WHITE PAPER On options for enhancing support for research and development involving technologies with dual-use potential
Date: 2024-01-24
Institutions: Directorate-General for Research and Innovation, European Union
Subjects: EU aid, EU financing, European defence policy, European security, dual-use technology, economic policy, research and development, risk management, space research, space technology

EN 

  EN 

   EUROPEAN COMMISSION  Brussels, 24.1.2024  COM(2024) 27 final  WHITE PAPER On options for enhancing support for research and development involving technologies with dual-use potential  
 
 
WHITE PAPER ON OPTIONS FOR ENHANCING SUPPORT FOR RESEARCH AND DEVELOPMENT 
INVOLVING TECHNOLOGIES WITH DUAL-USE POTENTIAL 

This White Paper aims to launch a public consultation on EU-level research and development 

(R&D) support involving technologies with dual-use potential. In this regard, it reviews the 

current relevant EU funding programmes and assesses whether this support is still adequate 

and  strategic  in  the  face  of  existing  and  emerging  geopolitical  challenges  outlined  in  the 

European Economic Security Strategy. It then suggests options for the future in an open way 

as a basis for debate in the context of the public consultation. 

For  the  purpose  of  this  White  Paper,  "dual-use"  is  used  in  the  context  of  R&D  support  in 

relation to software and technology that has the potential to be used for both civil and military 

purposes1. The scope of R&D support involving technologies with dual-use potential is aimed 

at  addressing  the  gap  between  exclusively  civil  and  exclusively  defence  R&D  activities,  in 

particular on critical and emerging technologies. 

1.  INTRODUCTION 

The  importance  and  potential  of  exploring  ways  to  enhance  support  for  R&D  involving 

technologies with dual-use potential has been discussed in previous years. In its proposal for 

the  Horizon  Europe  Regulation  in  June  20182,  the  Commission  proposed  that  research  and 

innovation activities carried out under Horizon Europe should focus (but not exclusively) on 

civil application, while research carried out under the European Defence Fund (EDF) should 

focus exclusively on defence applications. During negotiations, the European Parliament and 

the Council amended the legal provisions, stating that research and innovation activities under 

the  Horizon  Europe  Specific  Programme3  and  the  European  Institute  of  Innovation  and 

Technology (EIT)4 should focus exclusively on civil applications. At the same time, the co-

legislators maintained provisions on defence R&D activities carried out under the EDF that 

1 This definition is consistent with the definition on dual-use items in Regulation (EU) 2021/821 of 20 May 2021 
setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-
use items: ‘Dual-use items’ means items, including software and technology, which can be used for both civil and 
military purposes. 
2 Proposal for a Regulation of the European Parliament and of the Council establishing Horizon Europe  – the 
Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, 
COM (2018) 435 final, 7.6.2018. 
3 Decision (EU) 2021/764 establishing the specific programme implementing Horizon Europe  – the framework 
programme for research and innovation. 
4 Regulation (EU) 2021/819 of the European Parliament and of the Council of 20 May 2021 on the European 
Institute of Innovation and Technology (recast) 

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focus  exclusively  on  defence  applications5  while  indicating  the  potential  for  civil-defence 

synergies. They also clarified that unnecessary duplication should be avoided. This implies that 

there  has  been  an  explicit  political  choice  from  the  co-legislators  to  treat  civil  and  defence 

research and development activities as entirely separate fields, targeting substantially different 

stakeholder  communities,  with  different  rules,  different  purposes  and  different  market 

applications. 

Acknowledging the lack of suitable instruments to facilitate cross-fertilisation between civil 

and  defence  R&D  activities,  the  Commission  has  launched  several  actions  since  2021  to 

improve  synergies  between EU programmes and  promote an EU-wide approach for critical 

technologies by making best use of EU R&D programmes.  

EU  initiatives  supporting  cross-fertilisation  between  civil,  defence  and  space  R&D 
activities 
In February 2021, the action plan on synergies between civil, defence and space industries6 
identified among its objectives the need to improve complementarity between relevant EU 
programmes and instruments in order to increase investment efficiency and the effectiveness 
of results.  Its  first  progress  report adopted in  November 2022  acknowledged the need to 
‘carry  out  a  gap  analysis  of  support  from  EU  instruments  on  the  pathway  from  R&D  to 
deployment, right through to market uptake or public procurement, with the aim to see how 
one instrument could help where the other cannot. The result of this analysis could feed into 
planning the next [multiannual financial framework].’7 

In February 2022 the Communication ‘Roadmap on critical technologies for security and 
defence’8 acknowledged that there is no framework for direct support for dual-use activities 
under existing programmes and instruments and announced that ‘in 2023 the Commission 
will review existing EU instruments and promote further ways to encourage dual-use RTD&I 
at EU level’. The Commission also analysed opportunities and constraints for strengthening 
support to technologies with dual-use potential through the EU Defence Innovation Scheme 
(EUDIS),  announced  in  this  Communication  and  launched  in  May  2022  as  part  of  the 
European Defence Fund (EDF). 

In  May  2022,  the  Joint  Communication  ‘Defence  investment  gaps  analysis  and  way 
forward’9,  announced  ‘possible  amendments  to  the  framework  for  dual-use  research  and 
innovation to improve synergies between civil and defence instruments’. In the same Joint 
Communication, ‘work on further measures (such as coordinated calls among existing EU 
instruments  and  EIB  loans)  to  support  critical  technologies  and  industrial  capacities  by 
developing strategic projects’ was outlined as necessary. 

