Commission Recommendation (EU) 2024/214 of 10 January 2024 on guidelines setting out the methodology for data gathering and processing for the preparation of the annual report on the control of exports, brokering, technical assistance, transit and transfer of dual-use items pursuant to Regulation (EU) 2021/821 of the European Parliament and of the Council
Date: 2024-01-10
Institutions: Directorate-General for Trade and Economic Security, European Commission
Subjects: activity report, data collection, dual-use good, export (EU), export licence, export monitoring, intra-EU trade, technical cooperation, transit








L_202400214EN.000101.fmx.xml












Official Journal of the European Union


EN
Series L













2024/214


17.1.2024







            COMMISSION RECOMMENDATION (EU) 2024/214
of 10 January 2024
         
on guidelines setting out the methodology for data gathering and processing for the preparation of the annual report on the control of exports, brokering, technical assistance, transit and transfer of dual-use items pursuant to Regulation (EU) 2021/821 of the European Parliament and of the Council


THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 292 thereof,


Having regard to Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (1) (‘the Regulation’), and in particular Article 26(2) thereof,

Whereas:







(1)


The Regulation sets up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items.












(2)


Through the Regulation, the Union demonstrates its commitment to maintaining robust legal requirements with regard to dual-use items, as well as to strengthening the exchange of relevant information and greater transparency.












(3)


Article 26(2) of the Regulation provides that the Commission shall, in consultation with the Dual-Use Coordination Group, submit an annual report to the European Parliament and the Council on the implementation of the Regulation, and on the activities, examinations and consultations of the Dual-Use Coordination Group. The Union annual report shall be public and is a key element for the transparency of EU export controls.












(4)


The Union annual report should include relevant information on the licensing and enforcement of controls under the Regulation, with due respect to the need to ensure the protection of the confidentiality of certain data, in particular where the publication of licensing data could affect national security concerns raised by Member States or jeopardise commercial confidentiality and allow non-Union suppliers to undercut restrictive licensing decisions by Member States.












(5)


For the purpose of preparing the annual report, Article 26(2) the Regulation establishes that the Commission and the Council shall make available guidelines on the methodology for data gathering and processing for the preparation of the annual report, including the determination of the types of items and the availability of enforcement data.












(6)


This recommendation describes the methodology for the collection and publication of data that the Union annual report should include.












(7)


This recommendation was the subject of extensive consultations in the Dual-Use Coordination Group in 2022 and 2023 and takes into account comments received during a public consultation held in the first quarter of 2023,





HAS ADOPTED THIS RECOMMENDATION:


It is recommended that Member States take into account the non-binding guidance provided in the Annex to this recommendation in order to fulfil their obligations under Regulation (EU) 2021/821.



Done at Brussels, 10 January 2024.


For the Commission

Valdis DOMBROVSKIS
            

Executive Vice-President






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




ANNEX

TABLE OF CONTENTS






GLOSSARY
5








INTRODUCTION
7










1.

Relevant legal provisions
8










2.

Implementation
8










3.

Data collection
9










4.

Data on dual-use items which are not classified as cyber-surveillance items according to Article 2(20) of the Regulation
9










4.1.

Types of items
9










4.2.

Information on authorisations
9










4.2.1.

Individual authorisations
9










4.2.2.

Global Export Authorisations
9










4.2.3.

National and Union General Authorisations
10










5.

Additional data for the EU annual report
10










5.1.

Overview of authorisations by their corresponding type (of licence)
10










5.2.

Registered users of National and EU General Export Authorisations
10










5.3.

Data on the use of General and Global Export Authorisations
10










6.

Denials and prohibitions
11










7.

Data on dual-use items classified as cyber surveillance items according to Article 2(20) of the Regulation
11










8.

Information on administration and enforcement
11










9.

Preparation of the EU annual report on dual-use export controls
11










9.1.

EU annual report on authorisations
12










9.1.1.

Individual authorisations
12










9.1.2.

Global Export Authorisations
13










9.1.3.

National General Export Authorisations
14










9.1.4.

Use of Global, Union and National General Export Authorisations
16










9.1.5.

Denials and prohibitions (Annex A)
18










9.1.6.

Cybersurveillance items
18










10.

Information on the administration and enforcement of controls
19










10.1.

Administration of controls
19










10.2.

