The defence transfers directive : handbook for SMEs.
Date: 2021-11-05
Institutions: Directorate-General for Defence Industry and Space
Subjects: EU law, Internet site, common security and defence policy, directive (EU), economic growth, innovation, job creation, military equipment, patents licence, single market, small and medium-sized enterprises, supply chain, technology transfer, user guide

THE DEFENCE  
TRANSFERS DIRECTIVE
HANDBOOK 
FOR SMES

#EUDefenceIndustry

Manuscript completed in October 2021

1° edition

This document should not be considered as representative of the European 
Commission’s official position. 

Luxembourg: Publications Office of the European Union,2021

© European Union, 2021

The reuse policy of European Commission documents is implemented by 
Commission Decision 2011/833/EU of 12 December 2011 on the reuse of 
Commission documents (OJ L 330, 14.12.2011, p. 39). Unless otherwise noted, 
the reuse of this document is authorised under a Creative Commons Attribution 
4.0 International (CC-BY 4.0) licence (https://creativecommons.org/licenses/
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EN PDF 

Catalogue number

978-92-76-41988-4

DOI 10.2889/59762

HV-08-21-301-EN-N

THE DEFENCE  
TRANSFERS DIRECTIVE
HANDBOOK 
FOR SMES

#EUDefenceIndustry

4

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryTABLE OF CONTENTS

FOREWORD  .....................................................................................................................................................7

A HANDBOOK, FOR WHOM AND WHY? ..................................................................................................7
WHAT DOES THE HANDBOOK CONTAIN? ...............................................................................................8

1. THE TRANSFERS DIRECTIVE, A PRESENTATION .......................................................................... 10
1.1. THE EUROPEAN DEFENCE MARKET ....................................................................................................................................10
1.2. MAIN POINTS OF THE TRANSFERS DIRECTIVE ............................................................................................................11

2. THE LICENSING SYSTEM ..................................................................................................................... 12
2.1. OVERVIEW OF EXEMPTIONS AND LICENCES ................................................................................................................12
2.2. GENERAL TRANSFER LICENCES – A PRACTICAL EXAMPLE ..................................................................................18
2.3. GLOBAL TRANSFER LICENCES. THE TRANSFER PROCEDURE .............................................................................20

3. THE CERTIFICATION SYSTEM ............................................................................................................. 22
3.1. WHAT IS CERTIFICATION AND HOW DOES IT WORK? ..............................................................................................22
3.2. WHY CERTIFY YOUR COMPANY? ...........................................................................................................................................24
3.3. THE CERTIFICATION PROCESS IN PRACTICE .................................................................................................................24

4. USEFUL TOOLS AND RESOURCES .................................................................................................... 28
4.1. CERTIDER WEBSITE ......................................................................................................................................................................28
4.2. EU LEGISLATION AND RELEVANT POLICY DOCUMENTS .......................................................................................28
4.3. THE NATIONAL COMPETENT AUTHORITIES’ WEBSITES .........................................................................................28 

ANNEX  ........................................................................................................................................................... 29

5

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry6

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryFOREWORD 

A HANDBOOK, FOR WHOM AND WHY?

The  European  defence  industry  plays  a  considerable  role 
in guaranteeing the security and defence of Europe. With a 
turnover of €108 billion in 2018, it is also a major provider 
of growth and jobs. 

The  approximately  2,500  small  and  medium-sized 
enterprises (SMEs) operating in the European defence sector 
are a critically important part of supply chains. SMEs active 
in the defence industry are key enablers of innovation and 
growth, able to conduct essential research, technology and 
innovation  activities.  A  substantial  part  of  the  European 
Defence Technological and Industrial Base is made of SMEs. 

However,  the  European  defence  industry  is  exposed  to 
multiple  challenges.  One  of  them  is  the  fragmentation  of 
the European internal market for defence equipment. That 
fragmentation  and  divergent  national  approaches  have 
caused  many  issues  for  the  European  defence  industry  in 
general, and for SMEs in particular.

In this context, Directive 2009/43/EC (the Defence Transfers 
Directive  or  the  Transfers  Directive)  aims  to  simplify  the 
rules for transfers of defence equipment between European 
countries1 in order to ensure the proper functioning of the 
internal market and make procedures less burdensome for 
the industry, especially for SMEs.