5 Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon 
Europe  – the Framework Programme for Research and Innovation, laying down its rules for participation and 
dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013. 
6 COM(2021) 70 of 22.2.2021. 
7 SWD(2022) 362 of 10.11.2022. 
8 COM(2022) 61 of 15.2.2022. 
9 JOIN(2022) 24 of 18.5.2022. 

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In July 2022, the Commission adopted a New European Innovation Agenda10. Among the 
framework conditions for deep tech innovation, the agenda highlights that ‘leveraging the 
role  of  the  public  sector  as  a  lead  customer’  can  accelerate  the  modernisation  of  public 
services  and  strengthen  the  EU’s  industrial  competitiveness  globally.  As  a  result,  the 
Commission has opened calls to support Member States in  developing national strategies 
that boost innovation procurement, and it is also improving data collection on innovation 
procurement across the civil and defence sectors. As many critical technologies with dual-
use potential are in the digital sector, it is also important to note that the Commission’s 2023 
Report on the State of the Digital Decade11 recommends that Member States create ‘action 
plans  in  support  of  innovation  procurement  and  step  up  efforts  to  increase  public 
procurement investments in developing, testing and deploying innovative digital solutions’. 

In  March  2023,  the  Commission  and  the  High  Representative  adopted  the  EU  Space 
Strategy  for  Security  and  Defence12.  It  stresses  that  ‘space  systems  and  services  play  an 
increasing role in support of defence and security. Dual-use services provided by EU space 
programmes and by commercial entities, including New Space, will be further developed to 
increase the strategic autonomy of the EU and its Member States’ and that ‘when preparing 
the future development of the EU space programmes, the Commission will consider the long-
term defence and security user requirements (time horizon 2035), in close cooperation with 
Member States. It will consider system interoperability and piggy backing payload options 
for defence as well as security on existing or future space systems. To this end, ‘synergies 
will be encouraged through EDF, so that defence research and development can accelerate 
the  deployment  of  payloads  enabling  services  for  defence.  In  addition,  the  different 
governmental services enabled by EU space programmes will be consistently operated and 
exploited’. 

In June 2023, the Commission adopted a proposal for a Regulation establishing the Strategic 
Technologies  for  Europe  Platform  (STEP)  to  maintain  a  European  edge  over  critical  and 
emerging technologies relevant to the green and digital transitions: from computing-related 
technologies, including microelectronics, quantum computing and artificial intelligence, to 
biotechnology and biomanufacturing, and net-zero technologies. Further to increase of the 
EDF,  STEP  will  enhance  co-financing  by  EU  instruments  under  the  Cohesion  policy  in 
support of development or manufacturing of critical technologies, many of which have dual-
use potential. 

The Joint Communication on the European Economic Security Strategy13 adopted on 20 June 

2023 proposed a common European approach to economic security, including by de-risking 

and promoting a technological edge in critical sectors. The strategy sets out three priorities: 

promoting  the  EU’s  own  competitiveness;  protecting  it  from  economic  security  risks;  and 

partnering  with  the  broadest  possible  range  of  countries  who  share  the  EU’s  concerns  or 

interests  in  economic  security.  It  aims  to  build  the  EU’s  economic  security  and  make  its 

economy more resilient, including by maintaining and growing our technological edge over 

10 COM(2022) 332 of 5.7.2022. 
11 https://digital-strategy.ec.europa.eu/en/library/2023-report-state-digital-decade 
12  Joint  Communication  to  the  European  Parliament  and  of  the  Council  ‘European  Union  Space  Strategy  for 
Security and Defence’, JOIN(2023) 9 final. 
13  Joint  Communication  to  the  European  Parliament,  the  European  Council  and  the  Council  on  ‘European 
Economic Security Strategy’, JOIN(2023)20 final. 

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technologies that are critical for EU economic security. These technologies often have a dual-

use potential: they underpin technologies relevant for many fields in both civil and defence 

domains.  In  October  2023,  the  Commission  presented  its  Recommendation14  on  critical 

technology areas and launched a joint risk assessment with Member States. 

In  the  Joint  Communication,  the  Commission  committed  to  reporting  on  options  to  ensure 

support for R&D involving technologies with dual-use potential, after reviewing the scope of 

existing instruments. The design of parameters in EU funding conditions for R&D involving 

technologies  with  dual-use  potential  should  enable  their  quicker  market  uptake  in  the  EU, 

whether for commercial purposes, Member States’ government needs (civil or defence), or for 

EU-level infrastructures. 

The EU may therefore have an important role to play in providing targeted support to dual use, 

on  the  pathway  from  R&D  to  deployment,  right  through  to  market  uptake  or  public 

procurement. Support measures can further build on the potential of synergies under STEP and 

an enhanced  coordination with  dual-use programmes of other EU organisations  such as the 

Strategic European Security Initiative (SESI) of the European Investment Bank (EIB)15, seeing 

how best one European instrument could help where the other cannot and aiming to support 

critical technologies and industrial capacities by developing strategic projects. 

In  November  2023  President  von  der  Leyen  asked  to  maximise  the  EU dual  use  potential: 

‘While we strengthen our defence-specific research and development, we should also better 

integrate  civilian  technologies  in  our  defence  industrial  base…  There  is  so  much  vital 

innovation with defence applications that emerges from civilian activities. It is now important 

that we connect the dots. And for this, the Commission will set out options in a White Paper on 

dual-use research.’16 

14 Commission Recommendation C(2023) 6689 of 3.10.2023 on critical technology areas for the EU’s economic 
security for further risk assessment with Member States. 
15 See also the European Council Conclusions of 14-15 December 2023 that call ‘for an enhanced role of the 
European Investment Bank Group in support of European security and defence, building on the bank’s Strategic 
European Security Initiative’. 

