# C_2023208EN.01001901.xml

| 15.6.2023 | EN | Official Journal of the European Union | C 208/19 |
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15.6.2023

EN

Official Journal of the European Union

C 208/19

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INFORMATION NOTE

Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (1): Information on measures adopted by Member States in conformity with Articles 4, 5, 6, 7, 8, 9, 11, 12, 22 and 23.

(2023/C 208/06)

Articles 4, 5, 6, 7, 8, 9, 11, 12, 22 and 23 of Regulation (EU) 2021/821 of the European Parliament and of the Council (hereunder ‘the Regulation’) set out that measures taken by Member States in implementation of the Regulation should be published in the Official Journal of the European Union.

Furthermore, the Commission and the Member States have decided to also publish additional information on measures imposed by Member States under Article 4 in order to ensure that exporters have access to comprehensive information on the controls applicable throughout the EU.

1.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 4(3) OF THE REGULATION (AUTHORISATION REQUIREMENT ON THE EXPORT OF DUAL-USE ITEMS NOT LISTED IN ANNEX I)

A Member State may, in application of Article 4(3), extend the application of Article 4(1) to non-listed dual-use items, if the exporter has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).

Article 4(4) of the Regulation requires Member States which impose an authorisation requirement, in application of Article 4(3), on the export of dual-use items not listed in Annex I, to inform, where appropriate, the other Member States and the Commission. The table below provides an overview of the measures taken by Member States that have been notified to the Commission. The detailed measures as notified to the Commission are set out immediately thereafter.

| Member State | Has the Member State adopted national legislation imposing authorisation requirements in application of Article 4(3)? |
| --- | --- |
| BELGIUM | Partially YES |
| BULGARIA | NO |
| CZECH REPUBLIC | NO |
| DENMARK | YES |
| GERMANY | NO |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | YES |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | YES |
| LITHUANIA | YES |
| LUXEMBOURG | YES |
| HUNGARY | YES |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | YES |
| SLOVENIA | YES |
| SLOVAKIA | NO |
| FINLAND | YES |
| SWEDEN | YES |

Member State

Has the Member State adopted national legislation imposing authorisation requirements in application of Article 4(3)?

BELGIUM

Partially YES

BULGARIA

NO

CZECH REPUBLIC

NO

DENMARK

YES

GERMANY

NO

ESTONIA

NO

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

YES

ITALY

NO

CYPRUS

NO

LATVIA

YES

LITHUANIA

YES

LUXEMBOURG

YES

HUNGARY

YES

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

YES

SLOVENIA

YES

SLOVAKIA

NO

FINLAND

YES

SWEDEN

YES

1.1.   Belgium

An export authorisation shall be required, in the Flemish Region and the Walloon Region, for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Article 5 of the Flemish Government Decree of 14 March 2014 regulating export, transit and transfer of dual-use items and the delivery of technical assistance (Belgian Official Gazette of 2 May 2014); Article 4 of the Walloon Government Decree of 6 February 2014 regulating export, transit and transfer of dual-use items and technology (Belgian Official Gazette of 19.02.2014)).

1.2.   Croatia

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Act on Control of dual-use items (OG 80/11 i 68/2013)).

1.3.   Latvia

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Article 5(7) and Article 17(1) of the Law on the Circulation of Strategic Goods of 21 June 2007; Point 31 of the Regulation 657 (20.10.2010) Procedures for Issuing or Refusal to Issue a Licence for Goods of Strategic Significance and Other Documents Related to the Circulation of Goods of Strategic Significance).

1.4.   Luxembourg

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Law of 27 June 2018 on export control, Article 45(1)).

1.5.   Hungary

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Par. 7. of Government Decree No 13 of 2011 on ‘the foreign trade authorisation of dual-use items’)

1.6.   Netherlands

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Article 2 of Strategic Services Act (Wet Strategische diensten) and Article 2 and article 3 of Decree of strategic goods (Besluit Strategische goederen)).

1.7.   Austria

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Article 5 of the 2011 First Foreign Trade Regulation (Erste Außenwirtschaftsverordnung 2011), BGBl. II Nr. 343/2011, published on 28 October 2011).

1.8.   Finland

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Par. 4(4) of law 562/1996)

1.9.   Romania

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that the dual use items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(article 5(4) of GO 43/2022 on the control regime for operations concerning dual-use items).

1.10.   Sweden

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that dual-use items, which they propose to export, are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Section 4 a of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217)).

1.11.   Lithuania

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that the dual-use items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

((Government Resolution No. 932 "On the Approval of the Licensing Rules for Export, Import, Transit and Brokering of Strategic Goods and the Rules of Implementation of the Control of Strategic Goods).

1.12.   Slovenia

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

(Article 4(1) of the Act Regulating the Control of Exports of Dual-Use Items (Zakon o nadzoru izvoza blaga z dvojno rabo (Uradni list RS, št. 37/04, 8/10 in 29/23).

1.13.   Denmark

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1)(a).

(Article 2(6) of the Danish Export Control Law).

2.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 5(3) OF THE REGULATION (AUTHORISATION REQUIREMENT ON THE EXPORT OF CYBER-SURVEILLANCE ITEMS NOT LISTED IN ANNEX I)

A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of cyber-surveillance items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for use in connection with internal repression and/or the commission of serious violations of human rights and international humanitarian law.

The table below provides an overview of the measures taken by Member States that have been notified to the Commission. The detailed measures as notified to the Commission are set out immediately thereafter.

| Member State | Has the Member States adopted national legislation imposing authorisation requirements in application of Article 5(3)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | NO |
| CZECH REPUBLIC | NO |
| DENMARK | YES |
| GERMANY | NO |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | NO |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | NO |
| AUSTRIA | NO |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | YES |
| SLOVENIA | YES |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | YES |

Member State

Has the Member States adopted national legislation imposing authorisation requirements in application of Article 5(3)?

BELGIUM

NO

BULGARIA

NO

CZECH REPUBLIC

NO

DENMARK

YES

GERMANY

NO

ESTONIA

NO

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

NO

HUNGARY

NO

MALTA

NO

NETHERLANDS

NO

AUSTRIA

NO

POLAND

NO

PORTUGAL

NO

ROMANIA

YES

SLOVENIA

YES

SLOVAKIA

NO

FINLAND

NO

SWEDEN

YES

2.1.   Sweden

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that cyber-surveillance items, which they propose to export, are or may be intended for any of the uses referred to in Article 5(1) of the Regulation.

(Section 4 a of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217)).

2.2.   Romania

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that cyber-surveillance items, which they propose to export, are or may be intended for any of the uses referred to in Article 5(1) of the Regulation.

(article 5(4) of GO 43/2022 on the control regime for operations concerning dual-use items).

2.3.   Slovenia

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that cyber-surveillance items, which they propose to export, are or may be intended for any of the uses referred to in Article 5(1) of the Regulation.

(Article 4(2) of the Act Regulating the Control of Exports of Dual-Use Items (Zakon o nadzoru izvoza blaga z dvojno rabo (Uradni list RS, št. 37/04, 8/10 in 29/23).

2.4.   Denmark

An export authorisation shall be required for the export of non-listed dual-use items where an exporter has grounds for suspecting that cyber-surveillance items, which they propose to export, are or may be intended for any of the uses referred to in Article 5(1) of the Regulation.

(Article 2(8) of the Danish Export Control Law).

3.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 6(3) OF THE REGULATION (EXTENSION OF BROKERING CONTROLS)

Article 6(3) in conjunction with Article 6(5) of the Regulation requires the Commission to publish measures taken by Member States to extend the application of Article 6(1) to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

The table below provides an overview of the measures taken by Member States that have been notified to the Commission. The detailed measures as notified to the Commission are set out immediately thereafter.

| Member State | Has the application of brokering controls set out in Article 6(1) been extended in relation with Article 6(3)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | YES |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | YES |
| IRELAND | NO |
| GREECE | YES |
| SPAIN | YES |
| FRANCE | NO |
| CROATIA | YES |
| ITALY | YES |
| CYPRUS | NO |
| LATVIA | YES |
| LITHUANIA | NO |
| LUXEMBOURG | YES |
| HUNGARY | YES |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | YES |
| SWEDEN | YES |

Member State

Has the application of brokering controls set out in Article 6(1) been extended in relation with Article 6(3)?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

YES

DENMARK

NO

GERMANY

NO

ESTONIA

YES

IRELAND

NO

GREECE

YES

SPAIN

YES

FRANCE

NO

CROATIA

YES

ITALY

YES

CYPRUS

NO

LATVIA

YES

LITHUANIA

NO

LUXEMBOURG

YES

HUNGARY

YES

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

YES

SWEDEN

YES

3.1.   Bulgaria

An authorisation shall be required for the brokering of dual-use items listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(2) of the Regulation, and for items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) of the Regulation.

(Article 34, par. 4 of the Defence-Related Products and Dual-Use Items and Technologies Export Control Act, State Gazette No. 26/29.03.2011, effective 30.06.2012).

3.2.   Czech Republic

An authorisation shall be required for the brokering of dual-use items if the competent authority informs the broker that dual-use items not listed in Annex I of the Regulation are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) of the Regulation, or that dual-use items are or may be intended, in their entirety or in part, for military end-uses referred to in Article 4(2) of the Regulation.

(Paragraph 3 of Act No 594/2004 Coll. ‘Implementing the European Community Regime for the Control of Exports, Transfer, Brokering, and Transit of Dual-Use Items (as amended)).

3.3.   Estonia

An authorisation shall be required for the brokering of dual-use items which have characteristics of strategic goods because of their end-use or end-user, public security or human rights consideration, although they have not been entered in the list of strategic goods.

(Paragraph 6 (7) of the Strategic Good Act).

3.4.   Greece

An authorisation shall be required for the brokering of dual-use items, when the items are or may be intended, in their entirety or in part, for military end-uses and destinations referred to in Article 4(2) of the Regulation.

(Paragraph 3.2.3 of ‘Ministerial Decision No 121837/e3/21837/28-9-2009’).

3.5.   Spain

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses and destinations referred to in Article 4(1) and 4(2) of the Regulation.

(Article 2.3.b) of the Royal Decree 679/2014, of 1 August 2014 on the control of external trade in defence material, other material and dual-use goods and technologies).

3.6.   Croatia

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, if the competent authority informs the broker that dual-use items are or may be, in their entirety or in part, intended for any of the uses referred to in Article 4(1) and 4(2) of the Regulation.

(Act on Control of dual-use items (OG 80/11 i 68/2013)).

3.7.   Italy

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) or 4(2) of the Regulation;

(Article 9 of Legislative Decree n° 221/2017 of 15 December 2017, in force since 1 February 2018).

3.8.   Latvia

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) or 4(2) of the Regulation;

(Article 5(7) of the Law on the Circulation of Strategic Goods of 21 June 2007; Point 31 of the Regulation 657 (20.10.2010) Procedures for Issuing or Refusal to Issue a Licence for Goods of Strategic Significance and Other Documents Related to the Circulation of Goods of Strategic Significance).

3.9.   Luxembourg

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) of the Regulation, and for military end-uses and destinations as referred to in Article 4(2) of the Regulation.

(Law of 27 June 2018 on export control, Article 42(1)).

3.10.   Hungary

An authorisation shall be required for the brokering of dual-use items listed in Annex I of the Regulation, when the items are or may be intended for military end use and destinations referred to in Article 4(2) of the Regulation, and for dual use items not listed in Annex I of the Regulation, when the items are or may be intended for any of the uses referred to in Article 4(1) and (2) of the Regulation.

(Par. 17.1 of Government Decree No 13 of 2011 on ‘the foreign trade authorisation of dual-use items’).

3.11.   Netherlands

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation, when the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) of the Regulation and for dual-use items, when the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2) of the Regulation.

(Article 4 Strategic Services Act (Wet Strategische diensten)).

An authorisation shall also be required for the brokering of 37 chemical substances when the destination is Iraq, regardless of the specific consignee or end-user.

(Decree Goods for Dual-Use Iraq - Regeling goederen voor tweeërlei gebruik Irak).

3.12.   Austria

An authorisation shall be required for the brokering of dual-use items if the competent authority notifies the broker that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1) and 4(2) of the Regulation.