1.  In this guide, ’European country’ means any country to which the Transfers Directive applies, that is all the Member States of the European Union, as well as Norway and Iceland (see section II.2 on the 
Transfers Directive’s geographical scope).

7

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryThe aim of this Handbook is to provide SMEs active in the 
defence sector with a simple presentation of the Transfers 
Directive and useful advice on how to make the most of it.

WHAT DOES THE HANDBOOK CONTAIN?

CHAPTER 1 

CHAPTER 2 

briefly  presents  the  objectives  and  main  provisions  of  the 
Transfers  Directive,  and  the  benefits  that  it  can  bring  to 
European SMEs in the defence sector.

focuses  on  the  Transfers  Directive’s  licensing  system,  and 
provides  detailed  explanations  about  exemptions  and  the 
different types of licences (general, global and individual). It 
also provides a practical example and a systematic procedure 
to follow for safe and fast transfers of defence equipment.

8

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryCHAPTER 3

CHAPTER 4 

covers the advantages of the certification system introduced 
by  the  Transfers  Directive,  as  well  as  practical  tips  on 
how  to  get  a  company  certified.  In  addition,  it  provides 
recommendations on how a recipient of defence equipment 
can  set  up  a  successful  and  reliable  internal  compliance 
system. 

describes  a  list  of  online  tools  and  resources  related  to 
transfers of defence-related products.

9

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry1. THE TRANSFERS 
DIRECTIVE, A 
PRESENTATION

1.1. THE EUROPEAN DEFENCE 
MARKET
Several aspects make the defence market unique and distinct 
from  other  commercial  markets.  These  include  a)  the  fact 
that end-customers for defence equipment are governments, 
b)  the  sensitive  nature  of  the  defence-related  products,  c) 
the specific national rules for handling classified information, 
and d) the rules on control of exports of military technology 
and  equipment.  That  is  why  cross-border  movements  of 
defence  equipment  are  subject  to  licensing  requirements, 
even between European countries.

10

There  were  no  common  European  licensing  rules  for 
movements  of  defence  equipment  between  European 
countries until 2009. Before the adoption of the Transfers 
Directive  in  2009,  the  European  defence  industry  had  to 
deal with separate national regulations, with each European 
country  having  its  own  export  control  regime  primarily 
designed  to  control  risks  related  to  exports  of  military 
equipment to non-EU countries. The process of granting or 
denying a licence for transfers between European countries 
and  that  for  exports  to  other  countries  were  essentially 
the  same,  meaning  that  European  companies  could  not 
fully  enjoy  the  benefits  of  the  European  Union’s  internal 
market.  The  Transfers  Directive  diminishes  the  obstacles 
to  movements  of  defence  equipment  between  European 
countries  and  is  therefore  essential  for  the  creation  of  a 
functional European internal market for defence equipment.

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry1.2. MAIN POINTS OF THE 
TRANSFERS DIRECTIVE
The Transfers Directive applies to movements (transfers) of 
defence equipment between two European countries. It does 
not apply to exports of defence equipment from a European 
country  to  a  country  outside  the  European  Union,  Norway 
and Iceland. 

The  Transfers  Directive’s  main  provisions  and  tools  benefit 
to suppliers and recipients of intra-EU transfers of defence 
related products:

A simplified licensing system, which includes 
licence  exemptions,  general  and  global 
transfer licences

The Transfers Directive simplifies rules and reduces 
administrative burden, while keeping a certain level 
of  control  on  cross-border  movements  of  defence-
related products within Europe

It  aims  to  facilitate  and  speed  the  movement  of  defence 
equipment across Europe, to strengthen security of supply 
and the European industry’s competitiveness.

Geographical  scope:  the  Transfers  Directive  applies 
to the 27 Member States of the European Union2 and 
two other countries of the European Economic Area, 
Norway and Iceland3. Those 29 countries are referred 
to as ‘European countries’ in this Handbook4. 

2 Austria, Belgium, Bulgaria, Croatia, Czechia, Cyprus, Denmark, Estonia, Finland, France, Germany, 
Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portu-
gal, Romania, Slovakia, Slovenia, Spain, Sweden.

3 The European Economic Area (EEA) comprises the 27 Member States of the European Union, as 
well as Iceland, Norway, and Liechtenstein.  It seeks to strengthen trade and economic relations 
between those. The Transfers Directive does not apply to Liechtenstein.