16  Keynote  speech  by  President  von  der  Leyen  at  the  EDA  Annual  Conference  2023:  Powering  up  European 
Defence, 30.11.2023. https://ec.europa.eu/commission/presscorner/detail/en/SPEECH_23_6207 

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2.  OPPORTUNITIES AND CHALLENGES 

The debate on opportunities and challenges for enhancing direct support for R&D involving 

technologies  with  dual-use  potential  in  EU  programmes  has  gathered  momentum  in  recent 

years.  This  could  represent  an  opportunity  to  further  strengthen  and  improve  the 

competitiveness and resilience  of the European  scientific and  technological  bases. It  should 

also boost startups and small and medium-sized enterprises (SMEs) engaged in technological 

innovation. Civil-defence synergies have the potential to create new market opportunities for 

companies working in various industrial ecosystems and bolster the economy at large.  

The action plan on synergies between civil, defence and space industries17 recognised that it is 

in  many  instances  difficult  to  draw  a  clear  line  between  civil  and  defence  R&D.  While  in 

fundamental  research  (low  Technology  Readiness  Levels  (TRLs))  the  future  fields  of 

application  of  research  results  are  not  always  known  at  the  beginning  of  the  project 

(‘application agnostic’), medium and high TRL R&D could develop technologies with dual-

use potential immediately, with non-substantial or more substantial adaptations, even if these 

technologies  are  originally  intended  for  purely  civil  or  defence  applications.  Conversely, 

defence  R&D  may  have  civil  applications,  also  with  adaptations  where  needed.  There  is 

therefore a clear potential for cross-fertilisation between civil and defence R&D.  

2.1. Problem definition 

Technologies used in the context of security and defence capabilities increasingly originate in 

the civilian domain, where private sector investments are higher, indirect costs are lower and 

R&D cycles faster. In the EU, synergies between EU programmes and instruments should be 

further pursued to elaborate on unexploited potential for spin-out from civil R&D to deliver 

defence applications and from defence R&D to generate civil applications. 

An important challenge is the lack of a common conceptualised definition of ‘dual use’ in the 

context of R&D support, either internationally or at EU level. This lack of definition creates 

problems.  For  example,  the  European  Investment  Bank  (EIB)  uses  a  definition18  it  has 

developed for banking purposes, whereby the majority of the promoter’s expected revenue will 

come  from  civilian  applications.  For  its  part,  the  EU  has  not  defined  the  concept  of 

“technologies with dual-use potential” in its funding programmes. As a result, it has proven 

17  Communication  from  the  Commission  to  the  European  Parliament,  the  European  Council,  the  Council,  the 
European Economic and Social Committee and the Committee of the Regions, Action Plan on synergies between 
civil, defence and space industries, COM(2021) 70 of 22.2.2021. 
18 Available here: Strategic European Security Initiative (eib.org) 

5 

 
 
 
difficult to have a common reference scope with the EIB to prepare joint investments focused 

on technologies with dual-use potential. 

The  Regulation  on  dual-use  export  control19  provides  a  definition  of  dual-use  items  and 

includes a list of several hundred dual-use items (and technical specifications) that covers not 

only  tangible items  but also  intangible items  such as software or technology in  the form  of 

technical data or technical assistance. This list reflects agreement within the multilateral export 

control regimes and is updated each year. In addition, this framework can be complemented by 

national measures for non-listed dual-use items for public security or human rights concerns. 

This definition is designed in the context of export control and its specific goal is to avoid civil 

technology being misused or diverted for military purposes by countries, governments or non-

governmental bodies to undermine peace or security or in connection with internal repression 

or  serious  violations  of  human  rights  and  international  humanitarian  law.  Therefore,  this 

definition may be adapted to define the scope of activities to be funded by the EU. Further 

work could be engaged by the Commission, in close coordination with the EIB group and other 

financial institutions to elaborate a common definition of “dual-use”. 

In light of the consultative nature of this Paper, the Commission invites respondents to share 

their views on what elements can constitute the building blocks of a definition of technologies 

with dual-use potential, which could be useful in order to promote inter alia transferability from 

civil to defence and vice-versa as well as joint investments with other partners, such as the EIB 

Group. 

In addition, the EU continues to struggle to ensure the swift exploitation and market uptake of 

the results of R&D investments in the EU, including in technologies with dual-use potential. 

Innovations with great potential are often exploited in other parts of the world where the quest 

for game-changing innovation has become a pressing priority, leading to the development of 

organisations  and  doctrines  set  up  to  expressly  exploit  dual-use  potential  for  the  benefit  of 

defence. In Europe on the contrary, the results of dual-use innovation, i.e. the transformation 

of ideas and knowledge into new or improved products, processes and services for military and 

commercial  use,  often  do  not  reach  successful  commercialisation  for  different  reasons, 

including  lack of first customers, especially in the public sector, and need for more targeted 

R&D. Among other factors, underinvestment in innovation procurement hampers not only the 

modernisation  of  European  infrastructures  with  new  capabilities  provided  by  innovative 

19 Regulation (EU) 2021/821 of 20 May 2021 setting up a Union regime for the control of exports, brokering, 
technical assistance, transit and transfer of dual-use items. 

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technologies,  but  also  stifles  the  competitiveness  of  European  industry20.  Innovation 

procurement is very pertinent for technologies with a dual-use potential, which need a vibrant 

home market to enable their uptake into systems and products in the civil and defence sectors. 

