REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL on the implementation of Regulation (EU) 2021/821 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items
Date: 2021-11-23
Institutions: Directorate-General for Trade and Economic Security, European Commission
Subjects: application of EU law, dual-use good, exchange of information, export (EU), export licence, export monitoring, technical cooperation, trade restriction, transit

EN 

  EN 

   EUROPEAN COMMISSION  Brussels, 23.11.2021  COM(2021) 716 final  REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL on the implementation of Regulation (EU) 2021/821 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items  
 
 
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

on the implementation of Regulation (EU) 2021/821 setting up a Union regime for the 
control of exports, brokering, technical assistance, transit and transfer of dual-use items 

1. 

INTRODUCTION 

In 2013 the Commission started publishing annual export control reports as provided for by 
Regulation (EC) No 428/2009 (“the Regulation”). The Regulation was repealed by Regulation 
(EU) 2021/8211 (“the new Regulation”) on 9 September 2021.  

This  report,  prepared  by  the  Commission  with  input  from  Member  States2  in  the  Dual  Use 
Coordination  Group,  provides  information  on  the  implementation  of  EU  law  concerning 
export  control  of  dual-use  items  in  2020,  and  includes  aggregated  export  control  data  for 
2019.3  

In order to contribute to a more thorough implementation of EU trade law, including EU law 
concerning  export  control  of  dual-use  items,  the  Commissiom  created  a  new  post  of  Chief 
Trade Enforcement Officer (CTEO) in 2019. In order to support the CTEO in carrying out its 
enforcement tasks, the Commission has restructured the organization of DG TRADE. Among 
other changes, export control and foreign direct investment (FDI) screening have been merged 
under  one  unit  in  DG  TRADE  under  the  supervision  of  the  CTEO.  As  a  consequence  and 
because  export  control  and  FDI  screening  are  both  tools  for  strategic  trade  and  investment 
controls to ensure security in the European Union, this report is adopted simultaneously with 
the first annual report on FDI Screening.  

2. 

EVOLUTION OF THE POLICY & REGULATORY FRAMEWORK 

2.1. 

Export control policy review 

2.1.1.  Legislative modernisation 

2020 was a crucial year for the modernisation of EU export controls, with the Council and the 
European  Parliament  reaching  political  agreement  on  a  new  export  control  Regulation  in 
November 2020. They agreed on a comprehensive “system upgrade”, that will make the EU 
export control system more effective by: 

 

introducing  a  novel  ‘human  security’  dimension  so  the  EU  can  respond  to  the 
challenges  posed  by  emerging  dual-use  technologies  –  especially  cyber-surveillance 
technologies – that pose a risk to national and international security, including human 
rights; 

1 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 (recast) – 
(OJ L 206, 11.6.2021, p. 1) - https://eur-lex.europa.eu/eli/reg/2021/821/oj. 
2 Some Member States’ competent authorities also publicly report on trade in dual-use items. 
3 While the present report is published under the new Regulation, given it is covering 2020 the information 
collected refers to the situation under the previous Regulation. 

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  updating  key  notions  and  definitions  in  the  Regulation  (e.g.  definition  of  “exporter” 
covering  natural persons and researchers involved in dual-use technology transfers); 

  simplifying  and  harmonising  licensing  procedures  and  allowing  the  Commission  to 
amend  –  by  a  ‘simplified’  procedure,  using  delegated  acts  –  the  list  of  items  or 
destinations  subject  to  specific  forms  of  control,  thereby  making  the  export  control 
system more agile and able to evolve and adjust to circumstances; 

  enhancing  information-exchange  between  licensing  authorities  and  the  Commission 

with a view to increasing transparency of licensing decisions; 

  coordinating  and  supporting  robust  enforcement  of  controls,  including  enhancing 
secure electronic information-exchange between licensing and enforcement agencies; 

  developing  an  EU  capacity-building  and  training  programme  for  Member  States’ 

licensing and enforcement authorities;  

  strengthening  outreach  to  industry  and  transparency  with  stakeholders,  developing  a 
structured  relationship  with  the  private  sector  through  specific  consultations  of 
stakeholders by the relevant Commission group of Member States experts; 

  setting  up  dialogues  with  third  countries  so  as  to  enhance  global  security  and 

promoting a level playing field at global level. 

