REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL AND THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE on the implementation of Council Regulation (EC) No 116/2009 of 18 December 2008 on the export of cultural goods1 January 2000 - 31 December 2010
Date: 2011-06-27
Institutions: European Commission
Subjects: administrative cooperation, cultural object, cultural relations, export, export licence, heritage protection, third country

EUROPEAN COMMISSION 

Brussels, 27.6.2011 
COM(2011) 382 final 

REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE 
COUNCIL AND THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE 

on the implementation of Council Regulation (EC) No 116/2009 of 18 December 2008 on 
the export of cultural goods 

1 January 2000 - 31 December 2010 

 
 
 
 
  
 
 
 
TABLE OF CONTENTS 

1. 

2. 

2.1. 

2.2. 

2.3. 

2.4. 

Introduction.................................................................................................................. 3 

Developments between 1 January 2000 and 31 December 2010................................. 4 

Amendments to the legislation..................................................................................... 4 

Publication of information in the Official Journal ....................................................... 4 

Committee meetings .................................................................................................... 5 

International context .................................................................................................... 5 

2.4.1.  Ratification of the UNESCO and UNIDROIT Conventions ....................................... 5 

2.4.2.  WCO/UNESCO Model Export Certificate .................................................................. 5 

2.5. 

European context.......................................................................................................... 5 

3. 

Implementation of the Regulation between 1 January 2000 and 31 December 2010.. 6 

3.1. 

Statistical data on implementation by Member States ................................................. 6 

3.1.1.  Use of the standard export licence as laid down in Article 2(1) of the Implementing 

Regulation .................................................................................................................... 6 

3.1.2.  Use of the specific open licence as laid down in Article 2 (2) of the Implementing 

Regulation .................................................................................................................... 7 

3.1.3.  Use of the general open licence as laid down in article 2 (3) of the Implementing 

Regulation .................................................................................................................... 7 

3.1.4.  Refusal of standard licences......................................................................................... 7 

3.1.5.  Consignments found in non-compliance with the rules............................................... 7 

3.2. 

3.3. 

3.4. 

3.5. 

3.6. 

Control strategy of the customs authorities.................................................................. 8 

Limitation of competent customs offices..................................................................... 8 

Administrative cooperation.......................................................................................... 8 

Use of electronic systems............................................................................................. 9 

Suggestions from Member States ................................................................................ 9 

3.6.1.  Amendments to the thresholds for certain categories of cultural goods ...................... 9 

3.6.2.  Tool to ensure quick information exchange................................................................. 9 

4. 

5. 

5.1. 

5.2. 

5.3. 

Conclusions .................................................................................................................. 9 

Annexes...................................................................................................................... 11 

Annex 1: Standard Export licences ............................................................................ 12 

Annex 2: Standard Export Licences 2003–2010 – evolution..................................... 14 

Annex 3: Specific Open Licences .............................................................................. 15 

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5.4. 

5.5. 

5.6. 

5.7. 

Annex 4: Persons/Organizations Holding Specific Open Licences........................... 17 

Annex 5: General Open Licences .............................................................................. 18 

Annex 6: Refused Export Licences............................................................................ 20 

Annex 7: Non-compliant Consignments.................................................................... 22 

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1. 

INTRODUCTION 

Council  Regulation  (EC)  No 116/20091  of  18  December  2008  (Codified  version), 
referred  to  hereafter  as  the  'Basic  Regulation',  lays  down  provisions  to  ensure  that 
exports  of  cultural  goods  are  subject  to  uniform  controls  at  the  Union's  external 
borders. The categories of cultural objects covered by the Regulation are listed in its 
Annex I. 

The  export  of  cultural  goods  outside  the  Union's  customs  territory  is  subject  to  the 
presentation of an export licence. Such licence is issued by a competent authority of 
the  Member  State  in  whose  territory  the  cultural  object  is  lawfully  located.  For 
certain categories of cultural goods an export licence is only needed if the value of 
the  object  reaches  the  corresponding  financial  threshold  set  out  in  Annex I  to  the 
Regulation. Where necessary, the authority which is competent for issuing the export 
licence  consults the competent authority  of the Member State of provenance of the 
object  concerned.  Customs  controls  ensure  that  only  those  cultural  goods  that  are 
accompanied by a valid export licence can leave the customs territory of the Union.  