2.2. Objectives 

The overall objective of this White Paper is to explore options to improve the integration and 

cross-fertilisation of civil and defence technologies in the European industry. It will do this by 

pursuing  the  better  use  and  exploitation  of  project  results  and  identifying  actions  to  allow, 

where applicable, dual-use results from civil R&D activities for defence applications and from 

defence R&D activities for civil applications.  

3.  BASELINE: THE CURRENT LEGISLATIVE FRAMEWORK 

According to Article 182 of the Treaty on the Functioning of the European Union, all research 

and  technology  development  activities  of  the  EU  are  set  out  in  a  multiannual  framework 

programme.  While  the  Horizon  Europe  Specific  Programme21  focuses  exclusively  on  civil 

applications22, defence research activities are carried out under another specific programme of 

Horizon Europe with an exclusive focus on defence R&D with its own rules of participation, 

budget, eligibility conditions and governance fixed in the EDF Regulation23. 

The Horizon Europe Regulation refers to potential synergies with the EDF that could benefit 

civil and defence research, while avoiding unnecessary duplications. At the same time, the EDF 

Regulation explicitly states that ‘positive spill-over effects to the civilian sector can also be 

expected, where applicable’24 and that ‘the Commission will take into account other activities 

financed  under  Horizon  Europe  […]  in  order  to  avoid  unnecessary  duplication  and  ensure 

cross-fertilisation and synergies between civil and defence research’25. 

20 See the results of the Commission benchmarking of innovation procurement investments and policy frameworks 
(https://digital-strategy.ec.europa.eu/en/library/benchmarking-innovation-
2023 
across  Europe,  March 
procurement-investments-and-policy-frameworks-across-europe) 
21 Council Decision (EU) 2021/764 of 10 May 2021 establishing the Specific Programme implementing Horizon 
Europe – the Framework Programme for Research and Innovation, and repealing Decision 2013/743/EU. 
22 Article 7(1) of Regulation (EU) 2021/695 of the  European Parliament and of the Council of 28 April 2021 
establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for 
participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013. 
23 Regulation (EU) 2021/697 of the European Parliament and of the Council of 29 April 2021 establishing the 
European Defence Fund and repealing Regulation (EU) 2018/1092. 
24  Recital  35  of  Regulation  (EU)  2021/697  of  the  European  Parliament  and  of  the  Council  of  29  April  2021 
establishing the European Defence Fund and repealing Regulation (EU) 2018/1092. 
25  Recital  33  of  Regulation  (EU)  2021/697  of  the  European  Parliament  and  of  the  Council  of  29  April  2021 
establishing the European Defence Fund and repealing Regulation (EU) 2018/1092. 

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3.1. Civil R&D with dual-use potential 

While the Horizon Europe Specific Programme can support R&D activities with an exclusive 

focus on civil applications, the results can have a dual-use potential, for example in areas such 

as  digital,  cybersecurity,  energy,  mobility,  health,  materials,  and  space,  and  therefore  for 

potential applications in the field of defence. However, the selection of projects is restricted to 

those  projects  that,  while  developing  technologies  with  dual-use  potential,  target  only  civil 

applications.  As  soon  as  a  proposal  includes  a  defence  application,  it  should  not  be  funded 

under the requirements of the Horizon Europe Specific Programme.26  

As a consequence, defence industry stakeholders cannot access capital and services provided 

through  Horizon  Europe  for  any  activity  having  a  defence  application  (notably  through  the 

European  Innovation  Council  Accelerator  funding  programme)  and  defence  ministries  or 

agencies are unable to apply for innovation procurement funding provided by Horizon Europe 

for  such  activities.  Although  stakeholders  from  the  defence  sector  are  not  automatically 

excluded from funding from the Horizon Europe Specific Programme, their participation can 

be justified only if their R&D activities in a project focus exclusively on civil applications.  

3.2. Defence R&D with dual-use potential 

The EDF provides financing for collaborative defence R&D projects for defence applications. 

The development of technologies with an exclusive focus on future military applications differs 

from technologies with a civil focus as they target operational military needs, and the ultimate 

customers are ministries of defence. Project results are often subject to export control and to 

the  classification  of 

information  during  project 

implementation  where  appropriate. 

Nonetheless, there are already several examples of funded actions that have clear potential for 

an application in the civil sector and can help strengthen the scientific and technological bases 

of  the  civil  sector.  While  being  exclusively  focused  on  defence,  projects  supported  by  the 

European  Defence  Fund  can  also  have  relevant  civilian  applications  (therefore  a  dual-use 

dimension). 

EDF-funded projects as well as projects in civil security or space research under the Horizon 

Europe Specific Programme include partially classified information and have specific security-

based eligibility conditions at the level of entities and rules to avoid technology leakage. The 

strategic and sensitive nature of technologies  with a dual-use potential and their application 

26 Proposals focusing on defence applications can be considered under the EDF,  according to the rules of this 
programme. 

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calls  for  closer  attention  to  security  requirements,  including  the  selection  of  projects  and 

participants,  the  demand  for  security  scrutiny  procedures  and  the  possible  classification  of 

research  results.  For  reasons  of  consistency  across  different  EU-funded  projects  and 

programmes and international cooperation initiatives, the same security-related requirements 

should arguably apply when supporting technologies with a dual-use potential. 