The new regulation has been published on 11 June 2021and entered into force on 9 September 
2021.  

2.1.2  Consultations and outreach 

As  part  of  a  continuous  outreach  effort,  the  Commission  conducted  a  series  of  targeted 
consultations  to  key  industry  and  civil  society  stakeholders  in  the  course  of  2020.4  In 
particular, an Export Control Forum was organised in a virtual format on 11 December 2020 
as described further below. 

2.2. 

Amendments to Regulation (EC) No 428/2009 

2.2.1.  Update to the EU control list 

The EU Control List in Annex I to the Regulation provides a list of dual-use items, including 
software and technology, which can be used for both civil and military purposes, and  it also 
includes all goods which can be used for both non-explosive uses and assisting in any way in 
the manufacture of nuclear weapons or other nuclear explosive device. It was amended once 
in  20205.  This  amendment  incorporated  the  decisions  agreed  in  2019  and  until  the  end  of 
February  2020  in  the  context  of  the  multilateral  export  control  regimes  (in  particular  at  the 
Wassenaar Agreement  and the Australia Group). Annexes  II and  IV of the Regulation  were 
also updated in line with the amendments to Annex I. 

4 This is also part of our "partnership with the private sector", which will be a key element of the modernisation 
of EU export controls. 
5 Commission Delegated Regulation (EU) 2020/1749 of 7 October 2020 (OJ L 421, 14.12.2020, p. 1). 

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Amendments to the EU control list in 2020 

The amendments introduced certain cyber-surveillance technologies, e.g. law enforcement monitoring 
"software" (5D001.e.1 and 2.) and "digital forensics" systems, equipment and components (5A004.b.1 
and 2.) in the list of items subject to export control.  

The  2020  EU  control  list  also  introduces  controls  on  "sub-orbital  craft"  (9A004.h.),  as  well  as  new 
decontrol  notes  for  certain  carbon  "fibrous  or  filamentary  materials"  (1A002  –  Note  5)  and 
"technology" for information security system (5E002.a.–Note).  

Furthermore, it incorporates changes to the controls on: 
- planar absorbers made of sintered ferrite (1C001.a – Note 1.d.2.),  
- metal alloys (1C002 – Technical Note 3),  
- fluids and lubricating materials (1C006.d.),  
- anti-friction bearings and bearing systems (2A001),  
- simulation software (3D003),   
- information security system to refer to secure "cryptographic activation" (5A002.a.),  
- space qualified components for optical system (6A004.c.4),  
- some lasers (6A005.a.6.a.1. - .2.a.) and  
- 'fan blades'.  

As a result from decisions at the Australia Group, new controls on Middle East Respiratory Syndrome-
related coronavirus (MERS-related coronavirus – 1C351.a.59), on 24 chemicals, including Novichok 
nerve  agent  precursors  (1C350.66.  to  1C350.89)  as  well  as  changes  to  the  control  on  valves  and 
components (2B350.g.1.a. - .2.a.) were introduced.  

The  updated  and  consolidated  EU  Control  List  entered  into  force  on  15  December  2020, 
thereby allowing the EU to  comply with its  international  commitments.  It also  supports EU 
exporters through timely adjustments of control parameters to technological developments.  A 
"Comprehensive  Change  Note"  was  published  as  guidance  providing  an  overview  of  all 
changes to the 2020 EU Dual-Use Control List6. 

2.2.2. Brexit  

In  the  course  of  2020,  the  Commission  took  a  series  of  actions  in  view  of  the  end  of  the 
transition period on 1st January 2021, when exports of dual-use items from the EU to the UK 
become subject to control under the Regulation, like exports to any other third country. 

In September 2020, the Commission published a Notice to Stakeholders7 to inform exporters 
of  applicable  rules  in  view  of  the  end  of  the  transition  period  and  of  the  withdrawal  of  the 
United Kingdom from the EU.  