Enforcement of controls
19








ANNEX A
20








CATEGORY 0 – NUCLEAR MATERIALS, FACILITIES AND EQUIPMENT
20








CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
20








CATEGORY 2 – MATERIALS PROCESSING
20








CATEGORY 3 – ELECTRONICS
20








CATEGORY 4 – COMPUTERS
21








CATEGORY 5 – TELECOMMUNICATIONS AND INFORMATION SECURITY
21








CATEGORY 6 – SENSORS AND LASERS
21








CATEGORY 7 – NAVIGATION AND AVIONICS
21








CATEGORY 8 – MARINE
21








CATEGORY 9 – AEROSPACE AND PROPULSION
22








NON-LISTED ITEMS
22








ANNEX B
23




GLOSSARY

This glossary explains or defines recurring terms used in these guidelines. The items marked with * refer to definitions from the EU dual-use Regulation (EU) 2021/821 and Regulation (EC) No 223/2009 (1). The descriptions of items without * should not be understood as legally binding definitions.






Term


Definition




Annex I, Annex II or Annex IV to the EU dual-use Regulation


Annex I, Annex II or Annex IV to Regulation (EU) 2021/821. The annexes are updated annually by means of a Commission Delegated Act. For the latest update, see https://eur-lex.europa.eu




Authorisation


The definition of authorisation in the context of the annual EU report is to be found in Article 2(12), 2(13), 2(14), 2(15), 2(16) Regulation (EU) 2021/821 and further explained in Articles 4, 6, 7, 8, 11, 12 and 13 of the Regulation:






—


Individual and global authorisations, including for large projects










—


Union and national general export authorisations










—


Authorisations for the provision of brokering service










—


Transit authorisations










—


Authorisations for the provision of technical assistance










—


Intra-Union transfer authorisations










—


Authorisations for items not listed in Annex I but subject to authorisation under ‘catch-all’










—


Authorisations under a national control measure: for items not listed in Annex I, but subject to control under national measures.








EUGEA


Union General Export Authorisation as defined in Regulation (EU) 2021/821.




Catch-all controls


Export controls for non-listed dual-use items according to the conditions especially referred to in Article 4, 5, 9 and 10 of the EU Dual-Use Regulation.




Cyber-surveillance items*


Dual-use items specially designed to enable the covert surveillance of natural persons by monitoring, extracting, collecting or analysing data from information and telecommunication systems – Article 2(20) Regulation (EU) 2021/821.




Denials/prohibitions


The definition of denials/prohibitions in the context of the annual report has to be found in Articles 3, 4, 6, 7 and 8 of the Regulation (EU) 2021/821:






—


Export denials (Article 3 and 4)










—


Denials for the provision of brokering services (Article 6)










—


Transit prohibitions (Article 7)










—


Denial for the provision of technical assistance (Article 8).








Dual-use items*


Items, including software and technology, which can be used for both civil and military purposes and includes items which can be used for the design, development, production or use of nuclear, chemical or biological weapons or their means of delivery, including all items which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices – Article 2(1).




Dual Use Regulation (also referred to as Regulation or DUR)


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




Destination


Country where the consignee is located, according to information provided by the exporter to the competent authority. Country of final destination is where the end-user is located.




Export*


Defined as following:






—


an export procedure within the meaning of Article 269 of the Union Customs Code,










—


a re-export within the meaning of Article 270 of the Union Customs Code; a re-export also occurs if, during a transit through the customs territory of the Union according to point (11) of Article 2 of the EU dual-use Regulation, an exit summary declaration has to be lodged because the final destination of the items has been changed,










—


an outward processing procedure within the meaning of Article 259 of the Union Customs Code,










—


transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the customs territory of the Union; it includes making available in an electronic form such software and technology to natural or legal persons or to partnerships outside the customs territory of the Union; it also includes the oral transmission of technology when the technology is described over a voice transmission medium – Article 2(2).








Exporter*


Any natural or legal person or any partnership that:






—


at the time when the export declaration or the re-export declaration or an exit summary declaration is accepted, holds the contract with the consignee in the third country and has the power to determine the sending of the items out of the customs territory of the Union; where no export contract has been concluded or if the holder of the contract does not act on its own behalf, exporter means the person who has the power to determine the sending of the items out of the customs territory of the Union,










—


decides to transmit software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the customs territory of the Union or to make available in an electronic form such software and technology to natural or legal persons or to partnership outside the customs territory of the Union. Where the benefit of a right to dispose of the dual-use item belongs to a person resident or established outside the customs territory of the Union pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party resident or established in the customs territory of the Union.










—


Any natural person carrying the dual-use items to be exported where these dual-use items are contained in the person’s personal baggage within the meaning of point (a) of Article 1(19) of Commission Delegated Regulation (EU) 2015/2446 – Article 2(3).








Internal Compliance Programme (ICP)*


Ongoing effective, appropriate and proportionate policies and procedures adopted by exporters to facilitate compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisations implemented under this Regulation, including, inter alia, due diligence measures assessing risks related to the export of the items to end-users and end-uses – Article 2(21).




