence, the original copy of the licence shall be submitted to the commission together with the request for extension of the term of the licence. In case a decision for extension of the term of a licence is made, an amended licence concerning the quantity of goods not yet supplied shall be issued to the person.

(2) The licence shall be sent to the person by registered letter no later than within three days after making the decision. Upon agreement with the holder of the licence, the licence may be sent by unregistered letter. A person shall indicate the preferred manner of delivery in the application for extension of the licence.

§ 20. Registry processing

Brokers are entered in the register, and register entries are amended or deleted within five days after the commission makes the corresponding decision.

Chapter 5
Implementing Provisions

§ 21. Review of earlier requests

Requests submitted before entry into force of this Regulation shall be processes pursuant to the provisions in force at the time of submission of the requests.

§ 22. Revocation of provisions of Government of Republic Regulations

(1) Clauses 2–30, 34–38 and 44 of the Government of the Republic Regulation No 281 of 28 September 1999 “Procedure for Application for and Issue, Extension and Revocation of Documents Related to Import, Export and Transit of Strategic Goods, Terms for Processing of Applications and Procedure and Terms for Carriage of Strategic Goods across Customs Frontier” (RT I 1999, 72, 694) are repealed.

(2) Government of the Republic Regulation No 274 of 22 September 1999 “Establishment of Exceptions in Import, Export or Transit Licence Requirement for Strategic Goods” (RT I 1999, 71, 688) is repealed.

1 RT = Riigi Teataja = State Gazette