The  provisions  necessary  for  the  implementation  of  the  Basic  Regulation  are  laid 
down  in  Commission  Regulation  (EEC)  No 752/932  of  30  March  1993.  This 
Implementing Regulation foresees three types of export licence: the standard licence, 
the specific open licence and the general open licence. 

Article 10  of  the  Basic  Regulation  requires  the  Commission  to  regularly  present  a 
report  on  its  implementation  to  the  European  Parliament,  the  Council  and  the 
European  Economic  and  Social  Committee.  The  first  Commission  report  was 
submitted  in  20003.  This  report  covers  the  period  from  1  January  2000  to  31 
December 2010, reflecting the situation in the Union as a whole before and after the 
two consecutive enlargements of 1 May 2004 and 1 January 2007.  

The  findings  in  this  report  are  based  on  information  provided  by  Member  States' 
administrations in reply to a questionnaire sent out by the Commission that included 
data gathering on the use of licences for the years 2000 to 2010. 

1 

2 

3 

Council Regulation (EC) No 116/2009, of 18 December 2008, on the export of cultural goods (Codified 
version) (OJ L 39, 10.2.2009, p. 1). This Regulation replaced Council Regulation (EEC) No 3911/92 of 
9  December  1992,  on  the  export  of  cultural  goods  (OJ  L  395,  31.12.1992,  p.  1),  which  had  been  in 
application since 30 March 1993. 
Commission  Regulation  (EEC)  No  752/93,  of  30  March  1993,  laying  down  provisions  for  the 
implementation  of  Council  Regulation  (EEC)  No  3911/92  on  the  export  of  cultural  goods  (OJ  L  77, 
31.3.1993, p. 24). 
Report  from  the  Commission  to  the  Council,  the  European  Parliament  and  the  Economic  and  Social 
Committee  on  the  implementation  of  Council  Regulation  (EEC)  n°  3911/92  on  the  export  of  cultural 
goods and Council Directive 93/7/EEC on the return of cultural objects unlawfully removed from the 
territory of a Member State (COM(2000)325 of 25.5.2000). 

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2. 

DEVELOPMENTS BETWEEN 1 JANUARY 2000 AND 31 DECEMBER 2010 

2.1. 

Amendments to the legislation 

The original Basic Regulation (Council Regulation (EEC) No 3911/92) was amended 
twice in the period under review, as follows: 

– 

– 

Council Regulation (EC) No 974/20014 provided for the necessary adaptations 
to take account of the introduction of the euro on 1 January 2002 and to clarify 
the meaning of the previously applicable financial threshold 'zero', which was 
thereby replaced with the expression 'whatever the value'. 

Council Regulation (EC) No 806/20035 adapted the actual wording of Article 8 
to the provisions of Council Decision 1999/468/EC6 on 'comitology'.  

The  original  Basic  Regulation  was  repealed  and  replaced  by  Council  Regulation 
(EC) No 116/2009 as a result of a codification exercise. Codification brings together 
in  a  single  new  legal  act  all  the  provisions  of  the  basic  act  and  its  subsequent 
amendments,  deleting  obsolete  provisions  and  harmonizing  the  terminology  used, 
thereby rendering legislation more accessible and transparent. 

The  Implementing  Regulation  (Commission  Regulation  (EEC)  No  752/93)  was 
amended  once  in  the  period  under  review.  Commission  Regulation  (EC)  No 
656/20047  replaced  the  model  standard  export  licence  form  in  Annex  I  to  render  it 
consistent  with  the  United  Nations  Layout  Key  for  Trade  Documents8,  adding 
explanatory  notes  to  allow  for  it  to  be  drawn  up  uniformly  and  correctly.  It  also 
introduced  the  possibility  for  Member  States  to  produce  the  form  by  electronic 
means.  

The Implementing Regulation should equally be subject to codification. The relevant 
procedure is currently ongoing. 

2.2. 

Publication of information in the Official Journal  

The  most  recent  list  of  authorities  empowered  to  issue  export  licences  for  cultural 
goods  was  published  in  July  20099  in  accordance  with  Article  3(2)  of  the  Basic 
Regulation. 