3.3. Review of the scope of existing instruments 

The action plan on synergies between civil, defence and space industries27 proposed the launch 

of a ‘dual use innovation incubator’ to focus on encouraging synergies, screening proposals 

and  results,  and  sharing  information  as  early  as  possible  to  identify  possible  applications, 

including in areas other than those originally intended.  

Technologies that are developed by consortia under the European Innovation Council (EIC) 

Pathfinder have low TRLs and are often ‘application agnostic’. The EIC Accelerator supports 

and invests in individual SMEs at higher TRLs to fill the financing gap at the innovation stage 

and help them successfully scale up. The support comprises a grant component and an equity 

component. The equity component is decided by the EIC Fund following an award decision 

from the Commission. The EIC Accelerator has supported SMEs and start-ups with promising 

technologies  and  innovation  with  dual-use  potential,  such  as  drones,  unmanned  vehicles, 

cybersecurity and AI, with an exclusive focus on civil applications. As of 2023, access to the 

EIC Transition Scheme (which provides follow-up support to develop commercial applications 

from research results) has been opened to proposals following up on results achieved through 

defence  R&D  activities  (i.e.  under  the  EDF),  on  the  condition  that  these  proposals  target 

exclusively civil applications. The size of the portfolio of dual-use projects and the potential of 

spin-off  projects  from  EU-funded  defence  research  into  civil  applications  remains  rather 

unexplored for the time being, as EU-funded defence research only started recently. 

The Commission also analysed opportunities for and constraints on strengthening support to 

technologies with a dual-use potential through the EU Defence Innovation Scheme, announced 

in the Communication ‘Roadmap on critical technologies for security and defence’ of February 

202228 and launched in May 2022 as part of the EDF. The EUDIS offers SMEs, start-ups, and 

other non-traditional defence industry actors more opportunities to access and benefit from the 

European Defence Fund.  

27 COM(2021) 70 of 22.2.2021. 
28 COM(2022) 61 of 15.2.2022. 

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EUDIS is now fully operational and delivers on the Commission’s endeavour to better connect 

civil and defence actors/technologies and capitalises on the Commission’s proven track record 

in stimulating innovation. For 2023, the calls in support of defence innovation under EUDIS 

totalled EUR 224 million. Spin-in calls proved highly successful and Commission services and 

the European Defence Agency are cooperating to continue systematically scanning results from 

civil  programmes  to  assess  defence  potential  for  future  uptake.  Especially  high  interest  has 

been registered in non-thematic calls targeting SMEs and disruptive technologies where the 

applications  have  more  than  doubled  in  comparison  with  2022.  This  high  interest  in  calls 

exclusively open to SME consortia and those focusing on disruptive technologies confirm that 

the EDF continues to be highly attractive to smaller companies and newcomers to the defence 

sector. 

The Commission will expand EUDIS further in the current multiannual financial framework 

in close cooperation with the European Defence Agency in the dedicated Defence Innovation 

Task Force, focusing on uptake of civil innovation to defence. In this regard, the Commission 

aims to fund EUDIS business accelerator, develop matchmaking services and increase business 

coaching  for  all  SMEs  participating  in  the  EDF  as  of  2024;  notably  to  facilitate  their 

introduction in the defence market. In return, it should be explored how to facilitate access to 

results  achieved  through  defence  R&D  activities  in  order  to  boost  potential  follow-up  civil 

R&D investments. 

In  addition,  the  Commission  has  funded  successful  innovation  procurement  projects  under 

Horizon  Europe  and  its  former  programmes  Horizon  2020  and  FP7.  Pre-commercial 

procurements are exempt from international public procurement agreements and can contain 

conditions that anchor the development and production of solutions in Europe. For example, 

they can be limited where needed to companies established in and controlled from Europe, or 

they can specify that the deployment of the first batch of innovative solutions in the defence or 

civil security sector is limited to contractors that participated in the preceding pre-commercial 

procurement.  

The  legal  provisions  of  the  EDF  include  the  possibility  to  support  pre-commercial 

procurements through a grant for contract authorities to jointly procure defence R&D services. 

However, so far this option has not been used. It is not possible under the EDF to go beyond 

the R&D phase, therefore the focus is on joint procurement for R&D services. Nevertheless, 

the possibilities for pre-commercial procurements for R&D services could be further explored 

under both  programmes. More generally, the Commission  could  explore  how to  facilitate a 

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smooth transition for innovations developed in either programme to be taken up by procurers 

that are deploying innovations in the civil or defence markets in order to better exploit the dual-

use potential. 

3.4. Synergies with other EU programmes and policies 

Even if they are not directly financing R&D activities, other EU programmes also have a role 

to play in terms of civil or defence applications, in particular when funding the deployment of 

technologies.  Synergies  between  programmes  that  directly  finance  R&D  projects  (Horizon 

Europe and EDF) and other EU programmes aim to support the uptake and dissemination of 

knowledge and solutions stemming from Horizon Europe and EDF projects to deliver on the 

objectives of other EU programmes (for example, the European Regional Development Fund29, 

Connecting  Europe  Facility,  Digital  Europe  Programme,  InvestEU,  Internal  Security  Fund, 

Border  Management  and  Visa  Instrument,  Space  Programme).  STEP  is  expected  to  also 

enhance co-financing by EU instruments under the Cohesion policy in support of development 

or manufacturing of critical technologies, many of which have dual-use potential. Analysis of 

the  legal  bases  of  other  EU  funding  programmes  and  instruments  shows  that  they  are  not 

designed to directly support the deployment of technologies with a dual-use potential.  