(Article 15.1 of the Foreign Trade Act (Außenwirtschaftsgesetz 2011, BGBl. I Nr. 26/2011)).

3.13.   Finland

An authorisation shall be required for the brokering of dual-use items listed in Annex I of the Regulation, if the broker has been notified by the competent authority that the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(2) of the Regulation, and for the brokering of dual-use items not listed in Annex I of the Regulation, if the broker has been notified by the competent authority that the items are or may be intended in their entirety or in part, for any of the uses referred to in Article 4(1) of that Regulation

(Paragraphs 3(2) and 4(1) of Law 562/1996).

3.14.   Sweden

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation if the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4 (1) of the Regulation.

(Section 4 b paragraph one of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217)).

4.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 6(4) OF THE REGULATION (EXTENSION OF BROKERING CONTROLS)

Article 6(4) in conjunction with Article 6(5) of the Regulation requires the Commission to publish measures taken by Member States imposing an authorisation requirement on the brokering of dual-use items, if the broker has grounds for suspecting that these items are or may be intended for any of the uses referred to in Article 4(1).

The table below provides an overview of the measures taken by Member States and that have been notified to the Commission. The detailed measures as notified to the Commission are set out immediately thereafter.

| Member State | Have brokering controls been extended in relation with Article 6(4)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | YES |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | YES |
| IRELAND | NO |
| GREECE | YES |
| SPAIN | YES |
| FRANCE | NO |
| CROATIA | YES |
| ITALY | YES |
| CYPRUS | NO |
| LATVIA | YES |
| LITHUANIA | NO |
| LUXEMBOURG | YES |
| HUNGARY | YES |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | YES |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | YES |
| SWEDEN | YES |

Member State

Have brokering controls been extended in relation with Article 6(4)?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

YES

DENMARK

NO

GERMANY

NO

ESTONIA

YES

IRELAND

NO

GREECE

YES

SPAIN

YES

FRANCE

NO

CROATIA

YES

ITALY

YES

CYPRUS

NO

LATVIA

YES

LITHUANIA

NO

LUXEMBOURG

YES

HUNGARY

YES

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

YES

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

YES

SWEDEN

YES

4.1.   Bulgaria

An authorisation shall be required for the brokering of dual-use items if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Article 47 of the Defence-Related Products and Dual-Use Items and Technologies Export Control Act (Promulgated, State Gazette No. 26/29.03.2011)).

4.2.   Czech Republic

If a broker has grounds for suspecting that dual-use items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the broker shall notify the competent authority, which may decide to impose an authorisation requirement.

(Par. 3(4) of the Act No 594/2004 Coll. ‘Implementing the European Community Regime for the Control of Exports, Transfer, Brokering, and Transit of Dual-Use Items’).

4.3.   Estonia

If a broker has grounds for suspecting that dual-use items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the broker shall notify the Strategic Goods Commission (SGC), police authorities or security authorities immediately thereof. After such notification, the SGC may decide to impose an authorisation requirement.

(Par. 77 of the Strategic Goods Act).

4.4.   Greece

An authorisation shall be required for the brokering of dual-use items if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Par. 3.2.2 of the Ministerial Decision No 121837/e3/21837/28-9-2009).

4.5.   Spain

If a broker has grounds for suspecting that the dual-use items not listed in Annex I of the Regulation, for which he proposes brokering services, are or may be intended, in their entirety or in part, for any of the uses and destinations referred to in Article 4(1) and 4(2), he must notify the competent authority, which will decide whether or not such brokering services are subject to authorisation.

(Article 2.3.c) of the Royal Decree 679/2014, of 1 August 2014 on the control of external trade in defence material, other material and dual-use goods and technologies).

4.6.   Croatia

If a broker has grounds for suspecting that dual-use items not listed in Annex I of the Regulation, are or may be intended for any of the uses referred to in Article 4(1) and 4(2) of the Regulation, the broker shall notify the competent authority, which may decide to impose an authorisation requirement.

(Par. 3 of the Act on Control of dual-use items (OG 80/11 i 68/2013)).

4.7.   Italy

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Article 9 of Legislative Decree n° 221/2017 of 15 December 2017, in force since 1 February 2018).

4.8.   Latvia

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Article 5(7) and Article 17(1) of the Law on the Circulation of Strategic Goods of 21 June 2007; Point 31 of the Regulation 657 (20.10.2010) Procedures for Issuing or Refusal to Issue a Licence for Goods of Strategic Significance and Other Documents Related to the Circulation of Goods of Strategic Significance).

4.9.   Luxembourg

An authorisation shall be required for the brokering of dual-use items not listed in Annex I of the Regulation if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Law of 27 June 2018 on export control, Article 42(2)).

4.10.   Hungary

An authorisation shall be required for the brokering of dual-use items if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Par. 17 (2) of Government Decree No 13 of 2011 ‘on the foreign trade authorisation of dual-use items).

4.11.   Netherlands

An authorisation shall be required for the brokering of listed dual-use items when the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Article 4(5) of the Strategic Services Act (Wet strategische diensten)).

4.12.   Austria

If a broker has grounds for suspecting that dual-use items, are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the broker shall notify the competent authority, which may decide to impose an authorisation requirement.

(Article 5 of the 2011 First Foreign Trade Regulation (Erste Außenwirtschaftsverordnung 2011), BGBl. II Nr. 343/2011, published on 28 October 2011).

4.13.   Romania

An authorisation shall be required for the brokering of dual-use items if the broker has grounds for suspecting that the items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation.

(Article 15(3) of the GO 43/2022 on the control regime for operations concerning dual-use items).

4.14.   Finland

If a broker has grounds for suspecting that dual-use items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the broker shall notify the competent authority, which may decide to impose an authorisation requirement.

(Par.3.2, 4.4 of law 562/1996).

4.15.   Sweden

If a broker has grounds for suspecting that dual-use items are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the broker shall notify the competent authority, which may decide to impose an authorisation requirement.

(Section 4 b paragraph two of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217))

5.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 7(3) OF THE REGULATION (EXTENSION OF TRANSIT CONTROLS)

Article 7(3) in conjunction with Article 7(4) of the Regulation requires the Commission to publish measures taken by Member States extending the application of Article 7(1) to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Have the transit control provisions set out in Article 7(1) been extended in relation with Article 7(3)? |
| --- | --- |
| BELGIUM | Partly YES |
| BULGARIA | NO |
| CZECH REPUBLIC | YES |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | YES |
| IRELAND | NO |
| GREECE | YES |
| SPAIN | YES |
| FRANCE | YES |
| CROATIA | YES |
| ITALY | YES |
| CYPRUS | NO |
| LATVIA | YES |
| LITHUANIA | YES |
| LUXEMBOURG | YES |
| HUNGARY | YES |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | YES |
| SWEDEN | YES |

Member State

Have the transit control provisions set out in Article 7(1) been extended in relation with Article 7(3)?

BELGIUM

Partly YES

BULGARIA

NO

CZECH REPUBLIC

YES

DENMARK

NO

GERMANY

NO

ESTONIA

YES

IRELAND

NO

GREECE

YES

SPAIN

YES

FRANCE

YES

CROATIA

YES

ITALY

YES

CYPRUS

NO

LATVIA

YES

LITHUANIA

YES

LUXEMBOURG

YES

HUNGARY

YES

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

YES

SWEDEN

YES

5.1.   Belgium

The transit of non-Union non-listed dual-use items may be prohibited by the competent authorities, in the Flemish Region and the Walloon Region, if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authorities, in the Flemish Region and the Walloon Region, if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 6 and 7 of the Flemish Government Decree of 14 March 2014 regulating export, transit and transfer of dual-use items and the delivery of technical assistance (Belgian Official Gazette of 02.05.2014); Article 5 and 6 of the Walloon Government Decree of 6 February 2014 regulating export, transit and transfer of dual-use items and technology (Belgian Official Gazette of 19.02.2014).

5.2.   Czech Republic

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Par. 13b of the Act No 594/2004 Coll. ‘Implementing the European Community Regime for the Control of Exports, Transfer, Brokering, and Transit of Dual-Use Items' (1)).

5.3.   Estonia

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Par. 3, 6 and 7 of the Strategic Goods Act (SGA)).

5.4.   Greece

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Par. 3.3.3. of the Ministerial Decision No 121837/e3/21837/28-9-2009).

5.5.   Spain

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 11 of Act 53/2007 of December 28, on the control of external trade on material of defense and dual use).

5.6.   France

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 3(I) of Decree n°2020-74 of 31 January 2020, as amended by Decree n°2020-1481 of 30 November 2020).

5.7.   Croatia

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Act on Control of dual-use items (OG 80/11 i 68/2013)).

5.8.   Italy

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 7 of Legislative Decree n° 221/2017 of 15 December 2017, in force since 1 February 2018).

5.9.   Latvia

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 5(7) of the Law on the Circulation of Strategic Goods of 21 June 2007; Point 31 of the Regulation 657 (20.10.2010) Procedures for Issuing or Refusal to Issue a Licence for Goods of Strategic Significance and Other Documents Related to the Circulation of Goods of Strategic Significance).

5.10.   Luxembourg

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Law of 27 June 2018 on export control, Article 43(2))

These provisions shall not apply to the transit of dual-use goods dispatched without transhipment or change of means of transport (no transhipment or change of conveyance shall be deemed to be the discharge, for the purpose of securing the cargo, of goods in a ship or aircraft, provided that such goods are re-embarked on the same ship or aircraft), and to the transit of dual-use items for which there is already a general export authorization from the European Union.

(Law of 27 June 2018 on export control, Article 43(3)).

5.11.   Hungary

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Par. 18 of the Government Decree No 13 of 2011 ‘on foreign trade authorisation of dual-use items’).

5.12.   The Netherlands

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 4a(1) and Article 2 of the Decree for Strategic Goods (Besluit strategische goederen)).

5.13.   Austria

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Article 15 of the 2011 Foreign Trade Act (Außenwirtschaftsgesetz 2011, BGBl. I Nr. 26/2011).

5.14.   Finland

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

The transit of non-Union dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for military end use and destinations referred to in Article 4(2).

(Par. 3.3 and 4.1 of law 562/1996)

5.15.   Sweden

The transit of non-Union non-listed dual-use items may be prohibited by the competent authority if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

(Section 4 c of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217))

5.16.   Lithuania

The transit of non-listed dual-use goods may be prohibited by the competent authority if the items are or may be intended for the uses referred to in Article 4(1).

(The Law of the Republic of Lithuania on the Control of Strategic Goods No. XIV-1738 December 22, 2022).

6.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 8(4) OF THE REGULATION (EXTENSION OF TECHNICAL ASSISTANCE)

Article 8(4) of the Regulation establishes that a Member State may extend the application of an authorisation requirement for the provision of technical assistance related to dual-use items not listed in Annex I if the provider of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Has the Member State adopted national legislation imposing authorisation requirements in applications of Article 8(4)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | NO |
| CZECH REPUBLIC | NO |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | NO |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | NO |
| AUSTRIA | NO |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | YES |

Member State

Has the Member State adopted national legislation imposing authorisation requirements in applications of Article 8(4)?

BELGIUM

NO

BULGARIA

NO

CZECH REPUBLIC

NO

DENMARK

NO

GERMANY

NO

ESTONIA

NO

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

NO

HUNGARY

NO

MALTA

NO

NETHERLANDS

NO

AUSTRIA

NO

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

NO

SWEDEN

YES

6.1.   Sweden

An authorisation shall be required for the provision of technical assistance related to dual use items not listed in Annex I of the Regulation if the provider of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4 (1) of the Regulation.

(Section 4 d paragraph one of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217))

7.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 8(5) OF THE REGULATION (TECHNICAL ASSISTANCE)

Pursuant to Article 8(5), a Member State may adopt or maintain national legislation imposing an authorisation requirement on the provision of technical assistance where a provider of technical assistance who proposes to provide technical assistance for dual-use items has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Has the Member State adopted national legislation imposing authorisation requirements in applications of Article 8(5)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | NO |
| CZECH REPUBLIC | NO |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | NO |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | NO |
| AUSTRIA | NO |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | YES |

Member State

Has the Member State adopted national legislation imposing authorisation requirements in applications of Article 8(5)?

