Legal provisions of COM(2025)19 - Implementation of Regulation (EU) 2021/821 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items

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dossier COM(2025)19 - Implementation of Regulation (EU) 2021/821 setting up a Union regime for the control of exports, brokering, technical ...
document COM(2025)19 EN
date January 30, 2025
EUROPEAN COMMISSION

Brussels, 30.1.2025

COM(2025) 19 final


REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL

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

{SWD(2025) 8 final}


REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL

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

1. Introduction

This report provides information on the implementation of EU export controls and the modernised Regulation (EU) No 2021/821 of 19 May 2021 (‘the Dual-Use Regulation’ or ‘the Regulation’) 1 for dual-use items covering the period of 2022-2023, as well as certain key developments in 2024, together with the EU aggregated and Member States’ export control data for 2022.

This is the first annual report prepared under the terms of the Regulation, which entered into force on 9 September 2021. It marks an important milestone in the development of EU export control policy through more information sharing on Member States’ licensing decisions in the area of export controls with the objective of increased transparency in this area.

As required under the Regulation and in order to enable the enhanced data collection process, on 17 January 2024, the Commission published Guidelines agreed with the Member States on data gathering and processing on export controls (transparency guidelines) 2 . These guidelines have allowed Member States to gather statistics in view of the preparation of the EU’s annual report on dual-use export controls. In this context, the Commission launched a stakeholder consultation on how data is collected around export controls from 27 January until 28 February 2023. Against this background, this report was prepared by the Commission with input gathered from Member States 3 in the Dual-Use Coordination Group (DUCG). Due to their volume, the data for year 2022 provided by Member States are presented in a consolidated format in the Staff Working Document that accompanies this annual report. This report will be supplemented by the publication of the data for year 2023 separately as a Staff Working Document in the first quarter of 2025.  

The period covered by this report has witnessed a great shift in the geopolitical landscape. Russia’s war of aggression against Ukraine as well as the widening conflict in the Middle East have only served to highlight the importance of effective controls on the export of dual-use items and such controls have been an increasingly important part of the Commission’s response to geopolitical developments, notably through sanctions. At the same time the period has also seen the increasing unilateral use of export controls outside the scope of international regimes, for example, in relation to semi-conductors and semi-conductor manufacturing equipment or raw materials critical for the production of sensitive enabling technologies.

2. Evolution of the policy & regulatory framework

2.1.    Export control policy

2.1.1.    Modernisation of EU export controls under the Dual-Use Regulation

Further to the adoption of the enhanced Dual-Use Regulation, the Commission and the Member States have initiated its effective implementation in a number of new areas, such as transparency, enforcement and capacity-building. The DUCG played a key role, as described in Section 3 below, and expanded the EU export control “institutional infrastructure” through the activities of a number of expert groups to develop new policies, guidelines, procedures, etc.

This included (i) setting up an “Emerging Technology Expert Group” (ETEG) to exchange information with Member States on risk assessments for emerging technologies; (ii) setting up an Enforcement Coordination Mechanism to support the work of national law enforcement agencies throughout the EU; (iii) developing the Dual-Use electronic System (DUeS) to enhance information exchange between relevant services in the Commission and the Member States; and (iv) enhancing industry outreach and compliance as part of a “partnership with the private sector”.

The Commission and the Member States developed Guidelines to ensure transparency about national licencing decisions as part of Member States’ annual reports. 4  These Guidelines were prepared by the Technical Expert Group on Data Collection and Transparency, composed by representatives of Member States’ export control authorities and chaired by the European Commission.

The enhanced Regulation also places additional emphasis on the export of cyber-surveillance items. It addresses the potential risk of such items being exported from the Union for their misuse in connection with serious violations of human rights or international humanitarian law. It is in this context that the Commission, on 16 October 2024, published guidelines on the export of cyber-surveillance items 5 under Article 5 of Regulation (EU) 2021/821 to provide clarity primarily for exporters on how to conduct due diligence and internal compliance prior to exporting cyber-surveillance items.

2.1.2    Consultations and outreach

The Commission and the Czech Presidency of the Council organised, with the support of the DUCG, the '2022 Export Control Forum' on 6 December 2022. This provided an opportunity to exchange views on the implementation of EU export controls and the modernised EU export controls regime with nearly 1000 industry and civil society stakeholders 6 . The Commission cooperated with and appeared in front of the European Parliament’s Committee of Inquiry to investigate the use of Pegasus 7 and equivalent spyware (PEGA Committee 8 ).

2.1.3    Cooperation with third countries in 2022

The second meeting of the EU–US Trade and Technology Council (TTC) 9  took place in Paris-Saclay on 16 May 2022, hosted by the French Presidency of the Council of the European Union. At that meeting, the TTC expressed a shared desire to use export control tools in defence of security. In particular, the EU and the US committed to enhance cooperation and support information exchange on dual-use technologies and export controls. The work of the TTC was considered foundational in developing common approaches between the United States and the European Union in response to Russia’s war of aggression against Ukraine, including by facilitating cooperation on export controls. That cooperation supported further common approaches, including the update of the controlled goods list taking into account decisions of multilateral export control regimes, the cooperation with partners, and regular consultations on new actions that could affect the EU or US.

