A/74/969
authorize the import, export, manufacture, marketing and transit of such goods and
exercise control over those activities.
D.
Need for a risk assessment mechanism and criteria for
risk assessment
28. Member States were invited to indicate which risk assessment mechanisms and
associated criteria should be considered for the regulation of goods that could be used
for capital punishment, torture or other cruel, inhuman or degrading treatment or
punishment.
29. The United Kingdom emphasized that any risk assessment criteria should be
clear and readily understood by all stakeholders and that any assessment should be
conducted on a consistent and non-discriminatory basis, taking into account all
relevant information and verifiable sources. Austria noted that any risk management
mechanism should be in line with the Guiding Principles on Business and Human
Rights. It also referred to the Organization for Economic Cooperation and
Development Guidelines for Multinational Enterprises and the Organization’s work
on due diligence, which provided a useful tool not only for companies but also for
policymakers when they were considering human rights risks and their mitigation.
30. New Zealand suggested drawing on the wide range of existing risk assessment
mechanisms and criteria for dual-use goods. France and Ireland considered that the
European Union anti-torture regulation provided useful criteria and a sound model.
Switzerland suggested drawing on export control regimes such as the Wassenaar
Arrangement, the Nuclear Suppliers Group, the Missile Technology Control Regime
and the Australia Group. Canada suggested modelling the ri sk assessment
mechanisms and criteria on those used in the Arms Trade Treaty. It noted that States
could commit to applying the same standards as they applied for their existing export
controls, or at least a standard that was no less rigorous.
31. Portugal also proposed that the risk assessment mechanism and risk criteria be
very similar to those already in place for any other type of goods subject to restrictions
and proposed that the risk of diversion of such goods be considered. New Zealand
noted that diversion was a complex issue that should be avoided, and Brazil noted
that it would hardly be feasible to control trade in goods that could be diverted.
32. Several States 27 agreed that goods that could be used for the purpose of capital
punishment, torture or other forms of ill-treatment should be subject to an export
authorization requirement. Such authorization should not be granted when there were
reasonable grounds to believe that the goods might be used for that purpose by a law
enforcement authority or any natural or legal person in the country to which they were
exported. The United Kingdom referred to the specific criteria under the European
anti-torture regulation. In accordance with those criteria, the competent authorities
deciding on authorizations should take into account available international court
judgments, findings of the competent bodies of the United Nations, reports of the
Special Rapporteur on torture and other cruel, inhuman or degrading treatment or
punishment and other relevant information, including available national court
judgments, reports and other information prepared by civil society organizations.
33. Several States 28 agreed that the criteria for granting authorizations should also
apply to the verification of the intended end use and the risk of diversion. Some
__________________
27
28
10/13
Austria, Belgium, Croatia, Cyprus, Denmark, Estonia, Finland, Greece, Ireland, Italy, Latvia,
Luxembourg, Malta, Poland, Romania, Slovakia, Slovenia, Spain and Sweden.
Austria, Belgium, Croatia, Cyprus, Denmark, Estonia, Greece, Italy, Latvia, Luxembourg, Malta,
Poland, Romania, Slovenia, Spain and Sweden.
20-10185