BELGIUM

NO

BULGARIA

NO

CZECH REPUBLIC

NO

DENMARK

NO

GERMANY

NO

ESTONIA

NO

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

NO

HUNGARY

NO

MALTA

NO

NETHERLANDS

NO

AUSTRIA

NO

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

NO

SWEDEN

YES

7.1.   Sweden

If a provider of technical assistance has grounds for suspecting that dual-use items that they propose to provide technical assistance for, are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the provider of technical assistance shall notify the competent authority, which may decide to impose an authorisation requirement.

(Section 4 d paragraph two of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217))

8.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 9 OF THE REGULATION (EXTENSION OF CONTROLS TO NON-LISTED ITEMS FOR REASONS OF PUBLIC SECURITY, INCLUDING THE PREVENTION OF ACTS OF TERRORISM, OR FOR HUMAN RIGHTS CONSIDERATIONS)

Article 9(4) of the Regulation requires the Commission to publish measures taken by Member States prohibiting or imposing an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations.

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Have additional controls been implemented concerning non-listed goods for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations in relation with Article 9(1)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | YES |
| DENMARK | NO |
| GERMANY | YES |
| ESTONIA | YES |
| IRELAND | YES |
| GREECE | NO |
| SPAIN | YES |
| FRANCE | YES |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | YES |
| LITHUANIA | YES |
| LUXEMBOURG | YES |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | YES |
| SLOVENIA | YES |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | NO |

Member State

Have additional controls been implemented concerning non-listed goods for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations in relation with Article 9(1)?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

YES

DENMARK

NO

GERMANY

YES

ESTONIA

YES

IRELAND

YES

GREECE

NO

SPAIN

YES

FRANCE

YES

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

YES

LITHUANIA

YES

LUXEMBOURG

YES

HUNGARY

NO

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

YES

SLOVENIA

YES

SLOVAKIA

NO

FINLAND

NO

SWEDEN

NO

8.1.   Bulgaria

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited, by an act of the Council of Ministers, for reasons of public security or human rights considerations.

(Article 34(1), рar. 3 of the Defence-Related Products and Dual-Use Items and Technologies Export Control Act, State Gazette No. 26/29.03.2011).

8.2.   Czech Republic

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited, by Government Order, for reasons of public security or human rights considerations.

(Par. 3(1)(d) of the Act No 594/2004 Coll).

8.3.   Germany

a.   Part I Section B of the German Export Control List

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations

(Section 8 (1) No 2 of the Foreign Trade and Payments Ordinance (Aussenwirtschaftsverordnung – AWV) in connection with Part I Section B of the German Export Control List.

The export of dual-use items not listed in Annex I of the Regulation is subject to authorisation if the items are listed in Part I Section B of the German Export Control List.

(Section 8 (1) No 2 of the Foreign Trade and Payments Ordinance (Aussenwirtschaftsverordnung - AWV)).

Part I B of the German Export Control List includes the following items:

| — | 2B909 Flow forming machines and machines with combined flow forming and spin-forming functions, other than those controlled by 2B009, 2B109 or 2B209 in the framework of Regulation (EU) 2021/821 as amended, having all of the following characteristics, and specially designed components therefor:






  (a) | which, according to the manufacturer's technical specification, can be equipped with numerical control units, computer control or play-back control; and |
| --- | --- | --- |

—

2B909 Flow forming machines and machines with combined flow forming and spin-forming functions, other than those controlled by 2B009, 2B109 or 2B209 in the framework of Regulation (EU) 2021/821 as amended, having all of the following characteristics, and specially designed components therefor:

(a)

which, according to the manufacturer's technical specification, can be equipped with numerical control units, computer control or play-back control; and

| (b) | a roller force of more than 60 kN, if the purchasing country or country of destination is Syria. |
| --- | --- |

(b)

a roller force of more than 60 kN, if the purchasing country or country of destination is Syria.

| — | 2B952 Equipment capable of use in handling biological substances, other than that controlled by 2B352 in the framework of Regulation (EU) 2021/821 as amended, if the purchasing country or country of destination is Iran, North Korea or Syria:






  (a) | fermenters, capable of cultivation of pathogenic 'micro-organisms' or viruses, or capable of toxin production, without the propagation of aerosols and having a total capacity of 10 l or more; |
| --- | --- | --- |

—

2B952 Equipment capable of use in handling biological substances, other than that controlled by 2B352 in the framework of Regulation (EU) 2021/821 as amended, if the purchasing country or country of destination is Iran, North Korea or Syria:

(a)

fermenters, capable of cultivation of pathogenic 'micro-organisms' or viruses, or capable of toxin production, without the propagation of aerosols and having a total capacity of 10 l or more;

| (b) | agitators for fermenters controlled by 2B352(a) in the framework of Regulation (EU) 2021/821 as amended.

  Technical note:


  Fermenters include bioreactors, chemostats and continuous-flow systems. |
| --- | --- |

(b)

agitators for fermenters controlled by 2B352(a) in the framework of Regulation (EU) 2021/821 as amended.

Technical note:

Fermenters include bioreactors, chemostats and continuous-flow systems.

| — | 2B993 Equipment for the deposition of metallic overlays for non-electronic substrates as follows, and specially designed components and accessories therefor, if the purchasing country or country of destination is Iran:






  (a) | chemical vapour deposition (CVD) production equipment; |
| --- | --- | --- |

—

2B993 Equipment for the deposition of metallic overlays for non-electronic substrates as follows, and specially designed components and accessories therefor, if the purchasing country or country of destination is Iran:

(a)

chemical vapour deposition (CVD) production equipment;

| (b) | electron beam physical vapour deposition (EB-PVD) production equipment; |
| --- | --- |

(b)

electron beam physical vapour deposition (EB-PVD) production equipment;

| (c) | production equipment for deposition by means of inductive or resistance heating. |
| --- | --- |

(c)

production equipment for deposition by means of inductive or resistance heating.

| — | 5A902 Surveillance systems, equipment and components for ICT (Information and Communication Technology) for public networks, not specified by item 5D001(e) of Annex I to Regulation (EU) 2021/821 as amended, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821, as follows:






  (a) | Monitoring centres (Law Enforcement Monitoring Facilities) for Lawful Interception Systems (LI, for example according to ETSI ES 201 158, ETSI ES 201 671 or equivalent standards, specifications or standards) and specially designed components therefor, |
| --- | --- | --- |

—

5A902 Surveillance systems, equipment and components for ICT (Information and Communication Technology) for public networks, not specified by item 5D001(e) of Annex I to Regulation (EU) 2021/821 as amended, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821, as follows:

(a)

Monitoring centres (Law Enforcement Monitoring Facilities) for Lawful Interception Systems (LI, for example according to ETSI ES 201 158, ETSI ES 201 671 or equivalent standards, specifications or standards) and specially designed components therefor,

| (b) | Retention systems or devices for call data (Intercept Related Information IRI, for example, according to ETSI TS 102 656 or equivalent standards, specifications or standards) and specially designed components therefor.

  Technical note:


  Call data includes signalling information, origin and destination (e.g. phone numbers, IP or MAC addresses, etc.), date and time and geographical origin of communication.


  Note:


  5A902 does not control systems, or devices that are specially designed for any the following purposes:








  (a) | billing |
| --- | --- | --- |

(b)

Retention systems or devices for call data (Intercept Related Information IRI, for example, according to ETSI TS 102 656 or equivalent standards, specifications or standards) and specially designed components therefor.

Technical note:

Call data includes signalling information, origin and destination (e.g. phone numbers, IP or MAC addresses, etc.), date and time and geographical origin of communication.

Note:

5A902 does not control systems, or devices that are specially designed for any the following purposes:

(a)

billing

| (b) | data collection functions within network elements (e.g., Exchange or HLR) |
| --- | --- |

(b)

data collection functions within network elements (e.g., Exchange or HLR)

| (c) | quality of service of the network (Quality of Service - QoS) or |
| --- | --- |

(c)

quality of service of the network (Quality of Service - QoS) or

| (d) | user satisfaction (Quality of Experience - QoE) |
| --- | --- |

(d)

user satisfaction (Quality of Experience - QoE)

| (e) | operation at telecommunications companies (service providers). |
| --- | --- |

(e)

operation at telecommunications companies (service providers).

| — | 5A911 Base stations for digital 'trunked radio' if the purchasing country or country of destination is Sudan or South Sudan.

  Technical note:


  ’Trunked radio' is a cellular radio communications procedure with mobile subscribers who are assigned frequency trunks for communication. Digital 'trunked radio' (e.g. TETRA, terrestrial trunked radio) uses digital modulation. |
| --- | --- |

—

5A911 Base stations for digital 'trunked radio' if the purchasing country or country of destination is Sudan or South Sudan.

Technical note:

’Trunked radio' is a cellular radio communications procedure with mobile subscribers who are assigned frequency trunks for communication. Digital 'trunked radio' (e.g. TETRA, terrestrial trunked radio) uses digital modulation.

| — | 5D902 'Software', not specified by item 5D001(e) of Annex I to Regulation (EU) 2021/821 as amended, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821, as follows:






  (a) | ’software' specifically designed or modified for the 'development', 'production' or 'use' of installations, functions or performance parameters controlled by entry 5A902; |
| --- | --- | --- |

—

5D902 'Software', not specified by item 5D001(e) of Annex I to Regulation (EU) 2021/821 as amended, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821, as follows:

(a)

’software' specifically designed or modified for the 'development', 'production' or 'use' of installations, functions or performance parameters controlled by entry 5A902;

| (b) | ’software' specifically designed or modified for the achievement of characteristics, functions or performance parameters controlled by entry 5A902. |
| --- | --- |

(b)

’software' specifically designed or modified for the achievement of characteristics, functions or performance parameters controlled by entry 5A902.

| — | 5D911 'Software' specially designed or modified for the 'use' of equipment, which is controlled by item 5A911, if the purchasing country or country of destination is Sudan or South Sudan. |
| --- | --- |

—

5D911 'Software' specially designed or modified for the 'use' of equipment, which is controlled by item 5A911, if the purchasing country or country of destination is Sudan or South Sudan.

| — | 5E902 'Technology' not specified by item 5E001(a) of Annex I to Regulation (EU) 2021/821 as amended, according to the General Technology Note for the 'development', 'production' and 'use' of installations, functions or performance characteristics controlled by entry 5A902, or 'software' controlled by entry 5D902, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821. |
| --- | --- |

—

5E902 'Technology' not specified by item 5E001(a) of Annex I to Regulation (EU) 2021/821 as amended, according to the General Technology Note for the 'development', 'production' and 'use' of installations, functions or performance characteristics controlled by entry 5A902, or 'software' controlled by entry 5D902, where the destination lies outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

| — | 6A908 Radar-based navigation or surveillance systems for vessel or airborne traffic control, not controlled by items 6A008 or 6A108 in the framework of Regulation (EU) 2021/821 as amended, and specially designed components therefor, if the purchasing country or country of destination is Iran. |
| --- | --- |

—

6A908 Radar-based navigation or surveillance systems for vessel or airborne traffic control, not controlled by items 6A008 or 6A108 in the framework of Regulation (EU) 2021/821 as amended, and specially designed components therefor, if the purchasing country or country of destination is Iran.

| — | 6D908 'Software', specially developed or modified for the 'development', 'production' or 'use' of the equipment controlled by 6A908, if the purchasing country or country of destination is Iran. |
| --- | --- |

—

6D908 'Software', specially developed or modified for the 'development', 'production' or 'use' of the equipment controlled by 6A908, if the purchasing country or country of destination is Iran.

| — | 9A904‘Spacecraft’ and other equipment, as follows:






  (a) | Antennas designed for use in connection with ‘spacecrafts’, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821. |
| --- | --- | --- |

—

9A904‘Spacecraft’ and other equipment, as follows:

(a)

Antennas designed for use in connection with ‘spacecrafts’, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

| (b) | ’Laser' communication terminals (LCTs, 'laser' data communication stations), other than those specified in 9A004 of Annex I to Regulation (EU) 2021/821, as amended, for use in connection with ‘spacecrafts’, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

  Technical note:


  9A904 includes items used in the following contexts with ‘spacecraft’, both on the ground and on ‘spacecraft’:








  1. | Use as a payload for uplink or downlink, |
| --- | --- | --- |

(b)

’Laser' communication terminals (LCTs, 'laser' data communication stations), other than those specified in 9A004 of Annex I to Regulation (EU) 2021/821, as amended, for use in connection with ‘spacecrafts’, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

Technical note:

9A904 includes items used in the following contexts with ‘spacecraft’, both on the ground and on ‘spacecraft’:

1.