Following the second ministerial meeting of the TTC, the EU and the US invited stakeholders to participate in a second outreach event on export controls. The event took place on 19 July 2022 and showcased the progress achieved in TTC Working Group 7 on Export Controls since October 2021. It also provided an opportunity for industry, academia and civil society to submit their feedback and ideas for future initiatives, and to discuss the priorities for export control cooperation with EU and US authorities.

The US hosted the 3rd ministerial meeting outside Washington, D.C., on 5 December 2022. Regarding cooperation on export controls, the TTC looked at how to simplify transatlantic trade with regard to exports and re-exports of dual-use items and technologies, through pilot exchanges of information. The TTC also aimed at facilitating trade between the two partners by a more coordinated adoption and publication of multilateral control list revisions, by pursuing consultations on new regulatory actions and by coordinating export control outreach with other partners. The parties committed to enhance enforcement collaboration, including through a consistent application of sanction-related export restrictions targeting Russia and Belarus. Lastly, the EU and the US announced their intention to cooperate on export controls of sensitive and emerging technologies, while ensuring appropriate protection against the misuse of such items.

In addition, the Commission and Member States actively contributed to the global coalition on Russia sanctions (the “GECC” 10 ), that has 39 members that have implemented substantially similar export controls in response to Russia’s invasion of Ukraine in February 2022. The GECC’s aims at cutting Russia and Belarus off from the commodities, technologies, and software necessary to sustain their aggression in Ukraine, depriving their defence, aerospace, and maritime sectors of key materials.

Finally, the EU and Norway held EU-Norway Dialogues on Arms and Dual-Use Export Control on 13 June and 17 November 2022, respectively. The parties discussed the new EU Dual-Use Regulation, Norway’s legislative developments and exchanged views on recent export control developments, upcoming meetings of export control regimes and information on denials. The EU and Norway also discussed export restrictions on dual-use items and advanced technologies.

2.2.    Updates to the EU control list

The EU Control List in Annex I to the Regulation essentially provides a list of dual-use items, including software and technology, which are subject to controls given their potential use for both civil and military purposes. The list is updated on a regular basis to reflect changes in the Multilateral Export Control Regimes, such as the Wassenaar Arrangement, the Australia Group, the Nuclear Suppliers Group and the Missile Technology Control Regime (MTCR).

On 21 October 2022, the Commission adopted Commission Delegated Regulation (EU) 2023/66 11 to update the EU control list, bringing the EU’s Dual-Use Regulation in line with decisions taken in international regimes up until December 2021. The updated list includes new entries in the field of electronics, semiconductors and computers, chemical and biological sectors, and the category of aerospace and propulsion. The Commission also adopted Commission Delegated Regulation (EU) 2022/699 on 3 May 2022 12 , which removed Russia from the scope of the Union general export authorisations laid out under the Dual-Use Regulation as a consequence of Russia’s military invasion of Ukraine and the consequent adoption of EU restrictive measures aimed at limiting the export of dual-use goods and technology to Russia.  

2.3.    National implemention and enforcement measures

2.3.1. Implementation measures

The Dual-Use Regulation is binding in its entirety and directly applicable in all Member States. However, it provides that Member States may take certain measures for the implementation of specific provisions, and requires such information on national measures to be published in the Official Journal of the European Union. Accordingly, the Commission published an Information Note on 8 February 2022 13 , which provides an updated overview of measures taken by Member States including, inter alia, the extension of brokering and transit controls, the extension of controls to non-listed items for reasons of public security and human rights considerations, the introduction of national general export authorisations, and the application of intra-EU transfer controls for non-listed items. Such Information Notes ensure the transparency of applicable rules and reflect the EU's efforts to support the consistent and effective implementation of controls by exporters throughout the EU.

2.3.2. Enforcement measures

The Commission was not informed of any changes to the list of national enforcement measures published together with the 2019 annual export control report 14 .

2.4    Exports from Northern Ireland

Exports of dual-use items from the EU to the UK became subject to control under the Regulation with the UK’s departure from the Union on 1 January 2021 15 .

Specific arrangements are set forth in the Northern Ireland (NI) Protocol 16 , which provides that the Regulation applies to the United Kingdom in respect of Northern Ireland 17 , with the UK acting as a competent authority under the Regulation for exports from Northern Ireland to third countries outside of the EU. The Commission has developed a dedicated secure electronic tool to support the exchange of information with the UK competent authority in charge of applying the Regulation in and from Northern Ireland, which was used throughout 2022. This enables UK authorities to access information on denials for essentially identical transactions issued by EU Member States, and have bilateral consultation with the issuing Member State, as foreseen by the Regulation.

3. Activities of the Dual-Use Coordination Group

The DUCG brings together experts from the Commission and Member States to examine any issue concerning the application of export controls 18 . In 2022, the DUCG held seven meetings: on 20 January, 15 March, 24 May, 14 July, 11 October and 8 December, and in the form of an Export Control Forum with stakeholders on 6 December 2022. A special session to review the draft 2021 Delegated Regulation updating Annex I to Regulation took place on 14 July 2022. The DUCG was also consulted in 2022 on an exceptional update to Annex I to include items controlled by the Australia Group.

3.1.    Consultations on implementation issues - general information exchange

The Commission and Member States’ representatives in the DUCG conducted general information exchanges on export control issues. In particular, the DUCG exchanged views on implementation aspects, such as the distinction between “national measures” and “national control lists” under Article 9 of the Regulation, large project authorisations and the control of intangible exports/transfers.