In  order  to  ensure  the  uniform  application  of  controls  throughout  the  Union,  and  to  avoid 
undue  administrative  burden  while  protecting  the  Union  and  international  security,  the  EU 
adopted  Regulation  (EU)  2020/2171  of  16  December  2020  amending  Annex  IIa  to  the 
Regulation. By adding the UK to the list of destinations covered by the Union General Export 
Authorisation  No  EU0018  Regulation  (EU)  2020/2171  provides  for  a  simplification  of 
controls on exports of most dual-items to the United Kingdom.  

6 The Summary Note is available at:  https://trade.ec.europa.eu/doclib/docs/2020/october/tradoc_158973.pdf. 
7 https://ec.europa.eu/info/sites/default/files/file_import/dual-use-export-controls_en_0.pdf 
8 https://trade.ec.europa.eu/doclib/docs/2021/january/tradoc_159247.pdf 

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Specific arrangements  apply under the Northern  Ireland (NI) Protocol9,  which provides that 
the Regulation applies to, and in the United Kingdom in respect of Northern Ireland.10, with 
the UK acting as a competent authority under the Regulation. The Commission developed a 
dedicated  secure  electronic  tool  to  support  the  exchange  of  information  with  the  UK 
competent authority in charge of applying the Regulation in and from Northern Ireland. This 
enables  the  UK  competent  authority  to  access  information  which  supports  the  effective 
implementation  and  enforcement  of  controls  on  exports  of  dual-use  items  from  Northern 
Ireland in line with the provisions of the Regulation. Therefore UK competent authorities are 
able to enter information on relevant denials into the Dual-use e-System (DUeS)11, to consult, 
manage  and  browse  UK  denials  already  stored  in  DUeS  as  well  as  to  receive  the  denial 
information  that  is  relevant  to  a  specific  application  for  export  of  dual-use  items  from 
Northern Ireland.  

2.3. 

National implemention and enforcement measures 

2.3.1. Implementation measures  

The  Regulation  is  binding  in  its  entirety  and  directly  applicable  in  all  Member  States. 
However,  it  provides  that  Member  States  take  certain  measures  for  the  implementation  of 
specific  provisions,  and  that  information  on  those  national  measures  should  be  published  in 
the  Official  Journal  of  the  European  Union.  Accordingly,  the  Commission  published  an 
Information  Note  on  17  January  202012  which  provides  an  updated  overview  of  measures 
taken by Member States including, inter alia, the extension of brokering and transit controls, 
the extension of controls to non-listed items for reasons of public security and human rights 
considerations,  the  introduction  of  national  general  export  authorisations,  the  application  of 
intra-EU  transfer  controls  for  non-listed  items,  as  well  as  information  relating  to  competent 
authorities.  This  ensures  that  exporters  have  access  to  comprehensive  information  on  the 
applicable  legal  provisions,  and  supports  the  consistent  and  effective  implementation  of 
controls throughout the EU. 

2.3.2. Enforcement measures  

According  to  information  made  available  to  the  Commission,  there  have  been  no  new 
developments in 2020. The list of national enforcement measures published together with the 
2019 annual export control report13 therefore remains valid. 

3. 

ACTIVITIES OF THE DUAL-USE COORDINATION GROUP 

The Dual-Use Coordination Group (DUCG) brings together experts from the Commission and 
Member States to examine any issue concerning the application of export controls with a view 

9 OJ L 29, 31.1.2020, p. 7 (“Withdrawal Agreement”).   
10 Article 5(4) of the NI Protocol and section 47 of annex 2 to that Protocol. 
11 DUeS is a secure and encrypted electronic system hosted by the Commission, to support the enhanced 
exchange of information between competent authorities and the Commission as provided for by Article 19 of the 
Regulation. 
12https://trade.ec.europa.eu/doclib/docs/2020/january/tradoc_158576.pdf  
13https://trade.ec.europa.eu/doclib/docs/2020/october/tradoc_158962.pdf  

4 

 
 
 
 
 
                                                 
to  practically  improving  their  consistency  and  effectiveness  throughout  the  EU.  The 
Regulation requires the Commission to submit an annual report to the European Parliament on 
the activities, examinations and consultations of the DUCG.  

The DUCG held seven – mostly virtual - meetings in 2020, confirming its function as a forum 
for consultations on a number of topical issues described here.  

3.1. 