Use as a payload for uplink or downlink,

| 2. | Communications between ‘spacecraft’; or |
| --- | --- |

2.

Communications between ‘spacecraft’; or

| 3. | Use in connection with the transmission of telemetry signals. |
| --- | --- |

3.

Use in connection with the transmission of telemetry signals.

| — | 9A991 Ground vehicles not covered by Part I A of the Export Control List, as follows:






  (a) | flatbed trailers and semitrailers with a payload exceeding 25 000 kg and less than 70 000 kg, or having one or more military features and being capable of transporting vehicles controlled by 0006 in Part I A as well as traction vehicles capable of their transportation and having one or more military features if the purchasing country or country of destination is Iran, Libya, Myanmar, North Korea, Pakistan, Somalia or Syria;

  Note:


  Traction vehicles within the meaning of 9A991a comprise all vehicles with primary traction function; |
| --- | --- | --- |

—

9A991 Ground vehicles not covered by Part I A of the Export Control List, as follows:

(a)

flatbed trailers and semitrailers with a payload exceeding 25 000 kg and less than 70 000 kg, or having one or more military features and being capable of transporting vehicles controlled by 0006 in Part I A as well as traction vehicles capable of their transportation and having one or more military features if the purchasing country or country of destination is Iran, Libya, Myanmar, North Korea, Pakistan, Somalia or Syria;

Note:

Traction vehicles within the meaning of 9A991a comprise all vehicles with primary traction function;

| (b) | other trucks and off-road vehicles having one or more military features, if the purchasing country or country of destination is Iran, Libya, Myanmar, North Korea, Somalia or Syria.

  Note 1: Military features as defined by 9A991 include:








  (a) | fording capability of 1,2 m or more; |
| --- | --- | --- |

(b)

other trucks and off-road vehicles having one or more military features, if the purchasing country or country of destination is Iran, Libya, Myanmar, North Korea, Somalia or Syria.

Note 1: Military features as defined by 9A991 include:

(a)

fording capability of 1,2 m or more;

| (b) | mountings for guns and weapons; |
| --- | --- |

(b)

mountings for guns and weapons;

| (c) | mountings for camouflage netting; |
| --- | --- |

(c)

mountings for camouflage netting;

| (d) | roof lights, round with sliding or swinging cover; |
| --- | --- |

(d)

roof lights, round with sliding or swinging cover;

| (e) | military enamelling; |
| --- | --- |

(e)

military enamelling;

| (f) | hook coupling for trailers in conjunction with a so-called NATO-socket. |
| --- | --- |

(f)

hook coupling for trailers in conjunction with a so-called NATO-socket.

Note 2: 9A991 does not control ground vehicles when accompanying their users for their own personal use.

| — | 9A992 Trucks, as follows:






  (a) | all-wheel-drive trucks with a payload exceeding 1 000 kg, if the purchasing country or country of destination is North Korea; |
| --- | --- | --- |

—

9A992 Trucks, as follows:

(a)

all-wheel-drive trucks with a payload exceeding 1 000 kg, if the purchasing country or country of destination is North Korea;

| (b) | trucks with three or more axles and a maximum permissible gross laden weight of more than 20 000 kg, if the purchasing country or country of destination is Iran or Syria. |
| --- | --- |

(b)

trucks with three or more axles and a maximum permissible gross laden weight of more than 20 000 kg, if the purchasing country or country of destination is Iran or Syria.

| — | 9A993 Helicopters, helicopter power transfer systems, gas turbine engines and auxiliary power units (APUs) for use in helicopters, and specially designed components therefor, if the purchasing country or country of destination is Cuba, Iran, Libya, Myanmar, North Korea, Somalia or Syria. |
| --- | --- |

—

9A993 Helicopters, helicopter power transfer systems, gas turbine engines and auxiliary power units (APUs) for use in helicopters, and specially designed components therefor, if the purchasing country or country of destination is Cuba, Iran, Libya, Myanmar, North Korea, Somalia or Syria.

| — | 9A994 Air-cooled power units (aero-engines) with a cubic capacity of 100 cm3 or more and 600 cm3 or less, capable of use in unmanned 'air vehicles', and specially designed components therefor, if the purchasing country or country of destination is Iran. |
| --- | --- |

—

9A994 Air-cooled power units (aero-engines) with a cubic capacity of 100 cm3 or more and 600 cm3 or less, capable of use in unmanned 'air vehicles', and specially designed components therefor, if the purchasing country or country of destination is Iran.

| — | 9D904 'Software' specially designed or modified for the 'development', 'production' or 'use' of items specified in 9A904, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821. |
| --- | --- |

—

9D904 'Software' specially designed or modified for the 'development', 'production' or 'use' of items specified in 9A904, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

| — | 9E904 'Technology' according to the General Technology Note, other than that specified in 5E001.b.2., 9E001 and 9E002 of Annex I to Regulation (EU) 2021/821, as amended, for the ‘development’, ‘production’ or ‘use’ of items specified in 9A904 or 'software' specified in 9D904, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821. |
| --- | --- |

—

9E904 'Technology' according to the General Technology Note, other than that specified in 5E001.b.2., 9E001 and 9E002 of Annex I to Regulation (EU) 2021/821, as amended, for the ‘development’, ‘production’ or ‘use’ of items specified in 9A904 or 'software' specified in 9D904, if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

| — | 9E991 'Technology' according to the General Technology Note for the 'development' or 'production' of equipment controlled by 9A993, if the purchasing country or country of destination is Cuba, Iran, Libya, Myanmar, North Korea, or Syria. |
| --- | --- |

—

9E991 'Technology' according to the General Technology Note for the 'development' or 'production' of equipment controlled by 9A993, if the purchasing country or country of destination is Cuba, Iran, Libya, Myanmar, North Korea, or Syria.

| — | 9E992 'Technology' according to the General Technology Note, other than controlled by 9E101(b) in the framework of Regulation (EU) 2021/821 as amended, for the 'production' of 'unmanned aerial vehicles' ('UAVs'), if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821. |
| --- | --- |

—

9E992 'Technology' according to the General Technology Note, other than controlled by 9E101(b) in the framework of Regulation (EU) 2021/821 as amended, for the 'production' of 'unmanned aerial vehicles' ('UAVs'), if the destination is outside the customs territory of the European Union and outside the areas listed in Annex II Section A Part 2 of Regulation (EU) 2021/821.

b.   Section 9 Foreign Trade and Payments Ordinance (Aussenwirtschaftsverordnung - AWV)

An authorisation shall be required for the export of dual-use items not listed in Annex I, if the exporter has been informed by BAFA that the items in question are or may be intended, in their entirety or in part, for the construction or operation of a nuclear installation within the meaning of Category 0 of Annex I to Regulation (EU) 2021/821 or for incorporation into such an installation, and if the country of destination is Algeria, Iraq, Iran, Israel, Jordan, Libya, the Democratic People's Republic of Korea, Pakistan or Syria. If an exporter is aware that the items are intended, in their entirety or in part, for the aforementioned use, he must notify BAFA. BAFA will decide whether or not it makes the export concerned subject to authorisation. This Section shall not apply in the field regulated by Article 4 and Article 10 of Regulation (EU) 2021/821.

(Section 9 of the Foreign Trade and Payments Ordinance (Aussenwirtschaftsverordnung - AWV)).

c.   Section 6 Foreign Trade and Payments Act (Aussenwirtschaftsgesetz - AWG)

Under Section 6 of the Foreign Trade and Payments Act (Aussenwirtschaftsgesetz - AWG), transactions, legal transactions and actions can be restricted, or obligations to act can be imposed by administrative act, in order to avert a danger pertaining in an individual case to the interests e.g. the essential security interests of the Federal Republic of Germany, the peaceful coexistence of nations, the foreign relations of the Federal Republic of Germany, the public order or security of the Federal Republic of Germany.

8.4.   Estonia

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited, by decision of the Strategic Goods Commission, for reasons of public security or human rights considerations.

(Par. 2 (11) and 6 (2) of the Strategic Goods Act).

8.5.   Ireland

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations.

(Section 12(2) of Statutory Instrument 443 of 2009, Control of Exports (Dual-Use Items) Order 2009, as amended).

8.6.   France

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations. (Decree No 2010-292).

National controls on exports of dual-use items have been adopted, as set out in following orders: Ministerial Order of 31 July 2014 concerning the export of certain helicopters and their spare parts to third countries (Published in the French Official Gazette of 8 August 2014) and Ministerial Order of 31 July 2014 on the export of tear gas and riot control agents to third countries (Published in the French Official Gazette of 8 August 2014).

8.7.   Latvia

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited by the Control Committee for Strategic Goods for reasons of public security or human rights considerations.

National list of items not listed in Annex I of Regulation is in force.

| – 10A901 | Weapons using non-centre fire cased ammunition (rimfire), specially designed components and ammunition. |
| --- | --- |

– 10A901

Weapons using non-centre fire cased ammunition (rimfire), specially designed components and ammunition.

| – 10A902 | Aircraft related equipment, spare parts and components. Control applicable only to aircraft equipment, spare parts and components what can be used for both- civil and military aircrafts. |
| --- | --- |

– 10A902

Aircraft related equipment, spare parts and components. Control applicable only to aircraft equipment, spare parts and components what can be used for both- civil and military aircrafts.

| – 10A903 | Air guns with energy exceeding 12 J. |
| --- | --- |

– 10A903

Air guns with energy exceeding 12 J.

| – 10A906 | Night vision weapon sights and components. |
| --- | --- |

– 10A906

Night vision weapon sights and components.

| – 10A907 | Anti-personnel mines. |
| --- | --- |

– 10A907

Anti-personnel mines.

| – 10D901 | Software developed for intelligence services and specially designed to covertly extract, destroy or change information from computers, networks or other information systems. |
| --- | --- |

– 10D901

Software developed for intelligence services and specially designed to covertly extract, destroy or change information from computers, networks or other information systems.

| – 10E902 | Military assistance and technical assistance related to military goods. |
| --- | --- |

– 10E902

Military assistance and technical assistance related to military goods.

(Regulation No 645 of 25 September 2007 - 'Regulation on the National List of Strategic Goods and Services', Article 3(1) of the Law on the Circulation of Strategic Goods of 21 June 2007).

8.8.   Luxembourg

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations.

The exporter who knows or suspects that such export or these products affect or are likely to affect the national or foreign security of the country of the Grand Duchy of Luxembourg or the safeguarding of human rights, shall inform the Ministers responsible for Foreign Trade and Foreign Affairs who inform the exporter or his authorized representative of the need or not to request the authorization.

(Law of 27 June 2018, Article 45 (2)).

8.9.   The Netherlands

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited by the Minister of Foreign Affairs for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations.

(Article 4 of the Decree for Strategic Goods - Besluit strategische goederen).

National controls for the export of items for internal repression and brokering services to Syria and for the export of items for internal repression to Egypt and Ukraine have been adopted.

(Decree Goods for Dual-Use - Regeling goederen voor tweeërlei gebruik).

Authorisation requirements have been imposed for the export of 37 chemical substances to Iraq, regardless of the specific consignee or end-user.

(Decree Goods for Dual-Use Iraq – Regeling goederen voor tweeërlei gebruik Irak).

8.10.   Austria

The export or transit of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations.

(Article 20 of the 2011 Foreign Trade Act (Außenwirtschaftsgesetz 2011, BGBl. I Nr. 26/2011)).

8.11.   Romania

The export of dual-use items not listed in Annex I of the Regulation but subject to the export control regime according to the provisions of Article 9, shall require an individual export authorisation.

(Extract from Article 10(1) of the GO 43/2022 on the control regime for operations concerning dual-use items).

8.12.   Spain

The export of dual-use items not listed in Annex I of the Regulation and listed in Annex III.4 and Annex III.5 of the Royal Decree 679/2014 of 1 August 2014, shall be subject to authorisation.