3.2    Guidelines and Guidance Notes

The DUCG started a survey among competent authorities on the implementation of the Guidelines for Dual-Use Research of 23 September 2021 19 , endorsed an Implementation Monitoring Plan for the Industry Compliance Guidance, exchanged information regarding national implementing measures to update the official information notice on national measures, and started discussions about the preparation of guidelines on the Intangible Transfer of Technology.

3.3    Technical exchange of information – Technical Expert Groups

Member States’ competent authorities in the DUCG provided technical expertise supporting the updates to the EU control list, and engaged in discussions on a number of specific implementation issues, as mentioned above.

Under the Commission’s coordination, the DUCG also took initiatives to address certain technical implementation issues and set up dedicated expert groups to implement the requirements of the new Regulation. The specific role of technical expert groups is now recognised in Article 24(3) of the new Regulation.

The following expert groups were active in 2022:

a)The Surveillance Technology Expert Group (STEG) allows experts from Member States to contribute to the development of EU controls on exports of cyber-surveillance items. The STEG mandate involves technical discussions on risks associated with exports of cyber-surveillance items – in particular the risk of such items being used in connection with internal repression or serious violations of human rights and/or international humanitarian law. Since 2021, the STEG has worked on the preparation of guidelines on the export of cyber-surveillance items under Article 5 of Regulation (EU) 2021/821 20 . In 2022, such work focused on the scope of the definition of cyber-surveillance items;

b)The Technical Expert Group on Emerging Technologies (ETEG) continued to exchange information on risks associated with exports of emerging technologies and the challenges associated with their control. The ETEG members identified as main priority the creation and use of an operational tool for risk assessment. ETEG also organised discussions on quantum technology, including presentations by private sector representatives; 

c)The Enforcement Coordination Mechanism (ECM) was launched in accordance with Article 25 of the Regulation to support the exchange of information and direct cooperation between competent authorities and enforcement agencies of the Member States;

d)The Technical Expert Group on Data Collection and Transparency (DCT-TEG) was particularly active and met seven times in 2022, to prepare the transparency Guidelines. Experts discussed several drafts and had extensive discussions on a new methodology to collect and report licensing data, in view of a public consultation 21 with stakeholders in early 2023; and

e)The Technical Expert Group on Capacity-Building (CB-TEG) was launched with a view to supporting regular training and sharing of expertise within the EU dual-use community, including through developing common training programmes for Member States’ officials. The CB-TEG collected input from Member States on training needs and advanced in the preparation of a feasibility report.

3.4    Technical support to the preparation of updates to the EU control list and national implementing measures

In accordance with Article 17 of the Regulation, the DUCG held technical information sessions to support the preparation of the proposal for a Commission Delegated Regulation updating the EU Control List. National experts and observers from the European Parliament attended a special session of the DUCG on 14 July 2022, with presentations from the German Federal Office for Economic Affairs and Export Control (BAFA) on the key changes introduced to the EU Control List. The Commission adopted the Delegated Act in October 2022.

The DUCG exchanged information regarding national implementing measures and prepared the update of the Information Note on national measures, which was published on 8 February 2022.

3.5    Licensing and implementation data exchange

The DUCG completed the 2020 licensing data collection exercise based on the agreed Data Exchange Questionnaire (DEQ), with a view to providing an overview of the implementation of export controls throughout the EU, and to allow for the publication of aggregated data in the EU Export Control Annual Report for 2019 22 . The DUCG also initiated the collection of 2021 licensing data.

3.6    IT Tools for the Exchange of Information among Member States and for Electronic Licensing

The Commission, supported by the DUCG, continued to develop the Dual-Use e-System (DUeS) as the IT backbone of the EU export control network. This platform has a key role in the effective application of the Regulation.

New functionalities were developed to support the exchange of information on denials for intra-EU transfers and to support the regular review and update of denials. In particular, the DUCG completed the review of denials in 2013 and advanced in the review of 2014 data.

Other DUeS functionalities were improved, as follows:

a)A new functionality to review denials was implemented in January 2022;

b)A new module was created in March 2022 to support information sharing related to notifications/authorisations and denials, according to the Russian and Belarus sanctions regulations. Subsequent updates were introduced to implement changes needed following the update of sanctions packages; and

c)A new functionality allowed the exchange of information on the implementation of Russia sanctions with the Member States.

2022 was also the second year of operation of the dual-use eLicensing system, which allows competent authorities and exporters to administer controls on-line and to reduce the administrative burden associated with those controls. It is aimed at replacing off-line systems or outdated national electronic systems, to allow for more agile exchanges of information – including reporting of licensing data to the Commission in the context of Article 26 of the Regulation. In 2021, the eLicensing system went live in Latvia and Romania. In 2022, it was further improved and customised to support the Italian licensing authority (as of July 2022) and preparations for the Slovenian and Wallonian authorities to become users of the system in 2023 were ongoing. Likewise, Hungary and Belgium (Brussels Region) expressed an interest in joining the project.

Beyond the EU, and as part of its dialogues with partner countries, the Commission is examining options for providing the eLicensing tool to partners. Moldova, Bosnia and Herzegovina, and Serbia expressed an interest in using the tool.