Consultations on implementation issues - general information exchange 

The DUCG conducted general information exchanges on export control issues, including in 
support of the legislative modernisation of EU export controls explained above.  

The DUCG exchanged information regarding national implementing measures and prepared 
the update of the official information notice on national measures.14 

With  regard  to  Brexit  the  DUCG  not  only  contributed  to  the  development  of  the  IT  tool 
supporting  information-exchange  for  the  application  of  controls  under  the  Northern-Ireland 
Protocol  but  also  reviewed  changes  to  licensing  requirements  and  contributed  to  the 
preparation of an updated "readiness notice"15 on dual use for the attention of exporters.  

The DUCG conducted a licensing data collection exercise on 2019 data in order to enhance 
information  exchange  between  Member  States  -  especially  regarding  the  collection  of  data 
under global and general export authoritisations - and to increase public transparency on EU 
dual-use export controls (EU 2019 aggregated  data was used in the preparation of this annual 
report).  

The DUCG conducted a  technical exchange of  information on the application of controls 
on cyber-surveillance technologies in 2019.  

The data collected from Member States shows a decrease in the number of licences (see Table 
1), with a total of 44 licenses for listed cyber-surveillance items16 issued in 2019. In the same 
period, 81 denials were issued for cyber-surveillance items.  

14 The updated information notice was published on 17 January 2020, OJ Notice 2020/C16/4. 
15 https://ec.europa.eu/info/publications/dual-use-export-control  
16 Mobile telecommunications equipment, internet surveillance systems, intrusion software. 

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180

160

140

120

100

80

60

40

20

0

5A001.f

5A001.j

4A005, 4D004, 4E001 a/c

2014

2015

2016

2017

2018

2019

Table 1: Number of individual licences for listed cyber-surveillance items. 

The  DUCG  decided  to  continue  efforts  to  monitor  the  implementation  of  controls,  and 
initiated the exchange of information on the application of controls in 2019. The "Surveillance 
Technology Expert Group" (STEG) continued to exchange ad hoc information. 

3.2. 

Technical exchange of information – implementation issues  

The DUCG provided support to the preparation of updates to the EU control list and engaged 
in discussions on a number of specific implementation issues such as to enhance information 
exchange under EU  General  Export Authorisations (EUGEAs), information exchange under 
global  licences  or  the  development  of  a  consultation  mechanism  between  competent 
authorities concerning information on exporters using global licences. 

3.3. 

EU Guidelines on Dual-Use Export Controls 

The  DUCG  worked  on  the  preparation  of  a  revised  version  of  the  2016  “EU  Guidelines  on 
dual-use export controls” which reflects improvements to the DUeS, in particular insofar as it 
supports information exchange and consultations between competent authorities.  

The Technical  Expert Group on the development  of  guidelines  for dual  use research (TEG-
DUR) held six meetings in 2020 and prepared a draft guidance on research involving dual-use 
items. A public consultation17 was held in October-November 2020, attracting 54 responses. 
The TEG DUR submitted the draft final guidance to the DUCG for consideration early 2021. 
The guidance was adopted as a Commission Recommendation in September 202118. 

3.4. 

Electronic exchange of information between competent authorities 

The Commission,  supported by the DUCG, continued to  develop  the Dual-use e-System.  In 
the course of 2020, the DUCG agreed on specific improvements to the DUeS: 
• 

functionalities supporting denials notifications under Article 13(5) of the Regulation  

17 https://trade.ec.europa.eu/consultations/index.cfm?consul_id=292  
18 https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=OJ:L:2021:338:FULL&from=EN  

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• 

• 

• 
• 

• 

functionalities supporting bilateral consultations between competent authorities under 
Article 11 and Article 13(5) of the Regulation; 
preparations  for  a  new  functionality  to  support  information-exchange  on  denials 
concerning intra-EU transfers; 
preparations for a functionality to support consultations under global licences; 
the list of items in the DUeS was updated to reflect the 2020 update of the EU control 
list; 
a new functionality to support information exchange with the UK competent authority 
under the Northern Ireland Protocol at the end of the transition period.   