Intra-EU transfer or transfer


Movement or transmission of a dual-use item listed in Annex IV to the EU dual-use Regulation from a supplier in one EU Member State to a recipient in another EU Member State.




Listed dual-use items


Dual-use items that are listed in Annex I to the EU dual-use Regulation.




Non-listed dual-use items


Dual-use items that are not listed in Annex I and IV to the EU dual-use Regulation and that can become subject to export controls (catch-all controls). It includes items that are (just) below the technical thresholds in Annex I to the EU dual-use Regulation.




DUCG


Dual Use Coordination Group established under Article 24 of the Regulation.





INTRODUCTION
                   (2)

With the adoption of Regulation (EU) 2021/821 (hereafter ‘the Regulation’), the EU demonstrates its commitment to maintaining robust legal requirements with regard to dual-use items, as well as to strengthening the exchange of relevant information and greater transparency. The Regulation provides for the first time that the publication of an EU annual report on the implementation of controls should include relevant information on the licensing and enforcement of controls under the Regulation, with due respect to the need to ensure the protection of the confidentiality of certain data, in particular where the transmission or publication of licensing data could affect defence, foreign policy or national security concerns or jeopardise the protection of personal and commercial sensitive information (Article 26).
Since 2013, the DUCG has developed, on a voluntary basis, a licensing data collection mechanism and supported the preparation of an annual report to the European Parliament and the Council that includes EU aggregated licensing data and other export control related information. The data collection took place on annual basis and the mechanism was progressively expanded in an effort to capture data relating to various types of authorisations and concerning the administration, implementation and enforcement of controls. It was based on a questionnaire developed in the DUCG.
These guidelines describe the new methodology for the collection and publication of data that the annual report needs to include. The methodology is to be applied by Member States’ licensing authorities (herein after also referred to also as ‘competent authorities’) – in cooperation with other authorities (such as customs) where appropriate – and the Commission for the purpose of preparing the EU annual report on dual-use export control (3), which covers all EU activities in the dual-use export control area.
The criteria for defining the methodology for data collection and for the preparation of the annual report in accordance to Article 26(2) of the Regulation shall take into account in particular the need to reduce administrative burdens and costs. Therefore, the methodology does not go beyond what is necessary in order to achieve the objectives of the Regulation, whilst ensuring an effective exchange of relevant information.
The present guidelines were prepared by a technical expert group composed by representatives of Member States’ export control authorities (4) and chaired by the European Commission DG TRADE. The guidelines also take into consideration the results of the stakeholder consultation conducted by the European Commission DG TRADE between 24 January and 28 February 2023
             (5).
These guidelines are made available for the preparation of the EU annual report concerning dual-use licensing data and apply to 2022 licensing data and onwards. In consideration of the current state of implementation of the new Dual Use Regulation, these guidelines on the methodology may be further updated and improved as needed in the future.
1.   Relevant legal provisions

Article 26(2) para. 2 specifies the information that the EU annual report needs to include in general. The first sentence sets the baseline for reporting on authorisations, denials and prohibitions: ‘the annual report shall include information on authorisations (in particular number and value by types of items and by destinations at Union and Member State levels), denials and prohibitions under this Regulation. The annual report shall also include information on the administration (in particular staffing, compliance and outreach activities, dedicated licensing or classification tools), and enforcement of controls (in particular the number of infringements and penalties)’.
The wording ‘by types of items and by destinations’ in Article 26(2) para. 2 between brackets has to be read as requiring to report authorisations by destinations and, separately, by types of items. This interpretation is considered consistent with the need to protect sensitive information under Article 26(3) and the need to avoid the risk of undercutting restrictive licensing decisions in the Union (6).

               ‘
               Information on authorisations
               ’ refers to licences for dual-use exports issued/granted by the Member States under the EU Dual Use Regulation or national laws.
With regards to denials and prohibitions, relevant figures will be reported at EU level, since the wording ‘number and value by types of items and by destinations at Union and Member State levels’ is absent in the relevant part of Article 26(2).
With regards to cyber surveillance items, the third paragraph of Article 26(2) provides that ‘the annual report shall include dedicated information on authorisations, in particular on the number of applications received by item, the issuing Member State and the destinations concerned by those applications, and on the decisions taken on those applications’.
Therefore, the annual report will feature a specific section on cyber surveillance items. It will include the number of applications received by Member States as well as the list of all destinations concerned by those applications and the Member States concerned. The wording ‘decisions taken on those applications’ is interpreted as either authorisation or denial/prohibition, and this information will be expressed as EU total figure for all the relevant cyber-surveillance items.
2.   Implementation