The eLicensing project is also developing in new directions to make controls more effective, for example by connecting the eLicensing system with national customs systems via the Customs’ Single Window environment. This makes the sharing of information across borders and with customs authorities much easier, reducing the regulatory burden for operators and allowing automatic licensing management. This is done through the Certification Exchange “CERTEX” platform, managed by DG TAXUD. The interconnection between eLicensing and the national customs has been operational since December 2022.

At the request of Member States that already operate eLicensing systems, in April 2022 the Commission initiated a new 'eLicensing bridge' project to allow to connect national licensing systems to customs systems through eLicensing. Finland is part of the pilot project. Belgium (Flanders) expressed an interest in joining the project.

3.7    Transparency and outreach

The DUCG contributed to the preparation of the 2022 Annual Export Control Report –published along with the second Foreign Direct Investments (‘FDI’) Screening Annual Report 23 - which informs stakeholders on the implementation of dual-use export controls in the European Union, including on the activities of the Dual-Use Coordination Group.

3.8    Support to international cooperation

In the context of the Trade and Technology Council’s Export Control Working Group with the United States, the DUCG supported relevant discussions on the simplification of re-export, in particular (i) to explore national practices in the application of EU General Export Authorisation EU001; and (ii) through dedicated expert discussions on US license exceptions that authorise the re-export of US-origin dual-use items from the EU.

3.9    Dual-use research and control over intangible exports

The DUCG hosted dedicated discussions on the interlinks between export control and research involving dual-use technology. Such discussions took place in the framework of the Commission’s strategy on international R&I cooperation (Horizon Europe) and counted on the support of Commission’s experts from DG Research and Innovation and of external experts.

3.10    Overview of developments relating to dual-use items in 2023 and 2024

1.Updates to Annex I to the Regulation:

·On 11 January 2023, the Commission published Delegated Regulation (EU) 2023/66 amending Annex I to the Dual-Use Regulation in the Official Journal (OJ) of the EU. This annual update brings the list in line with decisions taken in the multilateral export control regimesand is independent from the EU’s export restrictions against Russia or Belarus.

·On 23 February 2023, the Commission published Delegated Regulation (EU) 2023/996 in the OJEU to exceptionally update Annex I to the Regulation to include items subject to control under the Australia Group.

·On 15 September 2023, the Commission published Delegated Regulation 2023/2616 as the regular annual update of Annex I to the Regulation. This Regulation has been applied since 16 September 2023.

·On 5 September 2024, the Commission adopted the annual update to Annex I, which is expected to enter into force two months later.

2.Member States’ national control lists

·The Commission published the first EU compilation of national control lists on 20 October 2023, which includes the national controls adopted by Spain and the Netherlands on certain emerging technologies. It was revised on 27 September 2024 to include national controls adopted by France. This compilation reflects controls of items at national level that have not been adopted in the multilateral regimes on certain emerging technologies. This is the first compilation of national control lists under the Regulation. It enables Member States to impose authorisation requirements by referring to other Member States’ national control lists published in the compilation without necessarily having to adopt their own national controls.

3.Export controls under the Economic Security Strategy

·Following the adoption of the Economic Security Strategy on 20 June 2023 24 , the Commission published on 24 January 2024 a White Paper on Export Controls 25 outlining how to make EU export controls more effective in the context of growing geopolitical tensions, with a view to better upholding international security and safeguarding the EU's security interests. The White Paper proposes short and medium-term actions to improve the coordination of export controls on dual-use items in the EU. These actions include: uniform EU controls for items that have not been adopted at multilateral level due to blockages or delays in export control regimes; a senior-level forum for political coordination on export controls; a mechanism to better coordinate new national control lists; and the evaluation of the EU Dual-Use Regulation in 2025. The White Paper was subject to a public consultation which ran from 2 February until 30 April 2024, to which 23 replies were received, feeding into the Commission’s internal deliberations.

4.Export restrictions against Russia

·Throughout 2023 and 2024, the Commission actively continued to tighten dual-use export restrictions in the context of sanctions against Russia, including through the adoption of a 14th package of sanctions in June 2024 26 . The Commission also published guidance to support implementation and enforcement and to counter the circumvention of sanctions. In particular, the Commission developed, in cooperation with partners - Japan, the United Kingdom and the United States - a list of so-called Common High Priority Items (as last updated in February 2024) 27 , including dual-use goods and advanced technologies used in Russian weapons systems found on the battlefield in Ukraine or critical to the development, production or use of those Russian military systems.

5.International outreach

·The Commission discussed export control related matters with partners such as the US throughout 2023. Notably, on 10 May 2023 the fourth meeting of the US-EU TTC discussed areas such as trade facilitation and offered a strong basis for cooperation on Russia-related sanctions. The last stakeholder meeting in the TTC took place on 19 July 2023, focusing on re-exports of dual-use items. Finally, the Commission had a virtual first export control dialogue with China on 26 October 2023 and the second one on 24 October 2024.


4. EU export controls – Key Data

This Section presents EU aggregated export control data for the reference year 2022. Due to their volume, the underlying data provided by Member States are presented in consolidated form in the Staff Working Document that accompanies the report. The data have been made available in accordance with new reporting Guidelines 28 , that are hereby applied for the first time.