4 By virtue of the Protocol on Ireland/Northern Ireland concluded by the European Union and the 
United Kingdom, the Transfers Directive continues to apply also to and in the United Kingdom with 
respect to Northern Ireland.

A shift from ex-ante to ex-post controls by 
national authorities, for general transfer 
licences

A system of certification for defence 
companies, to ensure trust among national 
governments and compliance with export 
control rules

11

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
2. THE LICENSING SYSTEM

THE LICENSING SYSTEM UNDER 
THE TRANSFERS DIRECTIVE

2.1. OVERVIEW OF EXEMPTIONS 
AND LICENCES
Under  the  Transfers  Directive,  an  enterprise  wanting  to 
transfer defence equipment from one European country to 
another  needs  a  prior  authorisation  -a  licence-  from  the 
authorities of the European country from which the product 
is to be transferred. However, the Transfers Directive allows 
European  countries  to  exempt  certain  types  of  transfers 
from  the  licensing  obligation  under  specific  conditions. 
Moreover,  in  addition  to  the  traditional  individual  transfer 
licences,  it  introduces  general  transfer  licences  and  global 
transfer licences.

 I. LICENCE EXEMPTIONS

 II.  GENERAL TRANSFER LICENCES 

 III. GLOBAL TRANSFER LICENCES

 IV. INDIVIDUAL TRANSFER LICENCES 

12

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
I. LICENCE EXEMPTIONS 

II. GENERAL TRANSFER LICENCES

National  governments  can  exempt  the  following  types  of 
transfers from prior authorisation: 

• 

• 

• 

• 

• 

if the supplier or the recipient is a governmental body or 
part of the armed forces,

if  the  supplies  are  made  by  the  European  Union,  the 
North  Atlantic  Treaty  Organisation,  the  International 
Atomic  Energy  Agency  or  other  intergovernmental 
organisations for the performance of their tasks,

if the transfer is necessary for the implementation of a 
cooperative armament programme between European 
countries,

if the transfer is linked to humanitarian aid in the case of 
disaster, or as a donation in an emergency,

if the transfer is necessary for or after repair, maintenance, 
exhibition or demonstration.

Check relevant national government publications 
or ask the respective national authorities about 
existing exemptions.

Where  a  European  country  considers  that,  under  certain 
conditions, transfers of certain types of defence equipment 
to other European countries do not entail major risks, it can 
adopt  and  publish  a  general  transfer  licence  to  authorise 
such transfers.

A  general  transfer  licence  covers  certain  types  of  defence 
equipment.  It  allows  all  suppliers  of  such  equipment  that 
are established in the country to perform  directly multiple 
transfers  of  such  equipment  to  other  European  countries 
under certain conditions, without having to apply for a specific 
authorisation. The conditions laid down in a general transfer 
licence may relate not only to the types of products covered 
but  also  to  the  countries  to  which  those  products  may  be 
transferred under the licence, the purpose of the transfers 
(e.g.  for  maintenance,  demonstration),  or  the  recipients  of 
the products (e.g. armed forces or contracting authorities). 

For instance, the authorities of a given European country may 
publish  a  general  licence  allowing  all  entities  established 
in  that  country  to  transfer  various  types  of  products  (e.g. 
certain types of electronic equipment, certain sub-systems 
of military aircrafts or vessels) to any other European country 
for  maintenance  purposes,  provided  the  products  are  sent 
back  within  six  months  and  the  competent  authorities  are 
informed of the transfer. 

13

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryPrior to a transfer, we recommend that companies check:

•  the websites of national competent authorities,

•  CERTIDER,  the  register  of  the  certified  companies, 
published on the European Commission website, which 
also  contains  information  on  general  transfer  licences 
published by European countries,

•  Chapter 4 of this handbook.

The  Transfers  Directive  requires  all  European  countries 
to  publish  general  transfer  licences  covering  at  least  the 
following four types of situations: 

•  the recipient is part of the armed forces of a European 
country  or  a  contracting  authority  purchasing  for  the 
exclusive use by such armed forces,

•  the recipient is a certified company (see chapter III of this 

handbook),

•  the transfer is made for the purposes of demonstration, 

evaluation or exhibition,

•  the transfer is made for the purposes of maintenance 
and repair, if the recipient is the originating supplier of 
the defence-related products.

National governments have the liberty to decide what types 
of products they include into each of those general licences 
and more generally what conditions they attach to them. 