The Commission will aim at publishing the annual report mentioned in Article 26 of the Regulation in the first semester of the following year (reference year +1), depending on the actual availability and completeness of national data and other relevant factors.
The complete and correct transmission of data from Member States to the Commission will therefore have to be completed at the latest on 30 April every year (7).
The Commission services will review the data transmitted by the competent authorities and will prepare the annual report in consultation with the DUCG.
3.   Data collection

Under the provisions of the Dual Use Regulation, Member States will be required to submit to the Commission information on authorisations for the preparation of the annual report.
The present data collection methodology should remain sustainable over time, allowing for Member States to provide relevant information to the Commission in an efficient and cost-effective manner, that is statistically sound and with due consideration to the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. The methodology should also require minimum need for revisions, bearing in mind the regular annual updates of Annex I to the Regulation. This methodology – including the collected data – shall not be used of any other purpose than the preparation of the EU annual report in accordance to Article 26 of the Regulation.
4.   Data on dual-use items which are not classified as cyber-surveillance items according to Article 2(20) of the Regulation

4.1.   
Types of items


The classification of dual-use items in Annex I is very detailed – with over 1 800 entries, following the complete alpha-numerical classification. That is the underlying rationale that led the EU legislators to group the entries in Annex I in ‘types of items’ (Article 26(2) para. 1) for the purpose of the EU annual report.
While some of the items are easily identifiable final products – e.g. nuclear reactor (ECCN 0A001) many others are smaller parts and components of other products e.g. valves, pumps, special materials, components for integrated circuits, etc. In order to allow for the required level of transparency of public reporting while ensuring efficient and sustainable data collection over time, it was decided that the baseline for the determination of the types of items will build on the classification of dual-use items at 5-digit level while ensuring that the determination of ‘types of items’ supports the provision of meaningful information from a security, policy and trade perspective.

Annex A to the present guidelines therefore describes the list of ‘types of items’ to be used for the collection of licensing data and the preparation of the EU annual report.
Authorisations will be broken down by type of item and by relevant destinations in line with the requirements of the Regulation whilst considering the nature, purpose and characteristics of the different types of authorisations, as well as the varying practices in Member States for granting authorisations and collecting data. It is therefore necessary to adapt the relevant data collection and submission by the Member States to the Commission according to the specificities of the different types of authorisations and national practices.
This methodology also acknowledges that authorisations may refer to multiple items falling within multiple types of item.
The reference year will be the year when the authorisation was issued.
4.2.   
Information on authorisations


4.2.1.   Individual authorisations

Individual Export Authorisations, Brokering Authorisations, Technical Assistance Authorisations, Transit Authorisations, Intra-EU Transfer Authorisations, Authorisations under a national control measure and Authorisations for non-listed items will be all considered individual licences for the purpose of this methodology. Member States shall provide licensing data to the Commission accordingly.
4.2.2.   Global Export Authorisations

Mindful of the nature, purpose and characteristics of each type of authorisation, this methodology acknowledges that global export authorisations most often contain estimated or open-ended export values and are granted either for one or multiple items and a single destination or for one or multiple items for multiple destinations. As such, global authorisations lessen the administrative burden of competent authorities and exporters for similar and/or frequent transactions. In order to safeguard non-proliferation objectives, exporters are required to draft and submit an internal compliance programme in order to qualify for a global license. Because the Regulation leaves the concrete configuration of global authorisations to the Member States, different practices across Member States also apply. To the purpose of providing meaningful information to the public, while taking into account different national practices and the rationale of global export authorisations – as explained further above – Global Export Authorisations require to adapt the relevant data collection and reporting, in accordance to the tables below, as this is considered most representative and useful for public reporting. Member States will provide relevant licensing data to the Commission accordingly.
4.2.3.   National and Union General Authorisations

Mindful of the nature of each type of authorisations this methodology takes into consideration that:






—


Union General Export Authorisations (EU GEAs) are granted ex lege by the European Union to exporters who notify competent authorities while complying with the relevant pre-conditions established in the Regulation, including adoption and compliance with relevant internal compliance programmes and reporting obligations, as established by applicable national laws.










—


National General Export Authorisations are granted ex lege by the Member States to exporters who notify competent authorities while complying with the relevant pre-conditions established by applicable national laws, including adoption and compliance with relevant internal compliance programmes and reporting obligations.