With the adoption of Regulation (EU) 2021/821, the EU demonstrated its commitment to strengthening public reporting and transparency. Article 26 of the Regulation provides that the publication of an EU annual report on the implementation of controls shall include relevant information on authorisations, denials and prohibitions, as well as information on the administration, and enforcement of controls.

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 included EU aggregated licensing data and other export control-related information. The data collection took place on an annual basis and the format was progressively expanded in an effort to capture data relating to various types of authorisations and concerning the administration, implementation and enforcement of controls.

Under the recently adopted transparency guidelines, the data collection methodology is designed to remain sustainable over time, allowing for Member States to provide relevant information to the Commission in an efficient and cost-effective manner, which 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.

4.1.    Types of items 

The Regulation primarily applies to the export of over 1800 dual-use items listed in the EU Control List, classified in 10 Categories (Figure 1). That is the underlying rationale that led the EU experts to group the entries in Annex I in “types of items” for the purpose of the EU annual report 29 .


Figure 1: Number of dual-use items listed in the 10 Categories of Annex I to the Regulation

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 would build on the classification of dual-use items at 5-digit level 30  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 Guidelines describes the list of 52 “types of items” used for the collection of licensing data and the preparation of this annual report. Authorisations are 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. Furthermore, it was 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 national authorisations and practices. For that reason, figures presented in this report provide a count of Member States that have provided the data underlying each authorisation type. The methodology also acknowledges that authorisations may refer to multiple items falling within multiple types of items.

Concerning cyber-surveillance items, the definition of Article 2, point (20) comprises both items listed in Annex I as well as non-listed items. Annex B to the Guidelines identifies five items in Annex I to the Regulation which fulfil the definition of Article 2, point (20). The decision as to whether a specific non-listed item meets the requirements of the legal definition is taken on a case-by-case basis by the Member States and the Commission within the STEG. Applications and authorisations for non-listed cyber surveillance items also need to be included in the annual report in accordance with Article 26(2) of the Regulation, 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.

4.2    Overview of authorisations by type of license 31

In 2022, the total value of authorised dual-use trade 32 amounted to EUR 57.3 billion, representing 2% of extra-EU exports of goods (Figure 2). In terms of numbers, that corresponds to 138,764 authorisations and notifications 33 . With respect to the types of authorisations, the majority of transactions fall under EU General export authorisations (93,311), National general export authorisations (26,953) and individual licences (17,072). In terms of value, the most important types of licenses were global export authorisations (EUR 27.3 billion), individual export authorisations (EUR 17.1 billion) and EU general export authorisations (EUR 9.6 billion).

4.3    Denials and prohibitions

In 2022, 813 denials were reported for a value of EUR 0.98 billion. Those figures show that only a small portion of EU exports were denied (0.04% of value of total extra-EU27 exports of goods that year).


Figure 2: Export authorisations by type of license

4.4    Individual authorisations

Individual authorisations are licences granted to one specific exporter for one end-user or consignee in a third country and covering one or more dual-use items. For the purpose of this report, 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 are all considered individual licences, as specified in the Guidelines.

The overview of individual authorisations in 2022 by the 10 Categories of items in Annex I to the Regulation as well as non-listed items subject to controls (Figure 3) indicates that the highest number of authorisations in terms of market value was granted to Category 0 on Nuclear materials, facilities, and equipment (EUR 8,1 billion, 41% of total), followed by Category 2 on Materials processing (EUR 2,5 billion, 13% of total), and Category 5 on Telecommunications and information security (EUR 2,3 billion, 12% of total). Concerning the volume of individual authorisations, the largest figure was for Category 2 on Materials processing (5,592 representing 29% of total), followed by Category 1 on Special materials and related equipment (4,501 representing 23% of total), and Category 5 on Telecommunications and information security (3,205 representing 17% of total).


Figure 3: Individual export authorisations by category of items in Annex I to Regulation (EU) 2021/821

Breaking-down the value of individual authorisations by types of items (Figures 4.1 and 4.2) shows that the top 5 items are 0EC1 Nuclear materials, facilities, plants and equipment (EUR 6,4 billion, 33% of total), 2EC1 Machines tools and systems and components for industrial equipment (EUR 1,8 billion, 9% of total), 5EC2 Information security and crypto-analysis items and equipment (EUR 1,3 billion, 7% of total), 9EC1 Aerospace engines and gas turbines (except UAV) (EUR 1,1 billion, 6% of total), and XEC1 Other/non-listed (EUR 1,1 billion, 6% of total).


Figure 4.1: Individual export authorisations by type of items (Part 1)


Figure 4.2: Individual export authorisations by type of items (Part 2)

Concerning destinations covered by individual authorisations (Figures 5 and 6), China was the largest destination by value (EUR 5,6 billion, 28% of total), followed by South Korea (EUR 1,7 billion, 9% of total), the United States (EUR 1,3 billion, 7% of total), Japan (EUR 1,04 billion, 5% of total) and Singapore (EUR 994 million, 5% of total). Overall, the top-25 extra-EU destinations account for 90% of individual authorisations by value 34 . With respect to intra-EU transfers, the main destinations were France (EUR 301 million), Belgium (EUR 251 million), Sweden (EUR 188 million), Hungary (EUR 141 million) and Spain (EUR 113 million). Compared to extra-EU destinations, intra-EU transfers appear to be limited because most intra-EU dual-use exports do not require to be authorised according to the Regulation.