4.  POSSIBLE OPTIONS FOR THE FUTURE 

Following up and expanding on the defence-related initiatives of the Commission and High 

Representative from the last few years, especially after the Russian war of aggression against 

Ukraine,  this  White  Paper  confirms  the  continued  need  for  more  adequate  support  for 

enhancing R&D involving technologies with dual-use potential that can help develop state-of-

the-art defence capabilities in the EU. At the same time, the integration of new technologies 

developed through defence funding into the civil sector is still limited, and its potential remains 

largely  unexploited.  The  EU  institutions  continuously  need  to  explore  possible  options  to 

strengthen this cross-fertilisation in the context of R&D support involving technologies with a 

dual-use potential, while taking into account  the  fundamental  differences  between  civil  and 

military spheres.  

The geopolitical context has equally shown that defence capabilities must be accompanied by 

strong measures on civil security to protect the EU’s resilience, in particular to protect civilian 

29 If the project pursues entirely or in a prevailing part the purpose of contributing to reducing disparities and 
contributing  to  the  social  cohesion  of  the  EU,  it  is  covered  by  the  Article  174  of  the  TEU,  also  if  it  includes 
investments benefiting security or defence activities. 

11 

 
 
 
critical infrastructures, deter border related security threats, restore essential services in times 

of crisis, and address the risks of social unrest following disinformation campaigns or cyber-

attacks. As a result, increasing the EU’s resilience is a priority for both defence and internal 

security needs. 

To meet these challenges, the Commission has identified three possible options for the future 

that are presented below. Option 1 presents what more can be done based on the current set-up 

–  since  possible  measures  can  be  implemented  without  changing  the  existing  legal  bases. 

Options 2 and 3 will require different legal bases in the future.  

For Options  2 and 3, further analysis  in  line with Better Regulation  provisions (e.g. impact 

assessment, stakeholder  consultation,  etc.) will  be needed to  explore their  effects  and value 

added,  including  on:  complementarities  with  national  priorities;  attracting  potentially  new 

beneficiaries; evaluation and eligibility criteria and processes; rules of participation; openness 

of  the  programmes  to  third  countries,  including  specifically  regarding  those  associated  to 

Horizon  Europe;  and  the  decisions  on  the  delegation  (or  not)  of  powers  to  the  executive 

agencies and the corresponding staff allocations and profiles.  

Specific eligibility conditions would apply only for the purpose of supporting dual-use R&D 

activities. These would be subject to a more restrictive approach towards the use of research 

security  safeguards,  while  the  rest  of  the  programme  would  remain  largely  open.  More 

delineated  sets  of  security-based  considerations  may  therefore  be  defined  only  for  specific 

dual-use R&D activities. All options should be designed to be complementary to the specific 

programmes dedicated to R&D for civil and defence applications under the next framework 

programme  for  research  and  innovation,  while  concurring  with  the  European  Economic 

Security  Strategy’s  emphasis  on  the  need  for  more  R&D  investment  in  strategic  emerging 

technologies  to  ensure  EU  leadership  and  competitiveness.  Every  option  must  ensure 

compliance  with  the  conditions  and  procedures  set  out  by  the  restrictive  measures  adopted 

pursuant  to  Article 215 of the Treaty  on the  Functioning  of the  EU30, as well as with  other 

regulatory requirements for emerging technologies and international obligations. 

30  In  particular,  the  Commission  must  ensure  the  compliance  of  any  option  with  European  Union  restrictive 
measures  in  the  context  of  providing  financing  to  third  parties.  Against  this  backdrop,  the  Commission  must 
always seek solutions that do not breach European Union restrictive measures.  

12 

 
 
 
4.1. Option 1: Going further based on the current set-up  

This  option  would  build  on  the  current  approach  established  up  to  now  under  the  current 

multiannual financial framework, while introducing incremental improvements and leveraging 

on measures already implemented that are yet to produce their intended effects. It is the only 

one that can already be tested in the current EU funding programmes, within the limits of the 

available resources. 

Measures would build on some relevant approaches and actions that have already started, like 

the  EIC  Transition  Scheme,  the  different  strands  of  the  EU  Defence  Innovation  Scheme 

(EUDIS) under the EDF such as spin-in calls, the possibility to support dual-use companies 

with InvestEU and the introduction of an additional exploitation obligation in Europe for the 

results  of  actions  on  critical  technologies  as  in  the  case  of  COVID-19  calls  under  Horizon 

Europe. Similarly, this scenario would build on the exploitation of the results achieved through 

defence research to the benefit of civil applications, through, for instance, spin-out calls. 

Agreement  on  a  common  definition  of  ‘technologies  with  dual-use  potential’  between  the 

Commission and the European Investment Bank Group, including the EIB and the European 

Investment  Fund,  could  possibly  promote  joint  investments  in  technologies  with  a  dual-use 

potential  for  military  mobility,  green  transition,  critical  infrastructure  resilience  including 

critical communication, emerging or disruptive technologies and defence innovation, as well 

as space. Such  an agreement should be sought as  part of an overall revision  of the defence 

exclusion policy of the EIB, which hinders the potential for the Group’s joint investments. The 

Commission  and  the  EIB  Group  should  continue  to  hold  regular  exchanges  to  discuss 

opportunities  offered  by  new  EU  initiatives  for  possible  joint  action  in  a commonly  agreed 

scope. 