(Art. 2(3)(a) - Royal Decree 679/2014, of 1 August 2014 on the control of external trade in defence material, other material and dual-use goods and technologies)

| — | 1C901 ammonium nitrate (CAS 6484-52-2) in an explosive degree with a concentration of nitrogen of 31,5 % or more.
  Note 1: Article 1C901 controls ammonium nitrate, technical ammonium nitrate, granulated ammonium nitrate, porous ammonium nitrate and any other presentation in which it can be used as a solid oxidiser.
  Note 2: Article 1C901 includes explosive mixtures of ammonium nitrate with fuel oils, emulsions, hydrogels and water resistant explosives.
  Note 3: Article 1C901 does not control ammonium nitrate in high density and low porosity fertiliser.
  Note 4: Article 1C901 does not control the issue of ammonium nitrate (UN 1942 and UN 2426) for the manufacture of explosives, as well as the matrices of emulsions, suspensions and gels based on ammonium nitrate (UN 3375) used for the manufacture of explosives, which shall be governed by Supplementary Technical Instruction No 30 of the Explosives Regulation, approved by Royal Decree 130/2017 of 24 February. |
| --- | --- |

—

1C901 ammonium nitrate (CAS 6484-52-2) in an explosive degree with a concentration of nitrogen of 31,5 % or more.

Note 1: Article 1C901 controls ammonium nitrate, technical ammonium nitrate, granulated ammonium nitrate, porous ammonium nitrate and any other presentation in which it can be used as a solid oxidiser.

Note 2: Article 1C901 includes explosive mixtures of ammonium nitrate with fuel oils, emulsions, hydrogels and water resistant explosives.

Note 3: Article 1C901 does not control ammonium nitrate in high density and low porosity fertiliser.

Note 4: Article 1C901 does not control the issue of ammonium nitrate (UN 1942 and UN 2426) for the manufacture of explosives, as well as the matrices of emulsions, suspensions and gels based on ammonium nitrate (UN 3375) used for the manufacture of explosives, which shall be governed by Supplementary Technical Instruction No 30 of the Explosives Regulation, approved by Royal Decree 130/2017 of 24 February.

| — | 5A901 radio frequency systems and equipment not specified in 5.A.1.f and 5.A.1.h, components and accessories, specially designed or modified to develop any of the following functions:






  1. | Take control and command of unmanned aeroplanes. |
| --- | --- | --- |

—

5A901 radio frequency systems and equipment not specified in 5.A.1.f and 5.A.1.h, components and accessories, specially designed or modified to develop any of the following functions:

1.

Take control and command of unmanned aeroplanes.

| 2. | Deliberately and selectively interfere, deny, inhibit, degrade or deceive radio frequency signals for the control and command of unmanned aeroplanes. |
| --- | --- |

2.

Deliberately and selectively interfere, deny, inhibit, degrade or deceive radio frequency signals for the control and command of unmanned aeroplanes.

| 3. | Use the specific characteristics of the radio frequency protocol used by unmanned aeroplanes to interfere with their operation. |
| --- | --- |

3.

Use the specific characteristics of the radio frequency protocol used by unmanned aeroplanes to interfere with their operation.

N.B. For GNSS disturbance systems, see also Military Goods Controls, Category 11.b.

| — | 5A902 surveillance systems, equipment and components for public information and communication networks, not specified in Article 5A001 of Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021, designed for any of the following functions:






  1. | Monitoring for legal interception applications (according to legal interception and telecommunications security requirements for ETSI ES 201 158 network functions, handover interface for lawful interception of telecommunications traffic ETSI ES 201 671 or equivalent standards and specifications) and specially designed components therefor. |
| --- | --- | --- |

—

5A902 surveillance systems, equipment and components for public information and communication networks, not specified in Article 5A001 of Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021, designed for any of the following functions:

1.

Monitoring for legal interception applications (according to legal interception and telecommunications security requirements for ETSI ES 201 158 network functions, handover interface for lawful interception of telecommunications traffic ETSI ES 201 671 or equivalent standards and specifications) and specially designed components therefor.

| 2. | Call data retention (in accordance with the requirements for lawful data interception by law enforcement agencies for the handling of ETSI TS 102 656 data or equivalent standards and specifications) and specially designed components therefor. |
| --- | --- |

2.

Call data retention (in accordance with the requirements for lawful data interception by law enforcement agencies for the handling of ETSI TS 102 656 data or equivalent standards and specifications) and specially designed components therefor.

Technical note: Call data includes signalling information, origin and destination (e.g. phone numbers, IP or MAC addresses, etc.), date and time and geographical origin of communication.

Note: Article 5A902 does not control systems, equipment or components specially designed for any of the following purposes:

| (a) | Invoicing; |
| --- | --- |

(a)

Invoicing;

| (b) | Data collection functions within the network elements; |
| --- | --- |

(b)

Data collection functions within the network elements;

| (c) | Quality of service of the network; or |
| --- | --- |

(c)

Quality of service of the network; or

| (d) | User satisfaction. |
| --- | --- |

(d)

User satisfaction.

| — | 5D902 software not specified in Article 5D001 of Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 specially designed or modified for the development, production, use, functional configuration and performance control of surveillance systems, equipment and components specified in 5A902 |
| --- | --- |

—

5D902 software not specified in Article 5D001 of Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 specially designed or modified for the development, production, use, functional configuration and performance control of surveillance systems, equipment and components specified in 5A902

8.13.   Lithuania

The export of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security, including the prevention of acts of terrorism, or human rights considerations.

(The Law of the Republic of Lithuania on the Control of Strategic Goods No. XIV-1738, December 22, 2022).

8.14.   Slovenia

The export or transit of dual-use items not listed in Annex I of the Regulation may be subject to authorisation or prohibited for reasons of public security or human rights considerations.

(Article 4(3) of the Act Regulating the Control of Exports of Dual-Use Items (Zakon o nadzoru izvoza blaga z dvojno rabo (Uradni list RS, št. 37/04, 8/10 in 29/23)

9.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 11(5) OF THE REGULATION (INTRA-COMMUNITY TRANSFERS)

Article 11(5) stipulates that Member States imposing an authorisation requirement for the transfer from their territory to another Member State of items not listed in Annex IV to the Regulation (Annex IV lists items which do not benefit from freedom of movement in the single market) must inform the Commission, which must in turn publish this information in the
  Official Journal of the European Union.

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Have specific measures been taken to extend intra-EU transfer controls in relation with Article 11(2)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | YES |
| DENMARK | NO |
| GERMANY | YES |
| ESTONIA | YES |
| IRELAND | NO |
| GREECE | YES |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | YES |
| HUNGARY | YES |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | NO |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | YES |
| FINLAND | NO |
| SWEDEN | YES |

Member State

Have specific measures been taken to extend intra-EU transfer controls in relation with Article 11(2)?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

YES

DENMARK

NO

GERMANY

YES

ESTONIA

YES

IRELAND

NO

GREECE

YES

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

YES

HUNGARY

YES

MALTA

NO

NETHERLANDS

YES

AUSTRIA

NO

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

YES

FINLAND

NO

SWEDEN

YES

9.1.   Bulgaria

Bulgaria has extended intra-EU transfer controls as set out in Article 11(2) of the Regulation and has introduced a requirement for additional information to be provided to the competent authorities concerning certain intra-EU transfers as set out in Article 11(8) of the Regulation.

(Article 51, par. 8 and par. 9 of the Defence-Related Products and Dual-Use Items and Technologies Export Control Act, State Gazette No. 26/29.03.2011, effective 30.06.2012).

9.2.   Czech Republic

Act No 594/2004 Coll. extends controls with regard to intra-EU transfers from the Czech Republic as set out in Article 11(2) of the Regulation.

9.3.   Germany

Section 11 of the Foreign Trade and Payments Ordinance (Aussenwirtschaftsverordnung - AWV) extends controls with regard to intra-EU transfers from Germany as set out in Article 11(2) of the Regulation.

9.4.   Estonia

The Strategic Goods Act §3(6) extends controls with regard to intra-EU transfers as stipulated in Article 11(2) of the Regulation.

9.5.   Greece

Section 3.4 of Ministerial Decision No 121837/E3/21837 of 28 September 2009 extends controls with regard to intra-EU transfers from Greece as set out in Article 11(2) of the Regulation.

9.6.   Luxembourg

An authorization requirement may be imposed for the transfer of dual-use items, other than those listed in Annex IV to the Regulation, from the territory of the Grand Duchy of Luxembourg to another Member State in the cases provided for in Article 11(2) of the Regulation.

(Law of 27 June 2018 on export control, Article 44).

9.7.   Hungary

Par. 16 of the Government Decree No 13 of 2011 ‘on the foreign trade authorisation of dual-use items’ adopts licensing requirement on listed dual-use items for transfers within the EU if the conditions stipulated in Article 11(2) of the Regulation apply.

9.8.   The Netherlands

An authorisation requirement for intra-EU transfers may be imposed in individual cases with regard to dual-use items.

(Article 4a(2) of the Decree for Strategic Goods - Besluit strategische goederen).

9.9.   Slovakia

Par. 23(2) of the Act No 39/2011 Coll. extends controls with regard to intra-EU transfers from the Slovak Republic, as set out in Article 11(2) of the Regulation.

9.10.   Sweden

An authorisation requirement for intra-EU transfers may be imposed in accordance with article 11(2) of the Regulation with regard to dual-use items if the operator has been informed by the competent authority that the conditions in article 11(2)(a – b) are fulfilled.

For dual use items listed in Annex I of the Regulation an authorization requirement for intra-EU transfers may only be imposed if the operator has been informed by the competent authority that the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

If an operator is aware that dual use items listed in Annex I of the Regulation which they intend to transfer in accordance with article 11(2), are or may be intended for any of the uses referred to in Article 4(1) of the Regulation, the operator shall notify the competent authority, which may decide to impose an authorisation requirement.

(Section 4 e of the Dual-Use Items and Technical Assistance Control Ordinance (2000:1217))

10.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 11(8) OF THE REGULATION (INTRA-COMMUNITY TRANSFERS)

Article 11(8) stipulates that a Member States may require that, for the transfer from their territory to another Member State of items listed in Category 5, Part 2 of Annex I, which are not listed in Annex IV to the Regulation, additional information concerning those items shall be provided to the competent authorities of that Member State.

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Have specific measures been taken to extend intra-EU transfer controls in relation with Article 11(8)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | NO |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | YES |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | NO |
| AUSTRIA | NO |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | NO |

Member State

Have specific measures been taken to extend intra-EU transfer controls in relation with Article 11(8)?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

NO

DENMARK

NO

GERMANY

NO

ESTONIA

NO

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

YES

HUNGARY

NO

MALTA

NO

NETHERLANDS

NO

AUSTRIA

NO

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

NO

SWEDEN

NO

10.1.   Bulgaria

For the transfer from the territory of the Republic of Bulgaria to the territory of another Member State of dual-use items listed in Category 5, Part 2 of Annex I and which are not listed in Annex IV to the Regulation, the Interministerial Commission may require, from the person making the transfer, additional information on the items.

(Article 51 (9) of the Defence-Related Products and Dual-Use Items and Technologies Export Control Act, State Gazette No. 26/29.03.2011, effective 30.06.2012).

10.2.   Luxembourg

For the transfer from the territory of the Grand Duchy of Luxembourg to the territory of another Member State of dual-use items listed in Category 5, Part 2 of Annex I and which are not listed in Annex IV to the Regulation, the following additional information shall be provided in the frame of the authorization application:

| 1. | Indication of the commercial reference of the item, its general description and features; |
| --- | --- |

1.

Indication of the commercial reference of the item, its general description and features;

| 2. | Presentation of the cryptology services to be provided; |
| --- | --- |

2.

Presentation of the cryptology services to be provided;

| 3. | Presentation of the implementation of the algorithms; |
| --- | --- |

3.

Presentation of the implementation of the algorithms;

| 4. | Presentation of security norms or standards; |
| --- | --- |

4.

Presentation of security norms or standards;

| 5. | Presentation of the type of data concerned by the service; |
| --- | --- |

5.

Presentation of the type of data concerned by the service;

| 6. | Document relating to the technical specifications of the item (in 12 points) |
| --- | --- |

6.