The  DUCG  continued  to  support,  through  a  dedicated  Technical  Expert  Group,  the 
development  of  an  "electronic  licensing  platform",  which  can  be  used  by  competent 
authorities. The TEG on e-licensing continuously liaised with experts from the Member States 
and  supported  the  "eLicensing  pilot  project",  which  plans  to  deploy  the  eLicensing  tool  in 
Latvia,  Romania,  Italy,  Greece  and  the  Wallonia  Region  of  Belgium  in  the  course  of  2021. 
The deployment of this electronic system will allow national competent authorities to manage 
the whole authorisation  process  in  a  completely  paperless  format  and with the effectiveness 
and  efficiency  which  is  typical  of  modern  eletronic  systems.  This  will  also  allow  economic 
operators  and  competent  authorities  to  minimise  the  administrative  burden  related  to  the 
authorisation of dual-use items.   

The DUCG also initiated discussions regarding the integration of dual-use eLicensing systems 
with the Commission’s customs’ Single Window initiative under the “CERTEX” project. This 
integration will allow an automated check of the authorisation for the export of dual-use items 
once  an  exporter  indicates  that  the  dual-use  goods  being  exported  are  covered  by  an  export 
authorisation issued by an EU competent authority.  

3.5.  EU Dual-use Pool of Experts 

In 2020, the EU Dual-use Pool of Experts operated by Commission’s Joint Research Centre 
(JRC)  and  experts  made  available  by  Member  States  continued  to  provide  support  to 
competent  authorities  requesting  technical  advice  to  support  the  assessment  of  specific 
licensing cases.  In total, technical advice on commodity classification was provided on nine 
occasions to six competent authorities over the reporting period.  

3.6. 

Implementation and enforcement 

The  DUCG  exchanged  information  on  the  implementation  and  enforcement  of  controls. 
According  to  available  data,  the  EU  export  control  network  –  comprising  staff  in  Member 
States’  licensing  competent  authorities  and  the  Commission  –  consisted  of  over  360  staff. 
With  respect  to  enforcement,  144  breaches  of  export  control  regulations  were  recorded  in 
2019 while eight administrative penalties and 16 criminal penalties were applied by national 
law enforcement authorities. 

3.7.  Capacity building 

In  2020,  the  DUCG  supported  the  organisation  by  the  Commission's  JRC  in  collaboration 
with  the  US  Department  of  Energy  of  the  13th  JRC-National  Nuclear  Security  Agency 
(NNSA) virtual technical seminar on 15 September and 5 October 2020.  

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3.8.  Transparency and dialogue with industry and academia  

With support of the DUCG an Export Control Forum was organised in a virtual format on 11 
December 2020, jointly with the German Presidency of the Council of the EU. This provided 
an  opportunity  to  exchange  views  on  the  implementation  of  EU  export  controls  and  the 
legislative process for a modernisation of EU export controls with more than 800 industry and 
civil  society  stakeholders19  from  industry  associations,  dual-use  companies,  academia  and 
civil  society organisations in  light  of the co-legislator's agreement on a new regulation. The 
virtual format allowed a far wider participation than has been possible in the past in a physical 
setting.  

Apart  from  the  support  of  outreach  activities  of  the  Commission,  the  DUCG  also  prepared 
documentation  to  support  exporters'  implementation  of  the  regulations.  In  particular,  a 
"Comprehensive Change Note Summary 2020"20 summarises the amendments to Annex I of 
the Regulation to implement the changes in the control lists of the various international fora 
on non-proliferation regimes. 

4. 

EU EXPORT CONTROLS – KEY DATA  

It is difficult to obtain reliable information on overall dual-use exports (including non-listed 
dual-use  items)  as  there  is  no  corresponding  defined  economic  sector.  However,  the 
Commission and Member States collect data that allow for approximate estimates of exports 
of dual-use goods based, on the one hand, on specific licensing data collected by competent 
authorities and, on the other hand, on statistics for customs commodities which include dual-
use  goods.  2019  export  data  estimates  are  presented  below.  It  should  be  noted  that  the 
estimates  presented  do  not  include  services  nor  intangible  technology  transfers  associated 
with the trade in dual-use goods.  

4.1. 