European  countries  are  entitled  to  publish 
additional general transfer  licences  beyond  the 
four types required by the Transfers Directive. 

14

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
A GENERAL TRANSFER LICENCE HAS THE FOLLOWING TERMS AND 
CONDITIONS. 

Notification prior 
to the first use 
of the licence 

Types of items 
allowed

Information 
on re-export 
conditions for 
recipients

Reporting 
requirements

National 
governments 
can add further 
requirements

GENERAL TRANSFER LICENCES PROVIDE FOR SIGNIFICANT SIMPLIFICATIONS: 

•  if a planned transfer meets all the conditions of a general transfer licence, the company can 

perform the transfer without applying for a specific authorisation,

•  general transfer licences are available to all companies of a given European country provided 

that they meet the relevant conditions of the general transfer licence,

•  after notification of their intention to use a general transfer licence for the first time, companies 
may carry out as many transfers as they need under the conditions laid down in that licence.

15

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryIII. GLOBAL TRANSFER LICENCES

IV. INDIVIDUAL TRANSFER LICENCES

A global transfer licence allows a given supplier to perform 
multiple transfers to various European countries, for specific 
types of items and recipients, and for 3 years. Each global 
transfer licence defines a scope for:

•  the categories of items covered by the licence,

•  the authorised recipients or categories of recipients.

The national authorities are responsible for determining the 
conditions under which transfers may be authorised under 
a global rather than individual licence (for transfers that are 
not covered by general transfer licences).

An  individual  transfer  licence  allows  a  single  transfer  of  a 
specified quantity of specified products to a single European 
country in one or more shipments. It is used in all cases where 
licence  exemptions,  general  transfer  licences  and  global 
transfer licences cannot be used. Individual suppliers must 
request a licence from their competent authorities for each 
single transfer, specifying the quantity of products shipped 
and  the  number  of  shipments  to  the  recipient.  Individual 
transfer licences contain specific terms and conditions that 
the supplier must fulfil. National authorities may decide that 
transfers  need  to  be  subject  to  an  individual  (rather  than 
general or global) licence under certain circumstances:

What can SMEs use global transfer licences for?

Global transfer licences are particularly suitable 
in a contractual framework that entails a regular 
commercial flow of items between the supplier 
and the recipient. 

A global transfer licence is valid for 3 years and 
may  be  renewed  by  the  relevant  national 
authority. 

16

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryRequest for a licence limited to one 
transfer

Necessary to protect essential 
security interests or on grounds of 
public policy

 Necessary to ensure compliance 
with international obligations and 
commitments

Serious reasons to believe that the 
supplier will not be able to comply 
with all the terms and conditions 
necessary to grant it a global 
transfer licence

17

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry2.2. GENERAL TRANSFER LICENCES 
– A PRACTICAL EXAMPLE
The following practical example provides SMEs with an easy 
step-by-step  procedure  for  transferring  an  item  under  a 
general transfer licence.

PRACTICAL EXAMPLE OF A PROCEDURE  
UNDER THE TRANSFERS DIRECTIVE

ITEM: Specially designed mechanical part of a missile
FROM: Estonia
TO: Ireland (end-use/user).The recipient may be:

A.  part of the armed forces,
B.  a certified company, 
C.  a non-certified recipient  

(not part of the armed forces). 

•  STEP 1:  Classify your item
•  STEP 2:  Look for the right licence
•  STEP 3:  Notify first
•  STEP 4:  Transfer

STEP 1 : CLASSIFY YOUR ITEM

Ask  yourself:  Is  the  item  that  I  want  to  transfer 
subject to the Transfers Directive?  

Check the List of defence-related products, which is the 
Annex to the Transfers Directive (as incorporated into your 
national legislation). In case of doubt, you can contact your 
national competent authority. 

 IMPORTANT ! That list is updated roughly every year

Be aware of tricky cases: even if the item that you want to 
transfer is only a small mechanical or electronic component, 
it  could  still  be  ‘specially  designed’  or  ‘modified  for  military 
purposes’  and  therefore  controlled  under  the  Transfers 
Directive.

•  Result:  in  this  example,  the  item  is  CONTROLLED  under 
Military List (ML) 4 of the Annex to the Transfers Directive.

•  Remember  that  classification  is  a  crucial  step  because  it 

allows a check of whether the item to be transferred

1. is subject to a licence exemption;

2. benefits from general transfer licences/global transfer 
licences or requires an individual transfer licence.