Document relating to the technical specifications of the item (in 12 points)

(Grand Duke Regulation of 14 December 2018, Article 10(1), paragraph 1 sub 2° and paragraph 2 sub 4°, and Annex 15).

11.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 12(6)(B) OF THE REGULATION (NATIONAL GENERAL EXPORT AUTHORISATIONS)

Article 12(6)(b) of the Regulation requires the Commission to publish measures taken by Member States with regard to any national general export authorisations issued or modified.

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Has your Member State issued or modified any national general export authorisation in relation with Article 12(6)? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | NO |
| CZECH REPUBLIC | NO |
| DENMARK | NO |
| GERMANY | YES |
| ESTONIA | NO |
| IRELAND | NO |
| GREECE | YES |
| SPAIN | NO |
| FRANCE | YES |
| CROATIA | YES (but NOT in use) |
| ITALY | YES |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | NO |
| LUXEMBOURG | NO |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | YES |
| AUSTRIA | YES |
| POLAND | NO |
| PORTUGAL | NO |
| ROMANIA | NO |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | YES (but NOT in use) |
| SWEDEN | NO |

Member State

Has your Member State issued or modified any national general export authorisation in relation with Article 12(6)?

BELGIUM

NO

BULGARIA

NO

CZECH REPUBLIC

NO

DENMARK

NO

GERMANY

YES

ESTONIA

NO

IRELAND

NO

GREECE

YES

SPAIN

NO

FRANCE

YES

CROATIA

YES (but NOT in use)

ITALY

YES

CYPRUS

NO

LATVIA

NO

LITHUANIA

NO

LUXEMBOURG

NO

HUNGARY

NO

MALTA

NO

NETHERLANDS

YES

AUSTRIA

YES

POLAND

NO

PORTUGAL

NO

ROMANIA

NO

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

YES (but NOT in use)

SWEDEN

NO

11.1.   Germany

There are seven National General Export Authorisations in force in Germany:

| 1 | General Authorisation No 12 for the export of certain dual-use goods below a certain value threshold; |
| --- | --- |
| 2 | General Authorisation No 13 for the export of certain dual-use goods in certain circumstances; |
| 3 | General Authorisation No 14 for valves and pumps; |
| 4 | General Authorisation N° 15 for the export of certain dual-use items following the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union (Brexit); |
| 5 | General Authorisation No 16 for the export of telecommunications and data security items; |
| 6 | General Authorisation No 17 for the export of frequency changers. |
| 7 | General Authorisation No 32 for the export of certain dual-use items to Ukraine (except for areas not controlled by the Ukrainian government) to (i) state agencies, institutions and organisations of the Ukrainian government, (ii) certain humanitarian aid agencies, (iii) certain media representatives, humanitarian aid workers, development workers and assigned personnel for these individuals, solely for their own use |

1

General Authorisation No 12 for the export of certain dual-use goods below a certain value threshold;

2

General Authorisation No 13 for the export of certain dual-use goods in certain circumstances;

3

General Authorisation No 14 for valves and pumps;

4

General Authorisation N° 15 for the export of certain dual-use items following the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union (Brexit);

5

General Authorisation No 16 for the export of telecommunications and data security items;

6

General Authorisation No 17 for the export of frequency changers.

7

General Authorisation No 32 for the export of certain dual-use items to Ukraine (except for areas not controlled by the Ukrainian government) to (i) state agencies, institutions and organisations of the Ukrainian government, (ii) certain humanitarian aid agencies, (iii) certain media representatives, humanitarian aid workers, development workers and assigned personnel for these individuals, solely for their own use

11.2.   Greece

A National General Export Authorisation applies for export of certain dual-use items to the following destinations: Argentina, Republic of Korea, Russian Federation, Ukraine, Turkey and South Africa.

(Ministerial Decision No 125263/e3/25263/6-2-2007).

11.3.   France

There are eight National General Export Authorisations in force in France:

| 1 | National General Export Authorisation for industrial goods, as defined in the decree of 18 July 2002 concerning the export of industrial goods subject to strategic control in the European Community [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 11) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 5)]; |
| --- | --- |
| 2 | National General Export Authorisation for chemical products, as defined in the decree of 18 July 2002 concerning the export of dual-use chemical products [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 12) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 6)]; |
| 3 | National General Export Authorisation for graphite, as defined in the decree of 18 July 2002 concerning the export of nuclear quality graphite [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 13) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 7)]; |
| 4 | National General Export Authorisation for biological products, as defined in the decree of 14 May 2007 and amended by the decree of 18 March 2010 concerning the export of certain genetic elements and genetically modified organisms [as published in the Official Journal of the French Republic of 20 March 2010]; |
| 5 | National General Export Authorisation for certain dual-use items for French armed forces in third countries (Ministerial Order of 31 July 2014, published in the French Official Gazette of 8 August 2014); |
| 6 | National General Authorisation for the export or transfer within the EU of certain dual-use items for exhibition or fair (Ministerial Order of 31 July 2014 published in the French Official Gazette of 8 August 2014). |
| 7 | National General Authorization for the export of dual-use items for the repair of civil aircraft, also named National General Authorization for ‘aeronautical equipment’ (Ministerial Order of 14 January 2019 published in the Official Journal of the French Republic of 18 January 2019 (text 19). |
| 8 | National General Export Authorisation for the export of low-value dual-use items (Ministerial Order of 25 June 2021 published in the Official Journal of the French Republic of 25 July 2021 – Text 11). |

1

National General Export Authorisation for industrial goods, as defined in the decree of 18 July 2002 concerning the export of industrial goods subject to strategic control in the European Community [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 11) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 5)];

2

National General Export Authorisation for chemical products, as defined in the decree of 18 July 2002 concerning the export of dual-use chemical products [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 12) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 6)];

3

National General Export Authorisation for graphite, as defined in the decree of 18 July 2002 concerning the export of nuclear quality graphite [as published in the Official Journal of the French Republic No 176 of 30 July 2002 (text 13) and as amended by the decree of 21 June 2004 concerning the enlargement of the European Union as published in the Official Journal of the French Republic of 31 July 2004 (text 7)];

4

National General Export Authorisation for biological products, as defined in the decree of 14 May 2007 and amended by the decree of 18 March 2010 concerning the export of certain genetic elements and genetically modified organisms [as published in the Official Journal of the French Republic of 20 March 2010];

5

National General Export Authorisation for certain dual-use items for French armed forces in third countries (Ministerial Order of 31 July 2014, published in the French Official Gazette of 8 August 2014);

6

National General Authorisation for the export or transfer within the EU of certain dual-use items for exhibition or fair (Ministerial Order of 31 July 2014 published in the French Official Gazette of 8 August 2014).

7

National General Authorization for the export of dual-use items for the repair of civil aircraft, also named National General Authorization for ‘aeronautical equipment’ (Ministerial Order of 14 January 2019 published in the Official Journal of the French Republic of 18 January 2019 (text 19).

8

National General Export Authorisation for the export of low-value dual-use items (Ministerial Order of 25 June 2021 published in the Official Journal of the French Republic of 25 July 2021 – Text 11).

The specific items covered by the authorisations are set out in the relevant decrees.

11.4.   Croatia

A National General Export Authorisation for the export of dual-use items in accordance with Article 12(6) of the Regulation may be issued by the Ministry of Foreign and European Affairs (Act on Control of Dual-Use Items (OG 80/11 i 68/2013)).

11.5.   Italy

A National General Export Authorisation applies for export of certain dual-use items to the following destinations: Antarctica (Italian bases), Argentina, Republic of Korea, Turkey.

(Decree of 4 August 2003 published in the Official Journal No 202 of 1 September 2003).

11.6.   The Netherlands

There are two National General Export Authorisations in force in the Netherlands:

| 1 | A National General Export Authorisation applies for export of certain dual-use items to all destinations, with the exception of:






  — | Australia, Canada, Japan, New Zeeland, Norway, USA, Switzerland (which are covered already by Annex II Part 3 to the Regulation); |
| --- | --- | --- |

1

A National General Export Authorisation applies for export of certain dual-use items to all destinations, with the exception of:

—

Australia, Canada, Japan, New Zeeland, Norway, USA, Switzerland (which are covered already by Annex II Part 3 to the Regulation);

| — | Afghanistan, Burma/Myanmar, Iraq, Iran, Libya, Lebanon, North Korea, Pakistan, Sudan, Somalia and Syria. |
| --- | --- |

—

Afghanistan, Burma/Myanmar, Iraq, Iran, Libya, Lebanon, North Korea, Pakistan, Sudan, Somalia and Syria.

(National General Authorisation NL002 - Nationale Algemene Uitvoervergunning NL002)

2

A National General Export Authorisation for the export of items for information security to all destinations, with the exception of:

| — | Countries that are subject to an arms embargo, according to article 2(19) of the Regulation; |
| --- | --- |

—

Countries that are subject to an arms embargo, according to article 2(19) of the Regulation;

| — | Afghanistan, Armenia, Azerbaijan, Bahrein, Bangladesh, Burundi, China (including Taiwan, Hong Kong and Macau), Cuba, Djibouti, Egypt, Equatorial-Guinea, Ethiopia, Gambia, Guinee(-Conakry), Guinee-Bissau, India, Yemen, Kazakhstan, Kuwait, Laos, Ukraine, Uzbekistan, Oman, Pakistan, Qatar, Rwanda, Saudi-Arabia, Swaziland, Syria, Tadzhikistan, Thailand, Turkey, Turkmenistan, United Arab Emirates, Vietnam. |
| --- | --- |

—

Afghanistan, Armenia, Azerbaijan, Bahrein, Bangladesh, Burundi, China (including Taiwan, Hong Kong and Macau), Cuba, Djibouti, Egypt, Equatorial-Guinea, Ethiopia, Gambia, Guinee(-Conakry), Guinee-Bissau, India, Yemen, Kazakhstan, Kuwait, Laos, Ukraine, Uzbekistan, Oman, Pakistan, Qatar, Rwanda, Saudi-Arabia, Swaziland, Syria, Tadzhikistan, Thailand, Turkey, Turkmenistan, United Arab Emirates, Vietnam.

(National General Authorisation NL010 – Nationale Uitvoervergunningen NL 010 (items voor informatiebeveiliging))

11.7.   Austria

There are four National General Export Authorisations in force in Austria:

| 1 | AT001 for certain dual use items where they are re-exported to the originating country without modification, or where items of the same quantity and quality are exported to the originating country, or where technology is re-exported with minor additions, all within three months after their import into the European Union; |
| --- | --- |
| 2 | AT002 for the export of certain dual-use goods below a certain value threshold; |
| 3 | AT003 for valves and pumps specified in entries 2B350g and 2B350i to certain destinations; |
| 4 | AT004 for frequency changers specified in entry 3A225 and related software and technology. |

1

AT001 for certain dual use items where they are re-exported to the originating country without modification, or where items of the same quantity and quality are exported to the originating country, or where technology is re-exported with minor additions, all within three months after their import into the European Union;

2

AT002 for the export of certain dual-use goods below a certain value threshold;

3

AT003 for valves and pumps specified in entries 2B350g and 2B350i to certain destinations;

4

AT004 for frequency changers specified in entry 3A225 and related software and technology.

The details of these authorisations are set out in Articles 3 through 3c of the First Foreign Trade Ordinance, BGBl. II No 343/2011 of 28 October 2011 as amended by Ordinance BGBl. II No 430/2015 of 17 December 2015. The conditions for their use (registration and notification requirements) can be found in Article 16 of the same Ordinance.

11.8.   Finland

A National General Export Authorisation for the export of dual-use items in accordance with Article 12(6) of the Regulation may be issued by the Ministry of Foreign Affairs pursuant to Section 3, Paragraph 1 of Dual Use Act No. 562/1996 (as amended).

12.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLE 22 OF THE REGULATION (SPECIALLY EMPOWERED CUSTOMS OFFICES)

Article 22 requires Member States to inform the Commission if they have availed themselves of the option to have customs formalities for the export of dual-use items completed only at customs offices empowered to that end.