Figure 5: Individual export authorisations by destination


Figure 6: Individual export autorisations by top extra-EU destinations and by intra-EU destinations

4.5    Global Export Authorisations

Mindful of the nature, purpose and characteristics of each type of authorisation, the Guidelines acknowledge 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, the Guidelines adapt the relevant data collection and reporting. Member States provide licensing data to the Commission accordingly, with a focus on: (i) the total value of global export authorisation (EUR 27.3 billion, equivalent to 48% of authorised value in 2022) and (ii) a break-down of the total volume of global licenses by types of items (Figures 8.1 and 8.2) and destinations (Figures 9.1 and 9.2).

By category of items in Annex I to the Regulation (Figure 7), the majority of authorisations were granted by volume to Category 5 on Telecommunication and ‘information security’ (39%), Category 2 Special materials and related equipment (11%) and Category 6 Sensors and lasers (11%).

Breaking-down the volume of global export authorisations by types of items (Figures 8.1 and 8.2) shows that the top 5 items are 5EC2 Information security and crypto-analysis items and equipment (18%), 5EC3 Software for telecommunications and information security (14%), 6EC1 Optical and acoustic equipment, related components and materials; other sensors (10%), 4EC1 Computers (8%), and 5EC4 Technology for telecommunications and information security (7%).

Figure 7: Global export authorisations by category of items in Annex I to Regulation (EU) 2021/821

Figure 8.1: Global export authorisations by type of items (Part 1)


Figure 8.2: Global export authorisations by type of items (Part 2)

Concerning destinations (Figures 9 and 10), the majority of authorisations by volume were granted for exports with destination in China (3%), Taiwan (2%), India (2%), Hong Kong (1%) and Singapore (1%). Overall, top 25 destinations account only for 31% of authorisations by volume of global export authorisations, as a global licence often covers multiple destinations 35 .

Figure 9: Global export authorisations by destination


Figure 10: Global export authorisations by top destinations


4.6    National and Union General Authorisations

National and EU General Export Authorisations are issued to facilitate trade of dual-use items while reducing administrative burden for exporters and export control authorities.

Union General Export Authorisations (EU GEAs) are granted by the European Union to exporters who notify competent authorities while complying with the relevant pre-conditions established in the Regulation. The Regulation provides for eight types of EU GEAs 36 .

The vast majority of uses of EU GEAs in 2022 corresponded to EU001 (86% in terms of value, 95% of volume), with 10 destinations including several important trade partners for the EU.


Figure 11: EU general export authorisations

National General Export Authorisations are granted by the Member States to exporters who notify competent authorities while complying with the relevant pre-conditions established by applicable national laws. The list of National General Export Authorisations communicated by Member States for 2022 is provided in an Annex to this report, detailing destinations and types of items included in each National GEA.

Figure 12 breaks down the value of EU and National GEAs by the Categories of Annex I to the Regulation. The highest values correspond to Category 5 on Telecommunication and ‘information security’ (EUR 4,98 billion, 46% of total), Category 3 on Electronics (EUR 1,64 billion), Category 2 on Material Processing (EUR 1,56 billion, 15% of total) and Category 9 on Aerospace and Propulsion (EUR 1,30 billion, 15% of total).


Figure 12: EU and national general export authorisations by category of items in Annex I to Regulation (EU) 2021/821

Breaking-down the value of EU and National GEAs by types of items (Figures 13.1 and 13.2) indicates that the top 5 items are 5EC2 Information security and crypto-analysis items and equipment (EUR 4,81 billion, 45% of total), 3EC4 Equipment for the manufacturing and testing of semiconductor devices or materials (EUR 1,32 billion, 12% of total), 9EC3 Rockets and spacecraft (EUR 961 million, 9% of total), 2EC1 Machines tools and systems and components for industrial equipment (EUR 860 million, 8% of total), and 2EC2 Chemical and biological manufacturing equipment (EUR 675 million, 6% of total).


Figure 13.1: EU and national general export authorisations by type of items (Part 1)


Figure 13.2: EU and national general export authorisations by type of items (Part 2)

Concerning destinations authorised under EU and National GEAs, the top 5 were the United States (EUR 6,60 billion, 51% of total), the United Kingdom (EUR 2,21 billion, 17% of total), Switzerland (EUR 1,16 billion, 9% of total), China (EUR 512 million, 4% of total) and Japan (EUR 432 million, 3% of total). This indicates the large majority of the dual-use exports covered by GEAs are directed towards countries listed in EU GEA EU001. That is also explained by the fact that the value of exports authorised under EU GEAs is much higher than under National GEAs (EUR 9,65 billion versus EUR 846 million, respectively, as per Figure 2).

Figure 14: EU and national general export authorisations by destination


Figure 15: EU and national general export authorisations by top destinations


4.7    Registered users of National and EU General Export Authorisations

In order to provide information on exporters’ notifications in accordance with the Regulation 37 , the annual report includes data on the number of exporters that have notified or are registered with the competent authority to use Union or National General Export Authorisations.

In 2022, there were in total 7,033 exporters using EU General Export Authorisations, including 80.57% of them using EU001, and 3,492 exporters using National General Export Authorisations. With respect to first use notifications or registrations in 2022, the figures were 676 for EU GEAs (73% for EU001) and 218 for National GEAs, respectively.