18

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
STEP  2 : LOOK FOR THE RIGHT 
LICENCE

After having classified the item, ask yourself:  Has my 
country  (in  this  example,  Estonia)  granted  a  licence 
exemption applicable to the items that I want to transfer 
and to the intended recipients?

If yes, you can proceed to the transfer.
If no, ask yourself: 
Has  my  country  (in  this  example,  Estonia)  granted 
general  transfer  licences  applicable  to  the  items  that  I 
want to transfer and to the intended recipients?

A.  Armed forces
B.  A certified company

C.  For the following  purposes:

  a) exhibition and demonstration
  b) repair and maintenance

• Check  the  name  and/or  number  of  the  relevant  general 
transfer licences published by your country on the competent 
national authorities’ website or on CERTIDER (See Chapter 4 of 
this handbook).

• The relevant general transfer licences issued by Estonia (at 
the  point  in  time  when  this  guide  was  drawn  up)  are  the 
following:  

a) General transfer licence for armed forces: can be used for 

recipient A (armed forces);

b) General  transfer  licence  for  certified  companies:  can  be 

used for recipient B (certified company);

c) For  recipient  C)  (not  certified)  an  individual  (or  global) 

transfer licence is required.

STEP 3 : NOTIFY FIRST

If  you  want  to  use  a  general  transfer  licence  for  the  first 
time,  you  must  first  notify  the  national  competent 
authorities of your intention to do so. 

 Notification prior to first use is part of the terms & 
conditions of the general transfer licences. Consult the 
national competent authority to check the procedure.

•  After notifying, your company is ready to transfer the 
items, no need to wait for a specific authorisation.

STEP 4 : THE TRANSFER

After having notified the first use of a general transfer 
licence, you can proceed to the transfer.

Include  the  shipping  documents  with  the  relevant 
information for the recipient regarding the military list 
(ML) containing the item (in this case ML 4):

•  which transfer licence, general or individual/global was 
used (name and number) or a copy of the licence,

•  which re-export limitations to observe (if applicable).

19

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
 
2.3. GLOBAL TRANSFER LICENCES. 
THE TRANSFER PROCEDURE
Below  is  a  step-by-step  procedure  for  getting  a  global 
transfer licence and using it for the first time.

Each  national  authority  defines  the  application 
requirements.  Therefore,  consult  your  national 
competent  authorities  on 
the  appropriate 
procedures.

STEP 1 : CLASSIFY YOUR ITEM

Ask yourself: is the item that I want to transfer 
subject  to  the  Transfers  Directive?  This  step  is 
identical  to  the  first  step  of  the  example  described  in 
Section II.2. 

STEP  2 : LOOK FOR THE RIGHT 
LICENCE

After  having  classified  the  item,  ask  yourself:   
Has  my  country  granted  a  licence  exemption 
applicable to the items that I want to transfer and to the 
intended recipients?

If yes, you can proceed to the transfer. 

If  no,  ask  yourself:  Has  my  country  granted 
a  general  transfer  licence  applicable  to  the 
items that I want to transfer and the intended 
recipients?

• 

If the answer to is yes, consider using a general 
transfer  licence  instead  of  a  global  transfer 
licence.  This  way  you  do  not  have  to  apply  for 
a  specific  authorisation,  but  simply  notify  the 
relevant authorities of the first use of the general 
transfer licence.

• 

If the answer is  no, proceed with the next step, 
applying for a licence.

20

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
 
STEP 3 : APPLY FOR A LICENCE

STEP 4 : THE TRANSFER

You  have  to  apply  for  a  global  transfer  licence 
from your national competent authorities.

Contact  your  national  competent  authorities  to 
identify  the  application  process  in  your  country. 
With  a  global  transfer  licence,  you  can  transfer 
items  to  one  or  more  recipients  listed  in  the 
licence, which also specifies the items or types of 
item covered.

Global transfer licences are valid for 3 years and can 
be renewed. 

After having obtained the global transfer licence, 
you can proceed to the transfer. Include the shipping 
documents with information for the recipient about:

• 

the military list (ML) containing the item in the Annex 
to the Transfers Directive,

•  which  global  transfer  licence  was  used  (name  and 

number) or a licence copy,

•  which re-export limitations to observe (if applicable).