—


From a non-proliferation perspective, National and Union General Export Authorisations are issued to facilitate trade of dual-use items while reducing administrative burden for exporters and export control authorities




It is therefore considered appropriate to adapt the relevant data collection and reporting methodology and Member States will provide relevant licensing data to the Commission accordingly.
The annual report by the Commission will refer to the latest publication of the EU GEAs as well as to the National General Export Authorisations as an annex of the annual report.
5.   Additional data for the EU annual report

5.1.   
Overview of authorisations by their corresponding type (of licence)


While this is not mandatory under the applicable legal provisions, it is considered useful that Member States additionally submit data on a voluntary basis on the number and value of authorisations by types of licence.
5.2.   
Registered users of National and EU General Export Authorisations


In order to provide information on exporters’ notifications in accordance to the Regulation (8), it is considered appropriate that Member States communicate information on a voluntary basis on the number of exporters that have notified or are registered with the competent authority to use Union or National general authorisations.
5.3.   
Data on the use of General and Global Export Authorisations


In light of the fact that Global Export Authorisations, Union and National General Export Authorisations are the legal basis for a high portion of the overall EU export for dual-use items, it is considered useful that Member States provide additional data on the use of such authorisations, when available.
For reasons of consistency the report by the Commission will reflect accordingly that data on authorisations is not synonymous with data that represents the use of authorisations.
This methodology takes into consideration that






—


Member States can provide this additional data on a voluntary basis.










—


For additional data on the use of Global, National and Union General Export Authorisations, Member States can decide to provide either data from customs’ statistics on actual exports or data reported by exporters, depending on actual availability (9).










—


In some cases, this data will reflect authorisations granted prior to the year of reference, as the use of the license takes place over multiple years after the authorisation has been granted.










—


In line with the provision of the Regulation Member States currently have different administrative practices on notification requirements by their exporters.




6.   Denials and prohibitions

Article 26 of the Regulation states that the EU annual report shall include information on denials and prohibition. The Regulation does not indicate that relevant data should be reported by number, value, destination at Union and Member States level. It is however considered appropriate to report the number of denials and prohibitions at EU level as well as their total value for statistical purposes, as in the current annual reporting practice.
While the value of denials is not required by the Regulation, it is considered useful that Member States communicate this data on a voluntary basis for the purpose of preparing the annual report.
7.   Data on dual-use items classified as cyber surveillance items according to Article 2(20) of the Regulation

The definition of Article 2(20) for cyber-surveillance items comprises those listed in Annex I as well as non-listed items.

Annex B describes the items listed in Annex I to the Regulation which are considered to fulfil the definition of Article 2(20). The decision as to whether a specific non-listed item meets the requirements of the legal definition must be taken on a case-by-case basis by the Member States.
Applications and authorisations for non-listed cyber surveillance items have also to included in the annual report, based on data provided by the Member States.
Applications and authorisations for other listed items can be included in the report, based on the decision of the relevant competent authority.
Member States will provide to the Commission relevant licensing data accordingly.
8.   Information on administration and enforcement

In order to comply with the transparency requirements set by the Regulation, Member States will communicate to the Commission information on:






—


Staffing in the administration (Number of licensing officers /experts working on dual-use controls)










—


Compliance and outreach activities conducted in the year (conferences, meetings with industry associations, etc.)










—


Licensing or other export control tools implemented.










—


Number of infringements occurred and penalties applied in the year (with due consideration of applicable legislation, for example on personal data protection).










—


Member States will also provide on a voluntary basis information on national annual reports published on the implementation of dual-use controls in the reference year and relevant internet sources, as available (10).




9.   Preparation of the EU annual report on dual-use export controls

The Commission will prepare the annual report based on data made available by Member States according to the methodology described in these guidelines. The report will make use of data visualisation tools and charts to ensure comparability over time.
Tables below provide examples of data tables that will be used for the preparation of the annual report.
9.1.   
EU annual report on authorisations


9.1.1.   Individual authorisations


Table 1


Publication in the annual EU report of individual authorisations (number and value) by types of items


Example














Year


Type of item


Type of Item description


Member States


Value EUR


Number of authorisations




2022


0EC1


Type of Item 1


XX


300 


3 




 


 




 


 




XY


200 


2 




 


 




Total


500 


5 




1EC2


Type of Item 2


XY


1 200 


8 




 


 




 


 




XZ


1 000 


10 




 


 




Total


2 200 


18 




2EC3


Type of Item 3


XZ


500 


5 




 


 




Total


500 


5 




Total


 


 


3 200 


28 








Table 2


Publication in the annual EU-report of individual authorisations (number and value) by destinations.