4 

5 

6 

7 

8 
9 

Council Regulation (EC) No 974/2001, of 14 May 2001, amending Regulation (EEC) No 3911/92 on 
the export of cultural goods (OJ L 137, 19.5.2001, p. 10). 
Council  Regulation  (EC)  No  806/2003,  of  14  April  2003,  adapting  to  Decision  1999/468/EC  the 
provisions  relating  to  committees  which  assist  the  Commission  in  the  exercise  of  its  implementing 
powers  laid  down  in  Council  instruments  adopted  in  accordance  with  the  consultation  procedure 
(qualified majority) (OJ L 122, 16.5.2003, p. 1). 
Council  Decision  1999/468/EC,  of  28  June  1999,  laying  down  the  procedures  for  the  exercise  of 
implementing powers conferred on the Commission (OJ L184, 17.7.1999, p. 23). 
Commission Regulation (EC) No 656/2004, of 7 April 2004, amending Regulation (EEC) No 752/93 
laying down provisions for the implementation of Council Regulation (EEC) No 3911/92 on the export 
of cultural goods (OJ L 104, 8.4.2004, p. 50). 
United Nations Layout Key for Trade Documents, New York and Geneva, 2002 (ECE/TRADE/270). 
OJ C 164, 16.7.2009, p. 6. 

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The  most  recent  list  of  customs  offices  empowered  to  handle  formalities  for  the 
export  of  cultural  goods  was  published  in  June  200910  in  accordance  with  Article 
5(2) of the Basic Regulation. 

2.3. 

Committee meetings 

The advisory Committee on the export and return of cultural goods met eight times 
in the period under review. This Committee also examines questions arising from the 
application  of  Council  Directive  93/7/EEC  on  the  return  of  cultural  objects 
unlawfully removed from the territory of a Member State11. 

2.4. 

International context 

2.4.1.  Ratification of the UNESCO and UNIDROIT Conventions 

Although  the  number  of  ratifications  increased  in  the  period  under  review,  so  far 
only 22 Member States have ratified the 1970 UNESCO Convention12 and 12 have 
ratified the 1995 UNIDROIT13 Convention. 

2.4.2.  WCO/UNESCO Model Export Certificate 

In  2005,  the  WCO  and  UNESCO  jointly  developed  the  WCO-UNESCO  Model 
Export Certificate for Cultural Objects in order to harmonize the diversity of existing 
export  certificates  worldwide  to  facilitate  customs  controls  and  make  it  possible  to 
detect  false  documents.  The  proposed  certificate  is  based  on  the  European  Union's 
model standard export licence form. 

2.5. 

European context 

The system introduced at EU level with regard to the export of cultural goods, which 
is  the  subject  of  this  report,  is  complementary  to  other  instruments  and  initiatives 
aiming at the protection of cultural property. 

The  Commission  issued  three  reports  on  the  application  of  Council  Directive 
93/7/EEC14, in 2000,  2005 and 200915.  The last report concluded  that  a revision of 
the Directive should be considered. Accordingly, the Commission set up an ad hoc 
working  group  within  the  Committee  on  the  export  and  return  of  cultural  goods 
aimed  at  identifying  problems  in  the  application  of  the  Directive  and  suggesting 

10 
11 

12 

13 

14 
15 

OJ C 134, 13.6.2009, p. 9. 
Council Directive 93/7/EEC, of 15 March 1993, on the return of cultural objects unlawfully removed 
from the territory of a Member State (OJ L 74, 27.3.1993, p. 74). 
UNESCO  Convention  on  the  Means  of  Prohibiting  and  Preventing  the  Illicit  Import,  Export  and 
Transfer  of  Ownership  of  Cultural  Property,  Paris,  14  November  1970;  ratified  by  the  following 
Member  States:  Belgium,  Bulgaria,  Czech  Republic,  Denmark,  Germany,  Estonia,  Greece,  Spain, 
France, Italy, Cyprus, Lithuania, Hungary, Netherlands, Poland, Portugal, Romania, Slovenia, Slovakia, 
Finland, Sweden, United Kingdom. 
UNIDROIT Convention on Stolen or Illegally Exported Cultural Objects, Rome, 24 June 1995; ratified 
by the following Member States: Denmark, Greece, Spain, Italy, Cyprus, Lithuania, Hungary, Portugal, 
Romania, Slovenia, Slovakia, Finland. 
See note 11 above. 
COM(2000)325 of 25.5.2000 (see note 3 above), COM(2005)675 of 21.12.2005 and COM(2009)408 of 
30.7.2009. 

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solutions. The working group has already completed its mandate and its conclusions 
will  be  presented  to  the  Committee  in  2011.  Since  the  Annex  to  this  Directive  is 
identical to Annex I to the Basic Regulation, a decision to amend the Directive might 
have a direct impact on the Regulation.  