Figure 16: Exporters registered or notified to use EU and national general export authorisations

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

In 2022, Member States received a total of 288 applications (Figure 17) for the export of cyber-surveillance items, mostly in relation to Telecommunications interception systems (216 applications), followed by Communication monitoring software (28 applications), and Intrusion software (20 applications). Figures 18.1 and 18.2 show the destinations of applications for the export of cyber-surveillance items. In 2022, 224 authorisations were issued and 37 denied. This shows an increase in the number of licences for cyber-surveillance items (as compared to 115 licenses issued in 2021), a trend confirmed since 2020. The number of denials for the export of cyber-surveillance items 38 appear to be rather stable (35 denials in 2021).


Figure 17: Applications for the exports of cyber-surveillance items 39

Figure 18.1: Applications for the exports of cyber-surveillance items by destination


Figure 18.2: Applications for the exports of cyber-surveillance items by destination

4.9    Information on administration and enforcement

Member States communicated the following information on the administration and enforcement of the Regulation in 2022:

a)Number of staff (full-time equivalent) directly involved in the administration of controls in the EU): 392.

b)Number of outreach events organised in the reference year: 129.

c)Number of compliance audits conducted in the year, including those conducted by customs or other agencies: 1,062.

d)Number of infringements reported: 110.

e)Number of administative and criminal penalties or fines imposed (by any relevant national enforcement agency) in case of infringement of export control regulations: 30.

f)Use of export control tools:

-Member States using an e-licensing system: 18.

-Member States using classification tools: 24.

-Member States using other tools or software to support the application of controls: 24.

5. Conclusions

The report has been prepared on the basis of a new methodology that ensures a better granularity and reliability of the information. At the same time, the change of methodology makes it difficult to build a time-series comparison with reports of previous years. However, it can be noted in broad terms that there was an upward trend for both authorised dual-use trade 40 and denials 41 in 2022.

In 2022, the total value of authorised dual-use trade amounted to EUR 57.3 billion, representing 2% of the extra-EU exports of goods. That corresponds to 138,764 authorisations by volume, with the majority of transactions falling under uses of EU General export authorisations (93,311), uses of National general export authorisations (26,953) and individual licences (17,072). During the same year, 813 denials were reported for a value of EUR 0.98 billion. Those figures show that only a small portion of EU exports were denied (0.04% of value of total extra-EU27 exports of goods).

The report includes information up to the limit of available data, in the context of different practices and types of authorisations in each Member State. In this sense, the report does not provide the precise allocation of authorised trade by type of item or destination with respect to Global export authorisations (representing 48% of authorised value in 2022), since those authorisations often include open-ended export values and are granted for multiple items and destinations. Despite this, it is still useful to consider the trends for the other types of authorisation (individual and General Export Authorisations), which represent 52% of the authorised value.

In 2022, the highest values of authorised trade other than global authorisations (Figure 19) corresponded to items 0EC1 Nuclear materials, facilities, plants and equipment (21%), 5EC2 Information security and crypto-analysis items and equipment (20%), 2EC1 Machines tools and systems and components for industrial equipment (9%), 3EC4 Equipment for the manufacturing and testing of semiconductor devices or materials (7%) and 9EC1 Aerospace engines and gas turbines (except UAV) (5%). Overall, the list of types of items in Figure 19 accounts for 90% of the value of authorisations other than global licences.


Figure 19: Top type of items for value of individual and General Export Authorisations

Concerning destinations for authorisations other than global authorisations (Figure 20), the United States was the largest destination by value (24% of total), followed by China (19%), the United Kingdom (7%), South Korea (5%) and Japan (5%). However, that ranking is heavily influenced by the weighting of EU GEAs, in particular EU001 (EUR 8.2 billion), and does not take account of major destinations of global export authorisations by volume, namely Taiwan, India, Hong Kong, Singapore and Türkiye. Overall, the list of destinations in Figure 20 accounts for 90% of the value of authorisations other than global licences.


Figure 20: Top extra-EU destinations for value of individual and General Export Authorisations

Finally, the report pays particular attention to the licensing of cyber-surveillance items as part of EU’s commitment to effectively address the risk of cyber-surveillance items being used in connection with internal repression and/or the commission of serious violations of human rights and international humanitarian law. In 2022, Member States received a total of 288 applications for the export of those items. The highest figure was in relation to item Telecommunications interception systems (216 applications). In the same period, 224 authorisations and 37 denials were issued. Those figures also show an increase in the number of licences with respect to 2021 42 , whereas the number of denials appears rather stable 43 .

Further to the various actions initiated in 2021, the Commission and the Member States continued to focus on meeting the requirements and mandates under the modernised Regulation. This includes continuing the work in the various technical expert groups towards enhanced controls on cyber-surveillance items, the enforcement of export controls, emerging technologies and the development of EU capacity-building and training programmes for Member States’ licensing and enforcement authorities.

These actions under the Dual-Use Regulation will also allow the EU to cooperate more effectively with partners in order to promote the global convergence of controls, reduce trade frictions, increase predictability for business, promote EU values and uphold international peace and security.

(1)

 Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast) – (OJ L 206, 11.6.2021, p. 1) - https://eur-lex.europa.eu/eli/reg/2021/821/oj .