Example













Year


Destination


Member States


Value EUR (11)



Number of authorisations




2022


Brazil


XZ


500 


5 




China


XY


1 000 


10 




USA


XX


200 


2 




Total


1 700 


17 




Article 26 of the Regulation does not indicate that the annual report should include a breakdown of authorisations by their type. It is however considered useful and appropriate to report this information, based on data provided by Member States on a voluntary basis.
9.1.2.   Global Export Authorisations

Publicaton of data concerning global export authorisations (destinations and types of items) (12)


Example


Table 3


Destinations








Destination ISO ID


Member State ISO ID


Number of global authorisations issued




US


 


3 




 


2 




 


4 




 


1 




CN


 


2 




 


5 




MY


 


4 




 


3 








Table 4


Type of items








Type of items


Member State ISO ID


Number of global authorisations issued




0EC01


 


4 




 


1 




 


1 




 


4 




1EC03


 


2 




 


5 




4EC05


 


5 




 


3 








Table 5


Value of Global Export Authorisations
 (13)







Member State ISO ID


Value EUR




 


 




 


 




HU


 




NL


 




9.1.3.   National General Export Authorisations


Table 6


Destinations


Example











Destination ISO ID


Member State ISO ID


Number of national general export authorisations (14)





US


 


3 




 


2 




 


4 




 


1 




CN


 


2 




 


5 




MY


 


4 




 


3 








Table 7


Type of items


Example











Type of items code


Member State ISO ID


Number of national general export authorisations (15)





0EC01


 


4 




 


1 




 


1 




 


4 




1EC03


 


2 




 


5 




4EC05


 


5 




 


3 








Table 8


Value of National General Export Authorisations
 (16)


Example










Member State ISO ID


Value




 


 




 


 




 


 








Table 9


Publication in the annual EU-report of authorisations (number and value) by types of licences


Example
















Year


Licence Type ID


Licence Type


Data type


Member State ISO ID


Value EUR (17)



Number




2022


ID1


Individual export authorisation


Authorisations


 


100 


70 




 


200 


30 




Total


300 


100 




 




ID2


Global export authorisation (18)



Authorisations


 


200 


20 




 


100 


40 




Total


300 


60 




 




ID3


National general export authorisation


Authorisations


 


If applicable


3 




 


If applicable


4 




Total


XXX


7 




 




ID4


Union General export authorisation (19)



Authorisations


 


If applicable


8 




 


If applicable


8 




Total


XXX


16 




 




ID5


Brokering authorisation (20)



Authorisations


 


50 


10 




 


50 


3 




Total


100 


13 




 




ID6


Technical assistance authorisation (21)



Authorisations


 


700 


40 




 


100 


5 




Total


800 


45 




 




ID7


Transit authorisation (22)



Authorisations


 


80 


3 




 


50 


1 




Total


130 


4 




 




ID8


Authorisation under a national control measure (23)



Authorisations


 


50 


40 




 


50 


10 




Total


100 


50 




 




ID9


Authorisation for non-listed items (24)



Authorisations


 


100 


10 




 


50 


5 




Total


150 


15 




 




ID10


Intra-EU Transfer authorisation (25)



Authorisations


 


60 


25 




 


20 


15 




Total


80 


40 




Total


XXX


YYY




9.1.4.   Use of Global, Union and National General Export Authorisations (26)


Table 10


Use of EUGEAs by exporters

First use notifications –Example




















Year


Member State ISO 2 ID


EU001 (27)



Value (28) EUR


EU002


Value EUR


EU003


Value EUR


EU004


Value EUR


EU008


Value EUR




2022


 


4 


 


1 


 


1 


 


4 


 


4 


 




2022


 


5 


 


4 


 


2 


 


3 


 


5 


 




2022


 


7 


 


5 


 


4 


 


2 


 


6 


 




2022


 


1 


 


6 


 


5 


 


1 


 


3 


 




2022


 


2 


 


7 


 


5 


 


3 


 


2 


 




2022


 


3 


 


8 


 


3 


 


5 


 


1 


 




2022


 


8 


 


6 


 


2 


 


5 


 


4 


 




2022


 


4 


 


7 


 


1 


 


2 


 


5 


 








Table 11


Total number of exporters using EUGEAs


Example

















Member State ISO 2 ID


EU001


EU002


EU003


EU004


EU005


EU006


EU007


EU008




 


14 


 


 


 


 


 


 


 




 


20 


 


 


 


 


 


 


 




 


16 


 


 


 


 


 


 


 








Table 12


Use of National General Export Authorisations by exporters


Example












Year


Member State ISO 2 ID


Number of first-use notifications or first registrations in the year


Total number of exporters using National General Export Authorisations




2022


 


14 


 




2022


 


20 


 




2022


 


16 


 








Table 13


Additional data
 (29)
: detail by type of items


Example













Year


Member State ISO 2 ID (30)



Type of Item ref. code


Value EUR


Short description of relevant Global Export Authorisation, National General Export Authorisation or code of the EUGEAs




2022


 


0EC01


300 


 




2022


 