21

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry3. THE CERTIFICATION 
SYSTEM

3.1. WHAT IS CERTIFICATION AND 
HOW DOES IT WORK?
The certification system is directly linked to the use of general 
transfer licences for recipients that are certified companies.

Certification is the formal recognition of the reliability of a 
company as recipient of transferred defence items, provided 
by the national authorities of the European country where 
the company is established. Therefore, a certificate granted 
by  the  ‘receiving  country’  is  used  for  receiving  defence-
related  products  acquired  under  a  general  transfer  licence 
granted by the ‘originating country’. 

WHY MUST A COMPANY PROVE ITS 
RELIABILITY THROUGH CERTIFICATION?

In accordance with the Transfers Directive, while an individual 
transfer  licence  requires  specific  documentation  about  the 
end-user/end-use, and the commitment of the recipient to 
observe  re-export  limitations,  the  national  authorities  can 
also exempt users of general transfer licences from these 
documentation requirements.  

For  these  reasons,  the  eligible  companies  must  have  proved 
their  reliability,  and  guarantee  in  particular,  that  they  will 
observe all re-export limitations established under the relevant 
general transfer licence. 

Certification  is  aimed  at  avoiding  in  particular  that  general 
transfer licences are misused for banned or denied re-exports.

22

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryA CERTIFICATE IS GRANTED TO A 
COMPANY BASED ON THE FOLLOWING 
CRITERIA AND ELEMENTS: 

Proven experience of the company in defence 
activities,  notably  with  record  of  compliance 
with re-export restrictions

industrial  activity 

Relevant 
in  defence 
equipment, in particular, capacity for system / 
sub-system integration

A  senior  executive  appointed  as  dedicated 
officer  personally  responsible  for  transfers 
and exports

A  written  commitment  of  the  company  to 
observe  and  enforce  all  conditions  related  to 
end-use and exports of any product received

A written commitment of the company to provide 
to  the  competent  authorities,  upon  request, 
detailed information concerning the end-users 
or end-use of all products exported, transferred 
or  received  under  a  transfer  licence  from 
another European country

A description of the internal compliance 
programme or transfer and export 
management system implemented in the 
company

Each European country establishes the 
procedures governing certification.

With the 2011 Recommendation on certification, 
the  European  Commission  proposed  minimum 
standards  to  harmonise  the  certification  system 
across Europe, based on best practices. It contains 
a  list  of  best  practices  on  internal  compliance 
programmes that you can consult. 

WHY A RECOMMENDATION ON 
CERTIFICATION? 

• 

•

it offers additional guidelines for the certification criteria,
which helps evaluate whether your company is eligible
for certification,

the  Annex  includes  a  list  of  suggested  questions/
guidelines  for  a  business  to  describe  (and  for  the
authorities to assess) internal compliance programmes.

23

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry3.2. WHY CERTIFY YOUR COMPANY?

Becoming  a  certified  company  can  bring  improvements  to 
your business:

3.3. THE CERTIFICATION PROCESS 
IN PRACTICE

Able to receive fast and secure 
supplies under general transfer 
licences

Establish one’s reputation as a 
reliable company as regards the 
handling of defence equipment

Having in place a system to ensure 
compliance with export control 
laws

STEP 1 : IS YOUR COMPANY ELIGIBLE 
FOR CERTIFICATION?

•

• 

check  the  national  authorities  websites  to  assess
whether  your  company  meets  the  criteria  and
requirements (also in Chapter 4 of this handbook),

if your company fulfils all the requirements, request
the  documentation  to  submit  to  your  competent
authorities.

STEP  2 : HOW DOES YOUR COMPANY 
GET CERTIFIED?

•  submit  documentation,

• once the documents are submitted, the competent

authorities will conduct

•  a scrutiny of your company,

•  your company may then be certified.

24

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustrySTEP 3 : YOUR COMPANY IS 
CERTIFIED. WHAT HAPPENS NEXT?

STEP 4 : WHAT ARE THE OBLIGATIONS 
OF A CERTIFIED COMPANY?

•

•

• 

It  must  comply  with  transfers  and  export  control
laws and licences,

in  particular,  it  must  comply  with  the  export  and
re-transfer  limitations  set  out  in  relevant  general
transfer licences,

it must designate an export control officer as contact 
point at the national level, who is recognised by the
national competent authorities.