A Working Group on Mobility of Collections was established by the Council in its 
Work Plan for Culture (2008-2010) within the context of the implementation of the 
European Agenda for Culture16. The Group presented its final report in June 201017. 
Building on the work of this group and as part of the Work Plan for Culture 2011-
201418,  a  new  Working  Group  will  examine  the  ways  and  means  to  simplify  the 
process of lending and borrowing with a focus on State indemnity schemes. 

The  Council  Conclusions  of  November  2008  underlined  the  need  to  prevent  and 
combat  illicit  trafficking  in  cultural  goods.  In  this  context,  the  Commission  has 
awarded  a  contract  for  a  Study  on  preventing  and  fighting  illicit  trafficking  in 
cultural goods, which should be concluded by the end of 2011. 

3. 

IMPLEMENTATION  OF  THE  REGULATION  BETWEEN  1  JANUARY  2000  AND  31 
DECEMBER 2010 

3.1. 

Statistical data on implementation by Member States 

3.1.1.  Use of the standard export licence as laid down in Article 2(1) of the Implementing 

Regulation  

A  standard  export  licence  is  normally  used  for  each  export  subject  to  the  Basic 
Regulation.  An  overview  of  the  number  of  standard  export  licences  issued  by 
Member States is included in Annex 1.  

Annex 2 shows the way the situation evolved in the period under review as regards 
the  number  of  issued  licences,  from  EU  15  (2003)  to  EU  27  (2010).  It  also  shows 
which  share  of  the  total  licences  issued  is  accounted  for  by  the  different  Member 
States. The figures reveal that the export of cultural goods from the European Union 
is concentrated in three Member States, first of all the UK with an average of 45% 
for  the  period  2000–2010,  followed  by  Italy  (roughly  26%)  and  France  (roughly 
15%).  

Since the enlargement of 1 May 2004, only 1% of the total number of export licences 
was  issued  by  the  new  Member  States.  Of  these,  46%  were  accounted  for  by  the 
Czech  Republic,  the  only  country  that  reported  a  significant  number  of  licences 
issued. 

16 

17 

18 

Resolution  of  the  Council  of  16  November  2007  on  a  European  Agenda  for  Culture  (OJ  C 287, 
29.11.2007, p. 1). 
Final  report  and  recommendations  to  the  Cultural  Affairs  Committee  on  improving  the  means  of 
increasing  the  mobility  of  collections,  OMC  Expert  Working  Group  on  the  Mobility  of  Collections, 
June 2010. 
Conclusions  of  the  Council  and  of  the  Representatives  of  the  Governments  of  the  Member  States, 
meeting within the Council, on the Work Plan for Culture 2011-2014 (OJ C 325, 2.12.2010, p. 1). 

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The total number of standard export licences issued increased from 16 117 in 2000 to 
a maximum of 21 557 in 2007 (+ 34%), then decreasing to 18 176 in 2010. As the 
number of standard export licences issued in the new Member States is very low, the 
registered increase cannot be attributed to enlargement. 

3.1.2.  Use  of  the  specific  open  licence  as  laid  down  in  Article  2  (2)  of  the  Implementing 

Regulation  

A  specific  open  licence  covers  the  repeated  temporary  export  of  a  specific  cultural 
good by a particular person or organisation. An overview of the number of specific 
open licences that were in circulation in the Member States is included in Annex 3.  

The  figures  show  that  only  seven  Member  States  (Greece,  France,  Cyprus, 
Netherlands, Poland, Slovenia and the United Kingdom) have made use of this type 
of licence, Poland being clearly the biggest user. 

Annex 4 shows the number of persons or organisations that were holding a specific 
open licence. 

3.1.3.  Use  of  the  general  open  licence  as  laid  down  in  article  2  (3)  of  the  Implementing 

Regulation  

A general open licence covers any temporary export of any of those cultural goods 
that  form  part  of  the  permanent  collection  of  a  museum  or  other  institution.  An 
overview of the number of general open licences in circulation in the Member States 
is included in Annex 5.  

The  figures  show  that  only  eight  Member  States  (Bulgaria,  Germany,  Greece, 
France,  Cyprus,  Poland,  Portugal  and  Slovenia)  have  made  use  of  this  type  of 
licence. 

Although specific and general open licences are used in a limited number of Member 
States,  these  Member  States  report  that  they  are  an  important  instrument  for  the 
management and control of the export of cultural goods.  