1EC03


1 000 


 








Table 14


Additional data
 (31)
: detail by destinations


Example













Year


Member State ISO 2 ID


Destination Country ISO 2 ID


Value EUR


Short description of relevant Global Export Authorisation, National General Export Authorisation or code of the EUGEAs




2022


 


US


300 


 




2022


 


CN


1 000 


 




9.1.5.   Denials and prohibitions (Annex A)


Table 15


Data published in the EU annual report concerning denials and prohibitions


Example










Year XXXX






Number of denials and prohibitions (EU total)





XX




The EU annual report will also indicate the relative percentage of denied transactions on the total EU dual-use authorisation value in the reference year.
9.1.6.   Cybersurveillance items


Table 16


Publication in the EU annual report of data concerning applications for cyber-surveillance items (Annex B)


Example


















 


Intrusion software


Telecommunications interception systems


Internet surveillance systems


Communication monitoring software


Forensic tools/investigative


Other (listed) (32)



Other (non-listed) (33)




Total




Destinations
 (34)






Applications received



54 


89 


76 


3 


4 



4 



 



XXX




X,Y,Z,W






Issuing Member States
 (35)



List of MS


List of MS


List of MS


List of MS


List of MS


List of MS


List of MS


 


 









Table 17



Publication in the EU annual report of data on authorisations, denials and prohibitions for cyber-surveillance items (Annex B)


Example











Year 2022 – EU





Number of denials and prohibitions issued


List of relevant MS




Number of authorisations issued


List of relevant MS




10.   Information on the administration and enforcement of controls

The EU annual report will include the following information.
10.1.   
Administration of controls


Number of staff (full-time equivalent) directly involved in the administration of controls in the EU: xx
Use of export control tools:






—



Electronic licensing system: list of Member States using an e-licensing system










—



Classification tool: list of Member States using classification tools










—



Other tools: list of Member States using other tools or software to support exporters and/or export control authorities in the application of controls




Number of outreach events organised in the referenced year: yy

Hyperlinks to national reports, as available.
10.2.   
Enforcement of controls


Number of compliance audits conducted: xx Including those conducted by customs or other agencies.
Number of infringements reported: yy
Number of administrative and criminal penalties/fines imposed: xx By any relevant national enforcement agency, in case of infringement of export control regulations.


(1)  Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164).

(2)  These guidelines concern the preparation of the EU annual report on dual-use export control, while acknowledging that Member States’ competent authorities have different practices about public reporting on a national basis.

(3)  This is without prejudice to information exchange between Member States and the Commission ‘with a view to enhance the efficiency of the Union export control regime and to ensure the consistent and effective implementation and enforcement of control throughout the customs territory of the Union’, in accordance with Article 23 of Regulation (EU) 2021/821.

(4)  The technical expert group held several meetings between February 2022 and June 2023.

(5)  https://policy.trade.ec.europa.eu/consultations/guidelines-data-collection-and-preparation-eu-annual-report-dual-use-export-controls-under_en

(6)  Combining data on authorisations by destination and by types of items in one table would very likely lead to significant violations of exporters confidentiality or could undercut restrictive licensing decisions in the EU.

(7)  EUR/USD/national currency conversion tables will be provided by the Commission’s services in early January every year.

(8)  See relevant provisions for Union General Export Authorisations ‘The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union
            ’.

(9)  Regarding data provided by exporters, Member States can submit it in line with the notification requirements by the exporters in the respective Global and National General Authorisations. In order to ensure comparability and coherence in accordance to Regulation (EC) No 223/2009, further revisions of this methodology will consider the possibility to use only customs data.

(10)  Not legally required but published for further information.

(11)  Thousand EUR.

(12)  Depending on actual availability of data from Member States.

(13)  As not all Member States require exporters to indicate a relevant value when applying for Global Export Authorisations, this table will apply as appropriate.

(14)  That include the relevant destination.

(15)  That include the relevant type of item.

(16)  If applicable according to the national practice.

(17)  Million EUR.

(18)  Based on value provided by Member States on a voluntary basis, as applicable.

(19)  Value provided by Member States on a voluntary basis.

(20)  As made available by Member States to the Commission on a voluntary basis.

(21)  See above.

(22)  See above.

(23)  See above.

(24)  See above.

(25)  See above.

(26)  According to data voluntarily made available by Member States on the use of EUGEAs.

(27)  Number of first-use notifications by exporters in the year – For all applicable EUGEAs.

(28)  Total value of export based on customs statistics or reports by exporters. According to value data as voluntarily made available by Member States on the use of EUGEAs, as applicable.

(29)  As made available by Member States on a voluntary basis on the use of Global, National General Authorisations and EU General Export Authorisations.