The table below provides an overview of the measures taken by Member States, as notified to the Commission. Details on the measures are provided thereafter.

| Member State | Have specific customs offices been designated, in relation with Article 22(1), in which customs formalities for the export of dual-use items may be completed? |
| --- | --- |
| BELGIUM | NO |
| BULGARIA | YES |
| CZECH REPUBLIC | NO |
| DENMARK | NO |
| GERMANY | NO |
| ESTONIA | YES |
| IRELAND | NO |
| GREECE | NO |
| SPAIN | NO |
| FRANCE | NO |
| CROATIA | NO |
| ITALY | NO |
| CYPRUS | NO |
| LATVIA | NO |
| LITHUANIA | YES |
| LUXEMBOURG | NO |
| HUNGARY | NO |
| MALTA | NO |
| NETHERLANDS | NO |
| AUSTRIA | NO |
| POLAND | YES |
| PORTUGAL | NO |
| ROMANIA | YES |
| SLOVENIA | NO |
| SLOVAKIA | NO |
| FINLAND | NO |
| SWEDEN | NO |

Member State

Have specific customs offices been designated, in relation with Article 22(1), in which customs formalities for the export of dual-use items may be completed?

BELGIUM

NO

BULGARIA

YES

CZECH REPUBLIC

NO

DENMARK

NO

GERMANY

NO

ESTONIA

YES

IRELAND

NO

GREECE

NO

SPAIN

NO

FRANCE

NO

CROATIA

NO

ITALY

NO

CYPRUS

NO

LATVIA

NO

LITHUANIA

YES

LUXEMBOURG

NO

HUNGARY

NO

MALTA

NO

NETHERLANDS

NO

AUSTRIA

NO

POLAND

YES

PORTUGAL

NO

ROMANIA

YES

SLOVENIA

NO

SLOVAKIA

NO

FINLAND

NO

SWEDEN

NO

12.1.   Bulgaria

The territorial customs offices of the Republic of Bulgaria for strategic goods have been approved by the General Director of the Customs Agency under Ministry of Finance Order No 55/32-11385 of 14 January 2016 (Official Gazette 9/2016). The list of customs offices in Bulgaria through which dual-use items and technologies may leave or enter the EU customs territory can be found on the following website: http://www.mi.government.bg/en/themes/evropeisko-i-nacionalno-zakonodatelstvo-v-oblastta-na-eksportniya-kontrol-i-nerazprostranenieto-na-or-225-338.html

12.2.   Estonia

The list of customs offices in Estonia through which dual-use items and technologies may leave or enter the EU customs territory can be found on the following website: http://www.emta.ee/index.php?id=24795

12.3.   Lithuania

The list of customs offices in Lithuania through which dual-use items and technologies may leave or enter the EU customs territory can be found on the following website: https://www.lrmuitine.lt/web/guest/verslui/apribojimai/bendra#en

12.4.   Poland

The list of customs offices in Poland through which dual-use items and technologies may leave or enter the EU customs territory can be found on the following website: http://isap.sejm.gov.pl/DetailsServlet?id=WDU20150000136&min=1

12.5.   Romania

The list of customs offices in Romania through which dual-use items and technologies may leave or enter the EU customs territory can be found on the following website: https://www.customs.ro/agenti-economici/instruirea-operatorilor-economici/vamuirea-marfurilor/produse-strategice

13.   INFORMATION PROVIDED BY MEMBER STATES IN CONFORMITY WITH ARTICLES 23(1)(A) OF THE REGULATION (NATIONAL AUTHORITIES EMPOWERED TO: GRANT EXPORT AUTHORISATIONS FOR DUAL-USE ITEMS; GRANT AUTHORISATIONS UNDER THE REGULATION FOR THE PROVISIONS OF BROKERING SERVICES AND TECHNICAL ASSISTANCE; PROHIBIT THE TRANSIT OF NON-UNION DUAL-USE ITEMS UNDER THE REGULATION)

Article 23(1)(a) of the Regulation requires the Commission to publish the list of authorities empowered to:

| — | grant export authorisations for dual-use items; |
| --- | --- |

—

grant export authorisations for dual-use items;

| — | grant authorisations under the Regulation for the provision of brokering services and technical assistance; |
| --- | --- |

—

grant authorisations under the Regulation for the provision of brokering services and technical assistance;

| — | prohibit the transit of non-Union dual-use items under the Regulation. |
| --- | --- |

—

prohibit the transit of non-Union dual-use items under the Regulation.

13.1.   Belgium

For the Brussels Capital Region (localities with postal codes 1000 to 1299)

| Service Public Régional de Bruxelles Brussels International - |
| --- |
| Cellule licences - Cel vergunningen |
| Mr Cataldo ALU |
| City-Center |
| Boulevard du Jardin Botanique 20 |
| 1035 Bruxelles/Brussel |
| BELGIQUE/BELGIË |

Service Public Régional de Bruxelles Brussels International -

Cellule licences - Cel vergunningen

Mr Cataldo ALU

City-Center

Boulevard du Jardin Botanique 20

1035 Bruxelles/Brussel

BELGIQUE/BELGIË

Tel. +32 28003727

Fax +32 28003824

Email: calu@sprb.brussels

Internet: http://international.brussels/qui-sommes-nous/#permits-unit

For the Walloon Region (localities with postal codes 1300 to 1499 and 4000 to 7999)

| Service public de Wallonie |
| --- |
| Direction Générale de l'Économie, de l'Emploi et de la Recherche |
| Direction des Licences d'Armes |
| Mr Michel Moreels |
| Chaussée de Louvain 14 |
| 5000 Namur |
| BELGIQUE |

Service public de Wallonie

Direction Générale de l'Économie, de l'Emploi et de la Recherche

Direction des Licences d'Armes

Mr Michel Moreels

Chaussée de Louvain 14

5000 Namur

BELGIQUE

Tel. +32 81649751

Fax +32 81649759/60

Email: licences.dgo6@spw.wallonie.be

Internet: http://economie.wallonie.be/Licences_armes/Accueil.html

For the Flanders Region (localities with postal codes 1500 to 3999 and 8000 to 9999)

| Flemish Department of Foreign Affairs |
| --- |
| Strategic Goods Control Unit |
| Mr Michael Peeters |
| Havenlaan 88, bus 80 |
| 1000 Brussel |
| BELGIË |

Flemish Department of Foreign Affairs

Strategic Goods Control Unit

Mr Michael Peeters

Havenlaan 88, bus 80

1000 Brussel

BELGIË

Tel. +32 499589934

Email: csg@buza.vlaanderen

Internet: www.fdfa.be/csg

13.2.   Bulgaria

| Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction with the Minister for Economy |
| --- |
| 1000 Sofia |
| 8 Slavyanska Str. |
| BULGARIA |

Interministerial Commission for Export Control and Non-Proliferation of Weapons of Mass Destruction with the Minister for Economy

1000 Sofia

8 Slavyanska Str.

BULGARIA

Tel. +359 29407771, +359 29407786

Fax +359 29880727

Email: ivan.penchev@mi.government.bg and n.grahovska@mi.government.bg

Internet: www.exportcontrol.bg; http://www.mi.government.bg

13.3.   Czech Republic

| Ministry of Industry and Trade Licensing Office |
| --- |
| Na Františku 32 |
| 110 15 Prague 1 |
| CZECH REPUBLIC |

Ministry of Industry and Trade Licensing Office

Na Františku 32

110 15 Prague 1

CZECH REPUBLIC

Tel. +420 224907638

Fax +420 224214558 or +420 224221811

Email: leitgeb@mpo.cz or dual@mpo.cz

Internet: www.mpo.cz

13.4.   Denmark

| Exportcontrols |
| --- |
| Danish Business Authority |
| Langelinie Allé 17 |
| 2100 Copenhagen |
| DENMARK |

Exportcontrols

Danish Business Authority

Langelinie Allé 17

2100 Copenhagen

DENMARK

Tel. +45 35291000

Fax +45 35466632

Email: eksportkontrol@erst.dk

Website: in English: www.exportcontrols.dk; in Danish: www.eksportkontrol.dk

13.5.   Germany

| Federal Office for Economic Affairs and Export Control (Bundesamt für Wirtschaft und Ausfuhrkontrolle) |
| --- |
| Frankfurter Strasse 29-35 |
| 65760 Eschborn |
| GERMANY |

Federal Office for Economic Affairs and Export Control (Bundesamt für Wirtschaft und Ausfuhrkontrolle)

Frankfurter Strasse 29-35

65760 Eschborn

GERMANY

Tel. +49 6196908-0

Fax +49 6196908-1800

Email: ausfuhrkontrolle@bafa.bund.de

Internet: http://www.bafa.de/Ausfuhr

13.6.   Estonia

| Strategic Goods Commission, Ministry of Foreign Affairs |
| --- |
| Islandi väljak 1 |
| 15049 Tallinn |
| ESTONIA |

Strategic Goods Commission, Ministry of Foreign Affairs

Islandi väljak 1

15049 Tallinn

ESTONIA

Tel. +372 6377192

Fax +372 6377199

Email: stratkom@vm.ee

Website: in English: http://www.vm.ee/?q=en/taxonomy/term/58;

in Estonian: http://www.vm.ee/?q=taxonomy/term/50

13.7.   Ireland

| Trade Regulation and Investment Screening Unit |
| --- |
| Department of Enterprise, Trade and Employment |
| Earlsfort Centre |
| Lower Hatch Street |
| Dublin 2 |
| IRELAND |

Trade Regulation and Investment Screening Unit

Department of Enterprise, Trade and Employment

Earlsfort Centre

Lower Hatch Street

Dublin 2

IRELAND

Contact: Yvonne Cassidy

Tel. +353 16312328,

Email: exportcontrol@enterprise.gov.ie yvonne.cassidy@enterprise.gov.ie

Internet: https://enterprise.gov.ie/en/what-we-do/trade-investment/export-licences/

13.8.   Greece

| Ministry of Foreign Affairs |
| --- |
| General Secretariat of International Economic Relations and Openness |
| B6 Directorate for Multilateral Economic Relations and Trade Policy |
| Zalokosta str. 10 |
| 106 71 Athens |
| GREECE |

Ministry of Foreign Affairs

General Secretariat of International Economic Relations and Openness

B6 Directorate for Multilateral Economic Relations and Trade Policy

Zalokosta str. 10

106 71 Athens

GREECE

Tel. +30 2103682785, -2786, -2758

Email: db6@mfa.gr; eleni.karaiskou@mfa.gr; skourti.hara@mfa.gr; skourti.katerina@mfa.gr

13.9.   Spain

The General Secretariat for Foreign Trade (Secretaría General de Comercio Exterior), the Customs Department (Agencia Tributaria - Aduanas) and the Foreign Office Ministry (Ministerio de Asuntos Exteriores, Unión Europea y Cooperación) are the authorities empowered to grant licences and to decide to prohibit the transit of non-Community dual-use items.

| Contact point in the Licensing Office: Mr. Ramón Muro Martínez. Subdirector General. |
| --- |
| Ministerio de Industria, Comercio y Turismo |
| Paseo de la Castellana, 162, 7a |
| 28046 Madrid |
| SPAIN |

Contact point in the Licensing Office: Mr. Ramón Muro Martínez. Subdirector General.