3.1.4.  Refusal of standard licences 

An  overview  of  the  number  of  licence  applications  which  were  refused  by  the 
competent authorities of the Member States is included in Annex 6.  

The  main  reasons  given  to  refuse  licences  were:  i)  the  presentation  of  incomplete 
applications; ii) the object to be exported was found to be a national treasure in the 
Member State concerned. 

The percentage of refused licences in the whole Union is very low, corresponding to 
0.3% of all the licences issued.  

3.1.5.  Consignments found in non-compliance with the rules 

Annex 7 shows the number of consignments found to be in non-compliance with the 
applicable rules. Member States reported a total of 473 cases for the 10–year period, 
a very low figure when compared to the total number of licences issued. 

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A  few  Member  States  indicated  that  non-compliant  consignments  were  generally 
detected  by  their  customs  authorities.  Depending  on  the  case  and  on  the  applicable 
national  legislation,  follow-up  was  given  by  competent  authorities  or  by  public 
prosecutors.  In  some  cases  the  situation  could  be  settled  by  issuing  export  licences 
retroactively. 

3.2. 

Control strategy of the customs authorities 

A high number of Member States indicate that the protection of cultural goods is an 
important aspect of their policy and for that reason customs authorities are trained to 
detect the possible illicit export of cultural goods. 

Member  States  report  that  their  customs  services  use  risk  management  for  the 
selection  of  consignments  for  controls  on  export.  They  indicate  that  they  apply 
increased control rates to 'high risk' consignments. 

Some Member States indicated that they particularly focus on travellers. 

3.3. 

Limitation of competent customs offices  

Article  5(1)  of  the  Basic  Regulation  gives  Member  States  the  possibility  to  restrict 
the  number  of  customs  offices  empowered  to  handle  formalities  for  the  export  of 
cultural goods.  

Nine Member States (Bulgaria, Greece, Spain, Cyprus, Luxemburg, Hungary, Malta, 
Portugal and the United Kingdom) have made use of this possibility. It is generally 
considered  to  allow  more  effective  controls,  as  well  as  better  cooperation  with 
museums and other scientific institutions close to the designated customs offices.  

3.4. 

Administrative cooperation 

Most  Member  States  report  good  cooperation  between  the  different  authorities 
involved  (licensing  authorities,  customs,  police)  at  national  level.  This  cooperation 
relies on regular meetings as well as joint training activities. In some Member States 
cooperation  is  organised  on  the  basis  of  memoranda  of  understanding  or  similar 
arrangements established between the authorities concerned.  

Italy reported that the licensing authorities are directly connected with the Comando 
Carabinieri Tutela Patrimonio Culturale, a specialised police unit for cultural goods. 

Some  Member  States  reported  an  insufficient  level  of  cooperation  at  EU  level. 
Guidelines  for  administrative  cooperation  were  agreed  in  2003  as  a  result  of  work 
carried out within the Committee on the export and return of cultural goods.  It has 
however proved difficult to keep this working tool updated. 

At international level there is cooperation involving bodies such as EUROPOL and 
INTERPOL. 

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3.5. 

Use of electronic systems 

Applying for an export licence using electronic forms is still not possible in the large 
majority of Member States. Even in those cases where electronic forms are available, 
the actual application must be submitted on paper. 

Some Member States indicated that they are developing electronic systems to allow 
both the lodging of applications and the issuing of export licences for cultural goods.  

3.6. 

Suggestions from Member States 

3.6.1.  Amendments to the thresholds for certain categories of cultural goods  

Article 10 of the Basic Regulation provides for the possibility to update the financial 
thresholds indicated in Annex I, on the basis of economic and monetary indicators. 

Discussions in the Committee on the export and return of cultural goods have shown 
that  there  is  no  majority  of  Member  States  in  favour  of  changes  to  the  existing 
thresholds and the Commission does therefore not envisage submitting a proposal for 
an update. 

3.6.2.  Tool to ensure quick information exchange  

A  number  of  Member  States  expressed  the  view  that  exchange  of  information 
between Member States and the Commission could be enhanced and that up to date 
contact details should be accessible via a web-based tool. 

In  reply  to  these  suggestions  the  Commission  decided  to  create  a  specific  Interest 
Group on the export of cultural goods within CIRCA. This is an extranet tool tuned 
towards Public Administrations' needs, providing a private space on the Internet for 
sharing information and documents, as well as other functionalities. 

Within  this  space  a  section  was  created  containing  contact  information  of  national 
authorities. It has however proved difficult to keep this information updated.  