(30)  Only relevant Member States that have provided relevant data on a voluntary basis.

(31)  See above.

(32)  Other listed items that can be used as cyber-surveillance items.

(33)  Other non-listed cyber-surveillance items that can be used as cyber-surveillance items.

(34)  List of country codes.

(35)  When only one or two Member States are listed as issuing authorities, the Commission services will consult with the concerned authorities, and obtain a positive answer from the consulted Member States in order to report data in a way that protects confidentiality of personal or commercial information, protected defence, foreign policy or national security.





ANNEX A
Types of items according to Article 26(2) para. 2 Regulation (EU) 2021/821 (not including cybersurveillance items)

CATEGORY 0 – NUCLEAR MATERIALS, FACILITIES AND EQUIPMENT








Ref. code




Types of item





0EC1


Nuclear materials, facilities, plants and equipment




0EC2


Software for nuclear materials facilities and equipment




0EC3


Technology for nuclear materials facilities and equipment





CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT








Ref. code




Types of item





1EC1


Materials, components and structures for aircraft/aerospace




1EC2


Explosives, propellants and related equipment




1EC3.


Fibrous, filamentary materials, and production equipment




1EC4


Special metals and alloys and equipment therefor




1EC5


Nuclear related items and equipment




1EC6


Toxic chemicals, precursors, pathogens, toxins and genetically-modified organisms, related protective and detection equipment and components




1EC7


Software for special materials and related equipment




1EC8


Technology for special materials and related equipment





CATEGORY 2 – MATERIALS PROCESSING








Ref. code




Types of item





2EC1


Machine tools and systems and components for industrial equipment




2EC2


Chemical and biological manufacturing equipment




2EC3


Software for materials processing




2EC4


Technology for materials processing





CATEGORY 3 – ELECTRONICS








Ref. code




Types of item





3EC1


Electronic items and components




3EC2


Electronic assemblies, modules and equipment




3EC3


Electronic items usable in nuclear applications




3EC4


Equipment for the manufacturing and testing of semiconductor devices or materials




3EC5


Semiconductor materials




3EC6


Software for electronics




3EC7


Technology for electronics





CATEGORY 4 – COMPUTERS








Ref. code




Types of item or ‘item’





4EC1


Computers




4EC2


Software for computers




4EC3


Technology for computers





CATEGORY 5 – TELECOMMUNICATIONS AND INFORMATION SECURITY








Ref. code




Types of item or ‘item’





5EC1


Telecommunications items and equipment




5EC2


Information security and crypto-analysis items and equipment




5EC3


Software for telecommunications and information security




5EC4


Technology for telecommunications and information security





CATEGORY 6 – SENSORS AND LASERS








Ref. code




Types of item





6EC1


Optical and acoustic equipment, related components and materials; other sensors




6EC2


Lasers, related equipment and materials




6EC3


Radar systems, related equipment and components




6EC4


Software for sensors and lasers




6EC5


Technology for sensors and lasers





CATEGORY 7 – NAVIGATION AND AVIONICS








Ref. code




Types of item





7EC1


Equipment for inertial navigation




7EC2


Other equipment related to navigation and avionics




7EC3


Flight control systems




7EC4


Production equipment for navigation and avionics




7EC5


Software for navigation and avionics




7EC6


Technology for navigation and avionics





CATEGORY 8 – MARINE








Ref. code




Types of item





8EC1


Submersible vehicles and surface vessels and related marine systems, equipment and components




8EC2


Materials and equipment for marine vessels




8EC3


Software for marine




8EC4


Technology for marine





CATEGORY 9 – AEROSPACE AND PROPULSION








Ref. code




Types of item





9EC1


Aerospace engines and gas turbines (except UAV)




9EC2


UAV and propulsions therefor




9EC3


Rockets and spacecraft




9EC4


Rocket engines




9EC5


Equipment for wind tunnels, test facilities and chambers




9EC6


Software for aerospace and propulsion




9EC7


Technology for aerospace and propulsion





NON-LISTED ITEMS








Ref. code




Types of item





XEC1


Other/non-listed









ANNEX B
Cyber-surveillance items according to Article 2(20) of Regulation (EU) 2021/821







Ref. code




Cyber-surveillance items





CS1


Intrusion software




CS2


Telecommunications interception systems




CS3


Internet surveillance systems




CS4


Communication monitoring software




CS5


Forensic tools/investigative




CS6


Other listed items that can be used as cyber-surveillance items




CS7


Other non-listed cyber-surveillance items that can be used as cyber-surveillance items







ELI: http://data.europa.eu/eli/reco/2024/214/oj
ISSN 1977-0677 (electronic edition)