EU dual-use trade: items and destinations  

In 2020, the Regulation primarily applied to the export of about 1884 dual-use items listed in 
Annex  I  (the  "EU  Control  List")  and  classified  in  10  categories  (Figure  1).  These  dual-use 
items relate to circa 1000 customs commodities, including chemicals, metals and non-metallic 
mineral  products,  computers,  electronic  and  optical  products,  electrical  equipment, 
machinery,  vehicles  and  transport  equipment,  etc.  and  typically  fall  at  the  high–tech  end  of 
this large, mixed commodity area.  

19 https://trade.ec.europa.eu/doclib/docs/2020/december/tradoc_159148.pdf  
20 https://trade.ec.europa.eu/doclib/docs/2020/october/tradoc_158972.pdf 

8 

 
 
 
                                                 
 
Figure 1: Number of dual-use entries listed in the ten Categories of Annex I further to the adoption of Regulation 
(EU) 2020/1749. 

Statistical estimates of the relative importance of dual-use trade indicate that dual-use exports 
represent  about  2.3%  of  EU27  total  exports  (intra  and  extra-EU),  within  a  broad  ‘dual-use 
export domain’21 of customs commodities that may include, to varying degrees, certain dual-
use items (Figure 2). This would put the value of dual-use trade at € 119 billion in 2019.  

Figure 2: Statistical estimates of dual-use intra and extra-EU exports. 

Statistical  estimates also  show the main export destinations and indicate that  a large part of 
the  dual-use  exports  are  directed  towards  countries  listed  on  Union  General  Export 

21 The statistical methodology developed by the Commission's Joint Research Centre makes use of a correlation 
table, developed by DG TAXUD, between dual-use classification numbers and customs codes and of Eurostat’s 
COMEXT data, as well as of licensing data  provided by  EU27 Member States.  The notion of  dual-use export 
domain refers to a large  mixed commodity area,  which includes dual-use items. Trade in dual-use items takes 
place  within this commodity  area, but is not identical to it,  since by  far, not all of the commodities  within the 
dual-use export domain are really dual-use.  

9 

 
 
 
 
 
                                                 
 
Authorisations (EUGEAs). The destination countries reflect the EU export market structure in 
the relevant commodities as well as trade facilitation under EUGEAs (Figure 3 and 4)22.  

Figure 3: EU dual-use export estimates: top 25 export destination countries and their sub-regions in 2019. 

22 "Stores and provisions extra" are defined as delivery of ships' and aircrafts' stores. ”Miscellaneous –countries 
not  specified  extra”  includes  countries  and  territories  not  specified  within  the  framework  of  trade  with  third 
countries (i.e., these codes are usually used for goods delivered for offshore installations). 

10 

 
 
 
 
                                                 
Figure 4: EU dual-use export estimates: destination countries by regions and sub-regions in 2019. 

4.2. 

EU dual-use licenses: applications, authorisations, denials  

In light of Article 19(2) of the Regulation, which stipulates that "Member States shall take all 
appropriate  measures  to  establish  direct  cooperation  and  exchange  of  information  between 
competent authorities with a view to enhance the efficiency of the Community export control 
regime",  the  DUCG  has  exchanged  licensing  data  and  information  in  order  to  improve  the 
understanding  of  export  controls  and  their  economic  effect.  Some  data  collected  for  the 
reporting  period  is  reported  below;  it should  be noted,  however,  that  not  all  Member  States 
collect  all  data.  The  information  provided  below  thus  represents  approximate  estimates  of 
aggregate  quantities  and  values  within  the  limits  of  the  data  made  available  by  Member 
States. 

The total value23 of applications reached EUR 40 billion and controlled dual-use exports thus 
represented  2.2%  of  total  extra-EU27  exports.  Authorised  dual-use  trade  amounted  to  EUR 
31.5  billion,  representing  1.7%  of  total  extra-EU27  exports,  with  a  majority  of  transactions 
authorised  under  individual  licenses24  (around  20,300  single  licenses  issued  in  2019)  and 
global licenses25 (by their value). Only a small portion of exports were actually denied: 603 
denials  were  issued  in  2019,  representing  about  0.89%  of  the  value  of  controlled  dual-use 
exports in that year, and 0.02% of total extra-EU27 exports.  