4. 

CONCLUSIONS 

Member  States  report  no  major  problems  in  the  daily  implementation  of  the 
provisions  of  the  Basic  Regulation  and  of  its  Implementing  Regulation.  It  appears 
that the system introduced in 1993 for the control of the export of cultural goods at 
the Union's external borders has actually been used by the vast majority of Member 
States, even if to very different degrees. 

The  functioning  of  the  system  could  be  improved  by  developing  mechanisms  for 
closer cooperation between Member States and with the Commission. 

The Commission will follow developments in the context of other initiatives at EU 
and  international  level  which  might  have  a  bearing  on  the  subject  of  this  report.  It 
will  pay  a  particular  attention  to  the  conclusions  of  the  Study  on  illicit  trafficking 
referred  to  under  paragraph  2.5.  Where  the  need  for  further  improvements  to  the 

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system is identified as a result of these initiatives, the Commission will be ready to 
address the issue. 

* 

* 

* 

The Commission invites the European Parliament, the Council and the European 
Economic and Social Committee to take note of this report. 

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5. 

ANNEXES 

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5.1. 

Annex 1: Standard Export licences19 

2000 

2001 

2002 

2003 

2004 

Year 
2005 

0 

0

0 

0

284

337

62 
218 

43
171

149 
217 

53
186

1 
41 
1.215 
2.470 
4.387 

1
9
1.001
2.836
3.411

5 
93 
986 
2.818 
2.400 

13
1
1.019
2.585
3.300

0 

0

0 

0

308 
309 

250
307

247 
329 

209
313

131 

118

105 

276

15 
52 
6.908 

0
137
5.925

0 
152 
6.323 

1
84
6.395

34
37
308
0
14
38
899
2.327
5.691
0
0
0
0
14
2
183
322
327
236

7
30
0
38
7.579

144
43
735
0
33
5
205
2.526
5.114
0
0
2
58
27
3
131
369
0
320

16
18
2
83
8.793

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

2006 

2007 

2008 

2009 

2010 

513

112
23
736
0
12
13
227
3.025
5.000
3
0
3
5
27
6
223
462
0
197

210 
263 
0 
0 
13 
222 
48 
44 
1.109 
832 
0 
0 
7 
8 
0 
3 
328 
372 
2.917 
2.916 
4.728 
5.300 
6 
4 
1 
8 
1 
0 
38 
10 
7 
29 
3 
11 
254 
281 
338 
476 
0 
0 
240 
279 
0 
0 
19 
12 
8 
10 
4 
3 
160 
215 
9.034 10.259  10.156 

14
10
3
78

n/a
0
30
n/a
657
0
12
2
n/a
2.327
5.112
4
1
1
n/a
n/a
2
474
412
0
142
1
n/a
107
3
414
8.392

n/a
0
114
n/a
736
0
13
5
n/a
2.498
6.167
6
1
0
n/a
n/a
6
189
606
0
302
0
n/a
16
4
52
7.461

Total  16.117  14.209 13.824  14.435 18.370 18.964 19.726 21.557  20.595  18.093 18.176

19 

Minor  differences  in  these  figures  may  occur  for  Member  States  which  reported  their  statistics  by 
category, as one licence could include more than one category. 

EN 

12 

   EN 

 
  
  
  
 
  
 
 
 
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
  
 
 
 
 
  
 
  
 
  
 
  
 
  
  
  
  
  
  
  
  
  
  
  
  
                                                 
Standard Export Licences

25.000

20.000

15.000

10.000

5.000

0

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

EN 

13 

   EN 

 
 
 
5.2. 

Annex 2: Standard Export Licences 2003–2010 – evolution 

Standard Export Licences 2003

UK:
44,30%

UK:
41,05%

Others:
1,05%

DE:
1,29%

ES:
7,06%

FR:
17,91%

PT:
1,91%

AT:
2,17%

NL:
1,45%

IT:
22,86%

Standard Export Licences 2010

Others:
1,19%

DE:
4,05%

FR:
13,74%

PT:
1,66%

AT:
3,33%

NL:
1,04%

IT:
33,93%

Others
DE
ES
FR
IT
NL
AT
PT
UK

Others

DE

FR

IT

NL

AT

PT

UK

EN 

14 

   EN 

 
 
 
5.3. 