Ministerio de Industria, Comercio y Turismo

Paseo de la Castellana, 162, 7a

28046 Madrid

SPAIN

Tel. +34 913492587

Fax +34 913492470

Email: rmuro@mincotur.es; sgdefensa.sscc@comercio.mineco.es

Internet: http://www.comercio.gob.es/es-ES/comercio-exterior/informacion-sectorial/material-de-defensa-y-de-doble-uso/Paginas/conceptos.aspx

13.10.   France

| Ministère de l'Économie et des Finances |
| --- |
| Direction Générale des Enterprises |
| Service des biens à double usage (SBDU) |
| 67, rue Barbès – BP 80001 |
| 94201 Ivry-sur-Seine Cedex |
| FRANCE |

Ministère de l'Économie et des Finances

Direction Générale des Enterprises

Service des biens à double usage (SBDU)

67, rue Barbès – BP 80001

94201 Ivry-sur-Seine Cedex

FRANCE

Tel. +33 179843419

Email: doublusage@finances.gouv.fr

Internet: https://www.entreprises.gouv.fr/biens-double-usage

13.11.   Croatia

| Ministry of Foreign and European Affairs |
| --- |
| Directorate for Economic Affairs and Development Coordination |
| Export Control Division |
| Trg N. Š. Zrinskog 7-8 |
| 10000 Zagreb |
| CROATIA |

Ministry of Foreign and European Affairs

Directorate for Economic Affairs and Development Coordination

Export Control Division

Trg N. Š. Zrinskog 7-8

10000 Zagreb

CROATIA

Contact point: Vesna Focht, Silvija Šplajt

Tel. +385 14598123, 122

Fax +385 14597788

Email: kontrola.izvoza@mvep.hr

Internet: http://gd.mvep.hr/hr/kontrola-izvoza/

13.12.   Italy

| Ministry of Foreign Affairs and International Cooperation |
| --- |
| National Authority – UAMA (Unit for the Authorizations of Armament Materials) 1 Piazzale della Farnesina |
| 00135 Rome |
| ITALY |

Ministry of Foreign Affairs and International Cooperation

National Authority – UAMA (Unit for the Authorizations of Armament Materials) 1 Piazzale della Farnesina

00135 Rome

ITALY

Tel. +39 0636912853

Email: uama.dualuse@esteri.it; uama.dualuse@cert.esteri.it; giovanni.brignone@esteri.it

Internet: https://www.esteri.it/mae/it/ministero/struttura/uama/legislazione.html

13.13.   Cyprus

| Ministry of Energy, Commerce and Industry |
| --- |
| 6, Andrea Araouzou |
| 1421 Nicosia |
| CYPRUS |

Ministry of Energy, Commerce and Industry

6, Andrea Araouzou

1421 Nicosia

CYPRUS

Tel. +357 22867100, 22867197

Fax +357 22375120, 22375443

Email: pevgeniou@meci.gov.cy

Internet: http://www.meci.gov.cy/MECI/trade/ts.nsf

13.14.   Latvia

| Control Committee for Strategic Goods |
| --- |
| Chairman of the Committee: Mr Andris Pelšs |
| Executive Secretary: Mr Nauris Rumpe |
| Ministry of Foreign Affairs |
| 3, K. Valdemara street |
| Riga, LV-1395 |
| LATVIA |

Control Committee for Strategic Goods

Chairman of the Committee: Mr Andris Pelšs

Executive Secretary: Mr Nauris Rumpe

Ministry of Foreign Affairs

3, K. Valdemara street

Riga, LV-1395

LATVIA

Tel. +371 67016426

Email: nauris.rumpe@mfa.gov.lv

Internet: https://www.mfa.gov.lv/tautiesiem-arzemes/aktualitates-tautiesiem/20440-strategiskas-nozimes-precu-kontrole?lang=lv-LV

13.15.   Lithuania

Authority empowered to grant export authorisations for dual-use items and authorities empowered to grant authorisations for the provision of brokering services, technical assistance and transit:

| Ministry of Economy and Innovation of the Republic of Lithuania |
| --- |
| Gedimino ave. 38 |
| LT-01104 Vilnius |
| LITHUANIA |

Ministry of Economy and Innovation of the Republic of Lithuania

Gedimino ave. 38

LT-01104 Vilnius

LITHUANIA

Contact details:

Export Policy Division

Economic Development Department

Tel. +370 65906035, +370 65915769

Email: vienaslangelis@eimin.lt

Internet: http://eimin.lrv.lt/lt/veiklos-sritys/eksportas/strateginiu-prekiu-kontrole

Authority empowered to prohibit the transit of non-Community dual-use items:

| Customs Department under the Ministry of Finance of the Republic of Lithuania |
| --- |
| A. Jaksto str. 1/25 |
| LT-01105 Vilnius |
| LITHUANIA |

Customs Department under the Ministry of Finance of the Republic of Lithuania

A. Jaksto str. 1/25

LT-01105 Vilnius

LITHUANIA

Contact details:

Customs Criminal Service

Tel. +370 52616960

Email: budetmd@lrmuitine.lt

13.16.   Luxembourg

| 1) | Minister responsible for Foreign Trade |
| --- | --- |

1)

| 2) | Minister responsible for Foreign Affairs
  Postal Address





  Ministère de l’Economie |
| --- | --- |
| Office du contrôle des exportations, importations et du transit (OCEIT) |
| 19-21 Boulevard Royal |
| L-2449 Luxembourg |
| LUXEMBOURG |

2)

Postal Address

Ministère de l’Economie

Office du contrôle des exportations, importations et du transit (OCEIT)

19-21 Boulevard Royal

L-2449 Luxembourg

LUXEMBOURG

Tel. +352 226162

Email: oceit@eco.etat.lu

13.17.   Hungary

| Government Office of the Capital City Budapest |
| --- |
| Department of Trade, Defence Industry, Export Control and Precious Metal Assay |
| Export Control Unit |
| Németvölgyi út 37-39. |
| 1124 Budapest |
| HUNGARY |

Government Office of the Capital City Budapest

Department of Trade, Defence Industry, Export Control and Precious Metal Assay

Export Control Unit

Németvölgyi út 37-39.

1124 Budapest

HUNGARY

Tel. +36 14585577

Fax +36 14585869

Email: exportcontrol@bfkh.gov.hu

Internet: http://mkeh.gov.hu/haditechnika/kettos_felhasznalasu

13.18.   Malta

| Commerce Department |
| --- |
| Mr Brian Montebello |
| Trade Services |
| MALTA |

Commerce Department

Mr Brian Montebello

Trade Services

MALTA

Tel. +356 25690214

Fax +356 21240516

Email: brian.montebello@gov.mt

Internet: https://commerce.gov.mt/en/Trade_Services/Imports%20and%20Exports/Pages/DUAL%20USE/DUAL-USE-TRADE-CONTROLS.aspx

13.19.   The Netherlands

| Ministry for Foreign Affairs |
| --- |
| Directorate-General for International Relations |
| Department for Trade Policy and Economic Governance |
| PO Box 20061 |
| 2500 EB The Hague |
| THE NETHERLANDS |

Ministry for Foreign Affairs

Directorate-General for International Relations

Department for Trade Policy and Economic Governance

PO Box 20061

2500 EB The Hague

THE NETHERLANDS

Tel. +31 703485954

| Dutch Customs/Central Office for Import and Export |
| --- |
| PO Box 30003 |
| 9700 RD Groningen, |
| THE NETHERLANDS |

Dutch Customs/Central Office for Import and Export

PO Box 30003

9700 RD Groningen,

THE NETHERLANDS

Tel. +31 881512400

Fax +31 881513182

Email: DRN-CDIU.groningen@belastingdienst.nl

Internet: www.rijksoverheid.nl/exportcontrole

13.20.   Austria

| Federal Ministry of Digital and Economic Affairs |
| --- |
| Division for Foreign Trade Administration |
| Stubenring 1 1010 Vienna |
| AUSTRIA |

Federal Ministry of Digital and Economic Affairs

Division for Foreign Trade Administration

Stubenring 1 1010 Vienna

AUSTRIA

Tel. +43 1 71100802335

Fax +43 1 71100808366

Email: POST.III2_19@bmdw.gv.at

Internet: http://www.bmdw.gv.at/pawa

13.21.   Poland

| Ministry of Entrepreneurship and Technology |
| --- |
| Department for Trade in Strategic Goods and Technical Safety |
| Pl. Trzech Krzyzy 3/5 |
| 00-507 Warszawa |
| POLAND |

Ministry of Entrepreneurship and Technology

Department for Trade in Strategic Goods and Technical Safety

Pl. Trzech Krzyzy 3/5

00-507 Warszawa

POLAND

Tel. +48 222629665

Fax +48 222629140

Email: SekretariatDOT@mpit.gov.pl

Internet: https://www.gov.pl/web/przedsiebiorczosc-technologia/zezwolenia-na-obrot-produktami-podwojnego-zastosowania

13.22.   Portugal

| Autoridade Tributária e Aduaneira |
| --- |
| Customs and Taxes Authority |
| Rua da Alfândega, 5 |
| 1049-006 Lisboa |
| PORTUGAL |

Autoridade Tributária e Aduaneira

Customs and Taxes Authority

Rua da Alfândega, 5

1049-006 Lisboa

PORTUGAL

Director: Luísa Nobre; Licence Officer: Maria Oliveira

Tel. +351 218813843

Fax +351 218813986

Email: dsl@at.gov..pt

Internet: http://www.dgaiec.min-financas.pt/pt/licenciamento/bens_tecnologias_duplo_uso/bens_tecnologias_duplo_uso.htm

13.23.   Romania

| Ministry of Foreign Affairs |
| --- |
| Department for Export Controls — ANCEX |
| Str. Polonă nr. 8, sector 1 |
| 010501, Bucureşti |
| ROMANIA |

Ministry of Foreign Affairs

Department for Export Controls — ANCEX

Str. Polonă nr. 8, sector 1

010501, Bucureşti

ROMANIA

Tel. +40 374306905, +40 374306935, +40 374306950

Email: dancex@mae.ro Internet: www.ancex.ro

13.24.   Slovenia

| Ministry of Economic, Tourism and Sport |
| --- |
| Kotnikova ulica 5 |
| SI-1000 Ljubljana |
| SLOVENIA |

Ministry of Economic, Tourism and Sport

Kotnikova ulica 5

SI-1000 Ljubljana

SLOVENIA

Tel. +386 14003564

Fax +386 14003588

Email: gp.mgts@gov.si

Internet: https://www.gov.si/teme/nadzor-strateske-trgovine/

13.25.   Slovakia

For the purposes of Article 9(6) (a) and Article 10(4) of the Regulation:

| Ministry of Economy of the Slovak Republic |
| --- |
| Department of Trade Measures |
| Mlynské nivy 44/a |
| 827 15 Bratislava 212 |
| SLOVAKIA |

Ministry of Economy of the Slovak Republic

Department of Trade Measures

Mlynské nivy 44/a

827 15 Bratislava 212

SLOVAKIA

Tel. +421 248544059

Fax +421 243423915

Email: Monika.Maruniakova@mhsr.sk

Internet: www.economy.gov.sk

For the purpose of Article 9(6)(b) of the Regulation:

| Criminal Office of the Financial Administration |
| --- |
| Department of Drugs and Hazardous materials |
| Coordination Unit |
| Bajkalská 24 |
| 824 97 Bratislava |
| SLOVAKIA |

Criminal Office of the Financial Administration

Department of Drugs and Hazardous materials

Coordination Unit

Bajkalská 24

824 97 Bratislava

SLOVAKIA

Tel. +421 2 58251221

Email: Jozef.Pullmann@financnasprava.sk

13.26.   Finland

| Ministry for Foreign Affairs of Finland |
| --- |
| Export Control Unit |
| Merikasarminkatu 5F |
| FI-00160 HELSINKI |

Ministry for Foreign Affairs of Finland

Export Control Unit

Merikasarminkatu 5F

FI-00160 HELSINKI

Postal address:

| PO Box 176 |
| --- |
| FI-00023 GOVERNMENT |
| FINLAND |

PO Box 176

FI-00023 GOVERNMENT

FINLAND

Tel. +358 295350000

Email: vientivalvonta.um@formin.fi

Internet: http://formin.finland.fi/vientivalvonta

13.27.   Sweden

| 1. | Inspectorate of Strategic Products (ISP) Inspektionen för strategiska produkter
  Visiting address:





  Vretenvägen 13B, Solna |
| --- | --- |
| Postal address: Box 6086, |
| SE-171 06 Solna |
| SWEDEN |

1.

Visiting address:

Vretenvägen 13B, Solna

Postal address: Box 6086,

SE-171 06 Solna

SWEDEN

Tel. +46 84063100

Fax +46 84203100

Email: registrator@isp.se.

Internet: http://www.isp.se/

ISP is empowered to grant authorisations in all cases except those listed under 2 below

| 2. | Swedish Radiation Safety Authority (Strålsäkerhetsmyndigheten) Section of Nuclear Non-proliferation and Security.





  Solna strandväg 96 |
| --- | --- |
| SE-171 16 Stockholm |
| SWEDEN |

2.

Solna strandväg 96

SE-171 16 Stockholm

SWEDEN

Tel. +46 87994000

Fax +46 87994010

Email: registrator@ssm.se

Internet: http://www.ssm.se

The Swedish Radiation Safety Authority is empowered to grant authorisations on and prohibit transit of products in Annex 1, Category 0, to the Regulation.

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(1)  OJ L 206, 11.6.2021, p. 1.

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