(2)

  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 - https://eur-lex.europa.eu/eli/reco/2024/214/oj  

(3)

 Some Member States’ competent authorities also publicly report on trade in dual-use items.

(4)

  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 - https://eur-lex.europa.eu/eli/reco/2024/214/oj

(5)

https://policy.trade.ec.europa.eu/news/commission-publishes-guidelines-cyber-surveillance-exporters-2024-10-16_en

(6)

https://policy.trade.ec.europa.eu/news/2022-export-control-forum-outcome-2022-12-13_en

(7)

Pegasus is a spyware developed by the Israeli cyber-arms company NSO Group that is designed to be covertly and remotely installed on mobile phones running iOS and Android.

(8)

https://www.europarl.europa.eu/committees/en/archives/9/pega/home/welcome-words

(9)

In June 2021, the EU and the U.S. established the Trade and Technology Council, which met for the first time in Pittsburgh on 29 September 2021 and agreed on an ambitious Joint Statement, including cooperation on export control. One of the ten Working Groups is dedicated to export controls, sharing information and working on themes like legislative and regulatory developments, risk assessments and licensing good practices, as well as on approaches to industry compliance and enforcement. Furthermore, this working group aims at promoting convergent control approaches on sensitive dual-use technologies, and perform joint industry outreach on dual-use export controls.

(10)

The GECC members are Australia, Canada, the 27 EU Member States, Iceland, Japan, Liechtenstein, New Zealand, Norway, South Korea, Switzerland, United Kingdom, United States and Taiwan.

(11)

http://data.europa.eu/eli/reg_del/2023/66/oj

(12)

http://data.europa.eu/eli/reg_del/2022/699/oj

(13)

  https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52022XC0208(02)


(14)

https://ec.europa.eu/transparency/documents-register/detail?ref=COM(2019)562&lang=en

(15)

The UK has been added to EU General Export Authorisation EU001 in the meantime.

(16)

OJ L 29, 31.1.2020, p. 7 (“Withdrawal Agreement”).

(17)

Article 5(4) of the NI Protocol and section 47 of Annex 2 to that Protocol.

(18)

This report is also the annual report required by the Regulation on the activities, examinations and consultations of the DUCG.

(19)

https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=uriserv:OJ.L_.2021.338.01.0001.01.ENG

(20)

The subsequent Guidelines were published by the Commission on 16 October 2024.

(21)

https://policy.trade.ec.europa.eu/consultations/guidelines-data-collection-and-preparation-eu-annual-report-dual-use-export-controls-under_en#respond-to-the-consultation

(22)

Report from the Commission to the European Parliament and the Council on the implementation of Regulation (EU) 2021/821 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (COM(2022) 434 final).

(23)

https://ec.europa.eu/transparency/documents-register/detail?ref=COM(2022)433&lang=en

(24)

https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A52023JC0020&qid=1687525961309

(25)

https://circabc.europa.eu/ui/group/aac710a0-4eb3-493e-a12a-e988b442a72a/library/a44df99c-18d2-49df-950d-4d48f08ea76f/details?download=true

(26)

  https://finance.ec.europa.eu/eu-and-world/sanctions-restrictive-measures/overview-sanctions-and-related-resources_en


(27)

https://policy.trade.ec.europa.eu/news/eu-and-partners-expand-list-common-high-priority-items-further-weaken-russias-war-effort-2024-02-23_en

(28)

  Commission Recommendation (EU) 2024/214 of 10 January 2024 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 (“the Guidelines”).

(29)

Cf. Article 26(2) paragraph 1 of the Regulation.

(30)

E.g. ECCN 0A001: Nuclear reactors.

(31)

Please note that in accordance with the third paragraph of Article 26 (2) of the Regulation, Sections 4.2 to 4.7 of this report do not include data relating to cyber-surveillance items. Information on those items is provided in section 4.8 below.

(32)

Please note that this includes voluntary data on uses of National General Export Authorisations and EU General Export Authorisations.

(33)

Please note that this includes voluntary data on uses of National General Export Authorisations and EU General Export Authorisations.

(34)

Please note that export authorisations with a destination to the Russian Federation correspond to exemptions and derogations in accordance with Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine.

(35)

Ibid.

(36)

EU001 - Exports to Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, Liechtenstein, the United Kingdom and the United States of America.

EU002 – Export of certain dual-use items to certain destinations.

EU003 – Export after repair/replacement.

EU004 – Temporary export for exhibitions or fairs.

EU005 – Telecommunications.

EU006 – Chemicals.

EU007 – Intra-group technology transfers.

EU008 – Encryption.


(37)

Conform the provisions for Union General Export Authorisations in Annex II of the Regulation: “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”.

(38)

More information on cyber-surveillance items can be found in the Guidelines of 16 October 2024, as referred to in footnote 7.

(39)

Please note that Article 11 of the Regulation also requires licenses issued by Member States in the case of intra-EU exports of specific cyber-surveillance items listed in Annex IV to the said Regulation.

(40)

In 2021 the authorised dual-use trade was of EUR 38.5 billion, representing 1.8% of total extra-EU exports.

(41)

In 2021, 568 denials were issued, representing about 0.01% of total extra-EU exports.

(42)

In 2021, 115 licenses were issued for cyber-surveillance items.

(43)

In 2021, 35 denials were issued for cyber-surveillance items.