Annex 3: Specific Open Licences 

2000 

2001 

2002 

2003

2004

Year 
2005

2006

2007 

2008 

2009

2010

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 

0 

78 
0 

0 

0 
0 
0 

31 
0 

0 

0 
0 
0 

54 
0 

0 

0 
0 
0 

0

0
0

0
0
0
0
0

0

76
0

0

0
0
30

0

0
0
0
0
0
0
0
1
0
0
0
0
0
0
0
36
0
97
0

1
0
0
0
57

0

0

0
0
0
0
0
1
0
0
0
0
0
0
0
0
0
51
0
636
0

1
0
0
0
82

0
0
0
0
0
0
0
0
0
2
0
0
0
0
0
85
0
546
0

1
0
0
0
137

0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
1 
0 
0 
0 
0 
0 
42 
0 
441 
0 
0 
1 
0 
0 
0 
200 

0 
0 
0 
0 
0 
0 
0 
4 
0 
0 
0 
4 
0 
0 
0 
0 
0 
67 
0 
510 
0 
0 
1 
0 
0 
0 
252 

n/a
0
0
n/a
0
0
0
3
n/a
3
0
2
0
0
n/a
n/a
0
99
0
260
0
0
n/a
0
0
0
106

n/a
0
0
n/a
0
0
0
3
n/a
5
0
5
0
0
n/a
n/a
0
71
0
178
0
0
n/a
0
0
0
109

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

Total 

78 

31 

54 

106

192

771

771

685 

838 

473

371

EN 

15 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
Specific Open Licences

Total

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

900

800

700

600

500

400

300

200

100

0

EN 

16 

   EN 

 
 
 
5.4. 

Annex 4: Persons/Organizations Holding Specific Open Licences 

2000 

2001 

2002 

2003

2004

Year 
2005

2006

2007 

2008 

2009

2010

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 
0 

0 
0 
0 
0 
0 

0 

0 

0 

55 
0 

0 

0 
0 
0 

21 
0 

0 

0 
0 
0 

43 
0 

0 

0 
0 
0 

Total 

55 

21 

43 

0

0
0

0
0
0
0
0

0

55
0

0

0
0
27

82

0

0
0
0
0
0
0
0
1
0
0
0
0
0
0
0
24
0
87
0

1
0
0
0
50

0

0

0
0
0
0
0
1
0
0
0
0
0
0
0
0
0
24
0
624
0

1
0
0
0
74

0
0
0
0
0
0
0
0
0
1
0
0
0
0
0
48
0
519
0

1
0
0
0
126

0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
3 
0 
0 
0 
0 
0 
26 
0 
435 
0 
0 
1 
0 
0 
0 
141 

0 
0 
0 
0 
0 
0 
0 
4 
0 
0 
0 
2 
0 
0 
0 
0 
0 
42 
0 
510 
0 
0 
1 
0 
0 
0 
166 

n/a
0
0
n/a
0
0
0
8
n/a
2
0
2
0
0
n/a
n/a
0
41
0
260
0
0
n/a
0
0
0
103

n/a
0
0
n/a
7
0
0
6
n/a
1
0
5
0
0
n/a
n/a
0
33
0
178
0
0
n/a
0
0
0
108

163

724

695

606 

725 

416

338

EN 

17 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
5.5. 

Annex 5: General Open Licences 

Year 
2005

2006

2007 

2008 

2009

2010

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

2000 

2001

2002 

2003

2004

0 

0

0 

0

0

0 
67 

0
23

0 
63 

0
28

0 
0 
0 
0 
0 

0 

0 
0 

0
0
0
0
0

0

0
0

0 
0 
0 
0 
0 

0 

0 
0 

0
0
0
0
0

0

0
0

62 

30

29 

74

0 
0 
0 

0
0
0

0 
0 
0 

0
0
0

0
0
24
0
0
0
0
1
0
0
0
0
0
0
0
0
0
10
104

3
0
0
0
0

0

0
0
52
0
0
2
0
0
0
0
0
0
0
0
0
0
0
94
0

8
0
0
0
0

0

0
0
58
0
0
18
0
0
0
1
0
0
0
0
0
0
0
61
0

10
0
0
0
0

0 
5 
0 
0 
58 
0 
0 
4 
0 
0 
0 
3 
0 
0 
0 
0 
0 
0 
0 
50 
0 
0 
11 
0 
0 
0 
0 

0 
23 
0 
0 
51 
0 
0 
23 
0 
0 
0 
2 
0 
0 
0 
0 
0 
0 
0 
88 
0 
0 
11 
0 
0 
0 
0 

n/a
7
0
n/a
39
0
0
8
n/a
0
0
2
0
0
n/a
n/a
0
0
0
19
0
0
n/a
0
0
0
0

Total 

129 

53

92 

102

142

156

148

131 

198 

75

n/a
4
0
n/a
42
0
0
8
n/a
0
0
1
0
0
n/a
n/a
0
0
0
15
0
0
n/a
0
0
0
0

70

EN 

18 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
General Open Licences

Total

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

250

200

150

100

50

0

EN 

19 

   EN 

 
 
 
5.6. 