Once  certified,  your  company  can  receive  defence 
equipment  from  other  European  suppliers  under 
the  general  transfer  licences  issued  by  other 
European  countries  for  transfers  to  certified 
companies.

•  Your company is listed on CERTIDER,

•

•

•

check  the  validity  period  of  a  certificate  in  your
home country,

the validity period of a certificate cannot exceed 5
years and is subject to a compliance review by the
competent authorities after 3 years,

see chapter 4 about CERTIDER and the updates of
the certification system.

25

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryThis table refers to the different roles in the management of 
the export control organisation of a company.

A RELIABLE AND SUCCESSFUL 
EXPORT CONTROL 
ORGANISATION

 The export control officer 
(a senior executive)

• 

is in charge of organising the company’s export
control system implementing the guidelines of the
export policy,

•  delegates the execution of export control to the
head of the export control organisation and their
team (a general rule).

26

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry The head of the export control

 The export control guide

• 

is the contact person for the national competent
authorities,

• describes the responsibilities and the export
control procedures.

•  works with a team of professionals in export

control and with a competent engineering staff
as a counterpart for control classifications of
products,

•  with his / her team, has to ensure compliance with

export control laws,

•  with his / her team, looks for the best possible

licence package/solution to ensure a secure and
uncomplicated transfer/export.

•  can stop any transfer/export when proved

unlawful and his / her decision can be overruled
only by a senior executive (or the export control
officer).

27

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry4. USEFUL TOOLS
AND RESOURCES

4.1. CERTIDER WEBSITE

An official online database containing:

the list of certified companies (and related certificates),

• 
•  general transfer licences,
•  national legislation on certification and transfers of defence-

related products,
the list of products covered by the Transfers Directive,
links to national competent authorities’ websites,

• 
• 
•  a search function.

4.2. EU LEGISLATION AND 
RELEVANT POLICY DOCUMENTS

the Transfers Directive 2009/43/EC
the European defence industrial policy

• 
• 
•  Defence-related SMEs in the EU

4.3. THE NATIONAL COMPETENT 
AUTHORITIES’ WEBSITES
The Transfers Directive’s provisions have been incorporated 
into each European country’s law. 

SMEs  need  to  rely  on  the  competent  authorities’ 
requirements.  The 
recommendations  and  national 
websites  of  national  competent  authorities  need  to 
include information about:

•

•

• 
•

• 

the list of general transfer licences issued that they have
issued,
the  products  covered  by  each  of  the  general  transfer
licences and the other conditions attached to them,
the licence exemptions granted by national legislation,
the notification procedure prior to the first use of general
transfer licences or the steps to follow to apply for a global/
individual transfer licence,
the criteria and procedure for certification at national level.

The  websites  of  the  competent  authorities  for  national 
certification procedures are listed below.

28

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryANNEX 
COMPETENT AUTHORITIES’ WEBSITES  
FOR NATIONAL CERTIFICATION GUIDELINES

AUSTRIA
Innergemeinschaftliche 

Verbringung von Militärgütern

BELGIUM

BRUSSELS-CAP REG 

39944 Moniteur 

belge_21062013_belgisch 

staatsblad 

FLEMISH REG  

Certificaat van gecertificeerde 

persoon

WALLON REG  

Arrêté du Gouvernement wallon 

du 23 mai 2013

BULGARIA

• Процедура и документи за 
получаване на сертификат
• Defence-Related Products 
and Dual-Use Items and 

Technologies Export Control Act
• What is required for transfer of 
defence related products to the 

territory of Bulgaria?

CROATIA
The Trade Control of Military 
Goods and Non-Military Lethal 

Goods

CYPRUS
Έκδοση Αδειών Εισαγωγής / 
Εξαγωγής

CZECH REPUBLIC
Act No 38/1994 Sb, Certifikace of 

30 June 2012 ( In EN Certification) 

DENMARK
Certificering 
Order No. 691 of 27 June 2012 

on certification

ESTONIA
Strategic Goods Act

FINLAND
Exports, transfer, transit and 

•

brokerage of defence materiel

•

Act on the export of defence 

materiel 282/2012, chapter 5

•

Puolustustarvikkeiden vienti, 
siirto, kauttakuljetus ja välitys 

GREECE
Article 13 of Law 4028/2011 
NOMOΣ ΥΠ’ ΑΡΙΘ. 4028 
Τροποποίηση διατάξεων του ν. 