Measures could be implemented through modified implementation parameters where needed 

within  the  legal  provisions  of  existing  programmes,  without  putting  undue  burden  on  the 

Commission/executive  agencies  and  applicants/beneficiaries.  Such  parameters,  which  can 

already be implemented under the current legal provisions and could be further used also in 

view of further options could include: 

➢  Exploit R&D projects and results to upscale them in dual-use applications (in both civil 

and  defence  R&D)  by  using  the  existing  information  available  in  EU  databases  to 

search for such results and by monitoring ongoing R&D projects; 

13 

 
 
➢  Further develop  synergies,  such as  the upstream  exchange of information and better 

coordination  of  (parts  of)  the  work  programmes  between  civil  and  defence  R&D, 

including possibilities to support pre-commercial procurement of R&D services across 

programmes, improved  access to project results and project reporting, and dedicated 

topic-specific exchanges involving both civil and defence communities; 

➢  Consider the introduction of an additional obligation to exploit results in the EU (based 

on Article 39 of the Horizon Europe Regulation 2021/695) in relevant work programme 

parts  and  calls  that  address  critical  technology  areas  identified  in  the  Commission 

Recommendation of 3 October 2023, based on the result of collective risk assessment 

launched under the Recommendation; 

➢  Introduce a dual-use flagging mechanism (e.g. a tag at call level or a project-level label) 

to signal the additional dual-use potential as well as spin-in/spin-out calls based on the 

practice  already followed for the work programme topics under the Horizon Europe 

specific programmes; 

➢  Provide,  as  appropriate,  further  guidance  and  support  to  beneficiaries  dealing  with 

technologies that have dual-use potential. In this regard, reference is made to the EU 

guidelines  for  research  involving  dual-use  items,  to  ensure  that  risks  are  effectively 

taken into consideration by authorities and research organisations31, as well as to the 

proposal for a Council Recommendation on enhancing research security. 

Option 1 is feasible under the current multiannual financial framework. A streamlined approach 

with agreed mechanisms would however need to be further developed to systematically seek 

for synergies and cross-fertilisation between civil and defence. A better coordination between 

the related programming, for instance by sharing the respective technology roadmaps, would 

also be needed with a view to foster initiatives aiming at improving the development of civil 

and military technologies while sharing paths to a certain and appropriate extent. 

4.2. Option 2: Remove the exclusive focus on civil applications in selected parts of the 

successor programme to Horizon Europe  

This option would provide a new direction in the content and implementation of selected parts 

of the future multiannual framework programme for research and innovation.  

It could be implemented by replacing ‘exclusive focus’ with ‘focus’ only for selected parts of 

the successor programme to Horizon Europe, for example where technologies with dual use 

31 EUR-Lex - 32021H1700 - EN - EUR-Lex (europa.eu) 

14 

 
 
 
potential  are  most  prominent.  All  remaining  parts  of  the  programme  would  maintain  an 

exclusive focus on civil applications. As a result, this option would provide the opportunity 

under the successor programme to Horizon Europe to maintain key policy characteristics of 

Horizon  Europe,  such  as  the  long-standing  openness  of  Framework  Programmes  to  third 

countries in areas of mutual interest while allowing possible restrictions in the selected parts 

involving technologies with dual-use potential. 

This option would allow strategic emerging technologies to be supported independent of the 

field of application in selected parts of the programme, which would avoid discarding excellent 

proposals that do not target exclusively civil applications.  

In terms of delineation with future defence innovation actions under a successor programme to 

the EDF, this option would allow programming spin-in calls involving defence-related projects 

results directly in the successor programme to Horizon Europe, whilst in turn the successor 

programme to the EDF would provide follow-up funding for defence capability development 

of  the  most  promising  civil-related  project  results.  This  approach  would  most  likely  attract 

more industry stakeholders as potential participants in R&D projects, contributing to the cross-

fertilisation of civil and defence industries.  

On the other hand, the stakeholder community active in the civil domain might have concerns 

in relation to their participation in calls under the selected part of the Programme, where there 

would not be an exclusive focus on civil applications.  

Under this new approach, the possible impact on other programmes would need to be assessed, 

depending on the chosen areas. Furthermore, there are basic parameters that might already have 

to  be  considered,  in  particular  those  relating  to  security-based  conditions,  during  the 

preparation  of  Commission  proposals  and  based  on  experience  gained  from  other  EU 

programmes. Such parameters would include: 

➢  planning and programming of the programmes’ priorities during implementation based 

on sound mechanisms inspired by e.g. the Horizon Europe and EDF governance modes; 

➢  identification of areas with dual use potential; 

➢  budget distribution conditions for prioritisation among calls and topics; 

➢  types of interlocutors at national government level, including national ministries and 

other authorities; 

➢  complementarities with national priorities that can be scaled-up to take the results of 

EU actions further; 

15 

 
 
➢  population of potential (new) beneficiaries based on their capacities to carry out various 

types of research; 

➢  handling of sensitive and classified information submitted by applicants and generated 

by beneficiaries; 

➢  grant evaluation and eligibility criteria and processes, ethics and security reviews; 

➢  foreign control of eligible entities and control over intellectual property rights; 

➢  eligibility and categories of costs and their reimbursement; 

➢  consortia  structures,  with  choices  made  on  the  nationality  of  participants  and 

coordinators, the types of participants and the agreements that govern their relations; 

➢  rights of participants, including on the protection of intellectual property, open science 

and academic freedom; 

➢  procurement rules with specific eligibility and selection criteria; 

➢  governance modes; 

➢  safeguards to avoid leakage of sensitive technologies to destinations of concern; 

➢  implementation  mode  and  decisions  on  the  delegation  (or  not)  of  powers  to  the 

executive agencies for tasks linked to the programmes and corresponding decisions on 

staff allocations and profiles.  