Annex 6: Refused Export Licences 

2000 

2001

2002 

2003

2004

Year 
2005

2006

2007 

2008 

2009

2010

0 

0 
0 

0 
2 
23 
0 

0

0
0

0
0
24
0

0 

0 
0 

0 
0 
22 
0 

0

0
0

0
0
11
0

n/a 

n/a 

n/a 

n/a 

n/a 

0 

0 
0 

1 

0 
0 
0 

0

0
3

1

0
0
0

0 

0 
2 

1 

0 
0 
2 

0

0
3

0

0
0
3

0

0
0
1
0
0
0
36
0

0
0
0
0
0
1
0
1
6
0

0
0
0
0
1

0

0
0
3
0
0
1
12
0
17
0
0
0
0
0
0
0
1
13
2

0
6
0
0
0

0

0
1
0
0
0
0
23
0
0
0
0
0
0
0
0
0
1
3
0

0
1
0
2
1

0 
0 
0 
0 
1 
0 
0 
1 
20 
0 
59 
0 
0 
0 
0 
0 
0 
0 
1 
2 
2 
0 
0 
0 
0 
2 
1 

0 
0 
61 
0 
2 
0 
0 
2 
36 
0 
67 
0 
0 
0 
0 
0 
0 
0 
2 
1 
1 
0 
1 
1 
0 
0 
0 

n/a
0
2
n/a
1
0
0
0
n/a
0
34
0
0
0
n/a
n/a
1
0
0
0
0
3
n/a
0
0
0
0

n/a
0
53
n/a
0
0
0
2
n/a
0
31
0
0
0
n/a
n/a
1
0
5
0
0
10
n/a
0
0
0
1

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

Total 

26 

28

27 

17

46

55

32

89 

174 

41

103

EN 

20 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
Refused Export Licences

Total

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

200

180

160

140

120

100

80

60

40

20

0

EN 

21 

   EN 

 
 
 
5.7. 

Annex 7: Non-compliant Consignments 

2000 

2001

2002 

2003

2004

Year 
2005

2006

2007 

2008 

2009

2010

BE 
BG 
CZ 
DK 
DE 
EE 
IE 
EL 
ES 
FR 
IT 
CY 
LV 
LT 
LU 
HU 
MT 
NL 
AT 
PL 
PT 
RO 
SI 
SK 
FI 
SE 
UK 

0 

0 
0 

0 
0 
0 
17 
0 

0 

0 
0 

0 

0 
0 
9 

0

0
0

0
0
0
18
0

0

0
0

1

0
0
9

0 

0 
0 

0 
0 
0 
17 
0 

0 

0 
0 

0 

0 
0 
3 

0

0
0

0
1
1
18
0

0

0
0

0

0
0
1

0

0
0
0
0
0
2
1
6
0
0
0
0
0
0
0
0
0
79
0

0
0
7
0
2

0

0
0
0
0
0
0
0
12
0
0
0
0
0
0
0
1
1
0
0

0
0
6
0
3

0

0
0
0
0
0
0
0
12
0
0
0
0
0
0
0
0
1
0
0

0
0
2
0
0

Total 

26 

28

20 

21

97

23

15

0 
21 
0 
1 
0 
0 
0 
0 
0 
7 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
2 
6 

37 

0 
5 
61 
1 
0 
0 
0 
0 
0 
22 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
0 
1 
1 
0 

91 

n/a
0
2
n/a
0
0
0
0
n/a
28
0
0
0
0
n/a
n/a
0
0
1
0
0
0
n/a
0
0
0
2

33

n/a
0
53
n/a
0
0
0
0
n/a
18
0
0
0
0
n/a
n/a
0
3
1
0
0
0
n/a
0
1
3
3

82

EN 

22 

   EN 

 
 
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
Non-compliant Consignments

Total

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

120

100

80

60

40

20

0

EN 

23 

   EN