23 This figure includes value for licence applications and notifications under General Export Authorisations. 
24  Individual  licenses  are  licenses  granted  to  one  specific  exporter  for  one  end-user  or  consignee  in  a  third 
country and covering one or more dual-use items. 
25 Global licenses are licenses granted to one specific exporter in respect of a type or category of dual-use items 
which  may  be  valid  for  exports  to  one  or  more  specified  end-users  and/or  in  one  or  more  specified  third 
countries. 

11 

 
 
 
 
 
                                                 
 Figure 5: Volume (number) of authorisations and denials in 2014-201926. 

Figure 6: Value (mln EUR) of authorisations and denials in 2014-2019.  

26  In  Figures  5  and  6,  "Applications"  data  include  all  applications  for  licenses,  including  notifications  under 
general  authorisations,  thus  providing  an  indication  of  "controlled  exports",  i.e.  the  value  of  extra-EU  exports 
subject  to  an  authorisation  process.  In  cases  where  no  application  data  is  available,  the  charts  make  use  of 
authorisation  data  as  estimate  for  application  data.  "Authorisations"  data  refers  to  dual-use  exports  authorised 
under  individual  and  global  licences.  It  should  be  noted  that  applications  do  not  necessarily  correspond  to  the 
sum of authorisations and denials, as a number of applications may be cancelled and some applications may not 
be finalised within the same year. "Denial" refers to the volume and value of denied exports. Differences in data 
that indicate a decline in comparison to the previous years are due to Brexit and the fact that UK did not provide 
data for 2019. 

12 

 
 
 
 
                                                 
Authorised Export Volume by License Type in 2019

EU General Export Authorisation

17%

National General Export Authorisation

4%

Brokering authorisation

Transit authorisation

License under a national control measure

License for non-listed items

Intra-EU transfer license

Global license (Annex I)

Individual license (Annex I)

0%

0%

1%

1%

1%

3%

0

5.000

10.000

15.000

20.000

25.000

73%

Figure 7: Volume (number) of authorisations per type of licence in 2019. 

Authorised Export Value by License Type in 2019

EU General Export Authorisation

13%

National General Export Authorisation

2%

Brokering authorisation

Transit authorisation

0%

0%

License under a national control measure

5%

License for non-listed items

1%

Intra-EU transfer license

3%

Global license (Annex I)

Individual license (Annex I)

35%

41%

0

5.000

10.000

15.000

20.000

Figure 8: Value (mln EUR) of authorisations per type in 2019. 

13 

 
 
 
 
 
 
 
 
5. 

 WAY FORWARD 

The  new  Regulation  and  the  resulting  system-upgrade  brings  about  substantive  changes  to 
export control in the EU which is generating considerable preparatory work and actions to be 
taken by the Commission and Member States to make the most of the full  potential that the 
new Regulation offers. These include:  

 

the  new  Regulation  provides  that  "the  Commission,  in  close  consultations  with  the 
Member  States  and  stakeholders,  should  develop  guidelines  to  support  practical 
applications  of  controls",  and  specifically  calls  for  guidelines  on  transparency  of 
licensing decisions and on exports of cyber-surveillance items;  

  calls  from  industry  regarding  guidelines  on  e.g.  technology  transfers  and  cloud 

computing will also have to be addressed;  

 

 

 

in  order  to  implement  new  information-sharing  and  transparency  provisions  that  call 
for  the  development  of  information  exchange  between  the  Member  States  and  the 
Commission, and for high-levels of transparency, including through the publication of 
the 
an  annual  report 
Commission is, in particular, mandated to adopt guidelines for annual reporting. It is 
also developing IT tools to support the related data exchange;  

licensing  decisions, 

including  detailed 

information  on 

the  new  Regulation  recognises  enforcement  as  a  key  dimension  of  effective  export 
control policies and calls in particular for the creation of an enforcement coordination 
mechanism;  

finally the Commission with the support of Member States will work on developing an 
EU  capacity-building  and  training  programme  for  Member  States  licensing  and 
enforcement  authorities  and  deepen  dialogues  with  third  countries  to  promote  the 
global convergence of controls. 

The Commission invites the European Parliament and the Council to take note of this report. 

14