2168/1993

HUNGARY
Tanúsítás

ICELAND
•  Act on Control of Services and 
Items that may have Strategic 

Significance

• Form 1: Application for 

authorisation for export of 
controlled items

• Form 2: End-use certificate

IRELAND
Art 15 End Use Certificate EUC 

Military Products

FRANCE
• Arrêté relatif à la procédure 

ITALY
• Art 10-sexies Law 185/90 

de certification des entreprises 
souhaitant être destinataires de 
produits liés à la défense

• Certification

GERMANY

• General information
• Process instructions
• Application
• Questionnaire

Regulation about the armament 

licencing and controls

• Law 185/90  Implementing 
rules about regulation on
armament licensing and 
controls 
LATVIA
Par Vispārīgās sūtījuma licences 

spēkā stāšanos
Law on Strategic goods 
Stratēģiskas nozīmes preču 
aprites likums 
Par Vispārīgās sūtījuma licences 
spēkā stāšanos

ROMANIA
Order 849/2013 for the approval 
of Methodological Norms for the 
implementation of Emergency 
Ordinance no. 158/1999 
concerning the control regime 
for exports, imports and other 
operations with military products 

Chapter III – Certification

SLOVAKIA
zákon č. 392/2011 Z.z. o 
obchodovaní s výrobkami 
obranného priemyslu a o zmene a 

doplnení niektorých zákonov

SLOVENIA
Decree on authorisations for the 
production and trade in military 
weapons and equipment and on 
prior authorisation for the import, 
export, transit and transfer of 
defence equipment

SPAIN
Guía del Operador Material de 

Defensa: Empresas certificadas

SWEDEN
Certifiering som mottagare av 
krigsmateriel

LITHUANIA
• Lietuvos Respublikos 

strateginių prekių kontrolės 
įstatymo pakeitimo įstatymas

• Republic of Lithuania Law 
Amending the Law on the 
Control of Strategic Goods, 11 
October 2011 No XI-1616
• Resolution on the approval of 
the licensing rules for export, 
import, transit, brokering and 
intra-EU transfer of strategic 
goods… 

LUXEMBOURG
Article 9 of the Loi du 28 juin 

2012

NETHERLANDS
Strategische goederen 
(vergunningen voor in-, uit- en 
doorvoer)

NORWAY 
SERTIFISERING

POLAND 
THE AUTHORITY RESPONSIBLE 
FOR CERTIFICATION IN POLAND, 

INTERNAL SECURITY AGENCY

PORTUGAL 
LAW NO. 37/2011, 22 JUNE, 
ARTICLES NO. 16 AND 17, 
SECTION 3 – CERTIFICATION OF 
DEFENCE ENTERPRISES 

29

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustry 
 
 
 
 
30

THE DEFENCE TRANSFERS DIRECTIVE 2009/43/EC    HANDBOOK FOR SMES    #EUDefenceIndustryGetting in touch with the EU

In person

All over the European Union there are hundreds of Europe Direct information centres. You can find the address of the centre nearest you at:

https://europa.eu/european-union/contact_en

On the phone or by email

Europe Direct is a service that answers your questions about the European Union. You can contact this service: 

— 

— 

— 

by freephone: 00 800 6 7 8 9 10 11 (certain operators may charge for these calls), 

at the following standard number: +32 22999696 or 

by email via: https://europa.eu/european-union/contact_en

Finding information about the EU

Online 
Information about the European Union in all the official languages of the EU is available on the Europa website at:  

https://europa.eu/european-union/index_en

EU publications 
You can download or order free and priced EU publications at: https://op.europa.eu/en/publications. Multiple copies of free publications may be obtained by 
contacting Europe Direct or your local information centre (see https://europa.eu/european-union/contact_en).

EU law and related documents 
For access to legal information from the EU, including all EU law since 1951 in all the official language versions, go to EUR-Lex at: https://eur-lex.europa.eu

Open data from the EU 
The EU Open Data Portal (https://data.europa.eu/en) provides access to datasets from the EU. Data can be downloaded and reused for free, for both commercial 
and non-commercial purposes.

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https://ec.europa.eu/defence-industry-space/
eu-defence-industry/eu-transfers-defence-related-
products_en

CERTIDER website 
https://webgate.ec.europa.eu/certider/public/welcome

@defis_eu

ISBN: 978-92-76-41988-4