Option 2 is mutually exclusive with option 3. 

4.3. Option 3: Create a dedicated instrument with a specific focus on R&D with dual-use 

potential  

This option could materialise through various forms, such as: 

➢  a specific instrument devoted to research with dual-use potential with its own budget, 

its own rules on the participation and dissemination of results, comitology/governance 

provisions, evaluation and eligibility criteria, consortia structure, etc.; 

➢  stepping  up  support  for EU  market  uptake  of  technologies  with  a  dual-use  potential 

through  a  dedicated  mechanism  or  structure  (such  as  in  the  executive  agencies  or  a 

dedicated Joint Undertaking), or through public procurement by EU-based end-users 

linked  with  EU  procurement  needs  (e.g.  IRIS2)  or  procurement  support  instruments 

(e.g.  for  customs  equipment  or  border  surveillance  equipment).  Several  sub-options 

could be envisaged depending on whether the owner/end user (‘first mover’) is an EU 

body, a national governmental body, or commercial body. The EU-added value would 

16 

 
 
need  to  be  considered  for  measures  where  the  end  user  is  at  national  level  (e.g. 

facilitating joint procurement). 

➢  planning of ‘dual-use by design’ flagship projects32 that support development of critical 

technologies, build on synergies with other EU policies and instruments and are, where 

possible implemented in coordination with the EIB dual-use programme. Such projects 

would  build  on  results  of  preparatory  work  inside  the  Commission  or  jointly  with 

Member States and put the EU as the lead customer for services of public interest in the 

defence  and  civil  domain.  Examples  may  include  technologies  for  the  future 

generations of EU space systems (in support of defence, security and environmental 

policies), EU autonomous vehicles (in support of defence and border control, maritime 

or critical infrastructure policies) or other projects of common European interest. Given 

that end-user needs can be quite different depending on the operational requirements, 

it is of paramount importance to involve relevant stakeholders from the start. 

This option would significantly increase the visibility of dual-use R&D per se, but would risk 

adding complexity to an already crowded R&D support environment. Compared to option 2, 

the budget distribution between dual-use R&D activities and exclusively civil R&D activities 

would be more clear, as it could be set out in the basic act establishing the successor programme 

to Horizon Europe. However, this would come at a cost of rigidity in resource allocation over 

the programming period. Moreover, there would be a risk of duplication that would impact the 

planning and programming of priorities between dual-use R&D activities and exclusively civil 

R&D activities, as well as with those activities carried out exclusively for defence applications 

under the successor to the EDF. There would also probably be very few cases where dual-use 

by design could be applicable without impacting the market uptake of the final product by the 

civil  or defence sector,  which typically specify  quite different  requirements  (see section 2). 

Overall,  it  is  likely  that this  option  would  bring an  additional  level  of  complexity,  both  for 

applicants - having to apply to yet another mechanism/programme with different requirements 

- and the Commission - coordinating between dual-use R&D activities and other calls, with 

different comitology and governance provisions.  

Option 3 is mutually exclusive with option 2. 

5.  CONCLUSIONS 

32  These  projects  could  also  build  on  critical  technologies  and  be  planned  in  coordination  with  the  EIB, 
implementing the announcement by the Commission in the ‘Defence Investment Gaps analysis’ Communication: 
‘The Commission will work on further measures (such as coordinated calls among existing EU instruments and 
EU loans) to support critical technologies and industrial capacities by developing strategic projects’. 

17 

 
 
 
Enhancing R&D support involving technologies with a dual-use potential at EU level offers 

both  opportunities  and  challenges.  Optimising  civil-defence  synergies  could  benefit  the 

European industry and could accelerate the uptake of research  and innovation results in the 

economy. At the same time, it is difficult to predict the dual-use potential of R&D, even when 

it is intended exclusively for civil or defence applications. The EU efforts to promote cross-

fertilisation between the  civil and defence sectors should be undertaken while keeping their 

distinctive characteristics in mind. 

In the context of the ‘promote’ dimension of the European Economic Security Strategy, the EU 

seeks to maintain a competitive edge in critical and emerging technologies relevant to the green 

and  digital  transitions,  including  by  making  better  use  of  and  exploiting  the  results  of  EU-

funded R&D projects, whether in the civil or defence domains, while reinforcing the ‘protect’ 

and ‘partner’ dimensions.  

With  this  White  Paper,  the  Commission  is  launching  a  broad  consultation  of  public 

authorities,  civil  society,  industry  and  academia  on  options  for  strategic  support  to 

technologies with a dual-use potential. It takes into account the current legislative framework 

which is characterised by mutually exclusive focuses on either civil or defence applications as 

well as the lack of a commonly agreed conceptualised definition, and identifies possibilities 

under current or future EU funding programmes as well as key parameters that require further 

analysis.  This  consultation  will  allow  comprehensive  dialogue  with  all  parties  concerned, 

which will inform the Commission’s next steps. 

The  Commission  invites  comments  on  the  options  set  out  in  this  paper  through  an  open 

public  consultation  available  at  https://ec.europa.eu/info/law/better-regulation/have-your-

say_en. The consultation is open for comments until 30 April 2024. It is standard practice 

for the Commission to publish submissions received in response to  a public consultation. 

However, it is possible to request that submissions, or parts of them, remain confidential. If 

this is the case, please indicate clearly on the front page of your submission that it should not 

be  made  public  and  also  send  a  non-confidential  version  of  your  submission  to  the 

Commission for publication. 

18