A dual-use item is goods, software or technology that serves civilian purposes but can also be used militarily — a machine tool, a sensor or encryption software, for example. The EU controls their export under Regulation (EU) 2021/821, which applies directly in all Member States.

In brief

  • The list of controlled items is in Annex I to the Regulation. Exporting them from the EU requires an authorisation.
  • An authorisation may also be required for an item that is not on the list (Article 4).
  • Authorisations are issued by the Member State: in Slovakia the Ministry of Economy, in Czechia the Licensing Office of the Ministry of Industry and Trade.
  • Export records are kept for at least five years (Article 27).

What the Regulation controls

  • export from the customs territory of the EU, including transmission of software and technology by electronic means,
  • brokering and technical assistance,
  • transit,
  • for the most sensitive items in Annex IV, transfers between Member States as well.

How Annex I is organised

  • It has ten categories, from 0 (nuclear materials and equipment) to 9 (aerospace and propulsion). In between are, for example, electronics, computers, telecommunications and information security, sensors and lasers.
  • Each category has groups A to E: equipment, test and production equipment, materials, software and technology.
  • Each item has a control number, for example 2B001.
  • The Commission updates the Annex by delegated regulation, as a rule once a year.

Types of authorisation

  • Individual — for one exporter and one end-user.
  • Global — for several items or several countries and end-users.
  • Union General Export Authorisations EU001 to EU008 — apply directly under the Regulation for specified items and destinations. The conditions of use are in Annex II.
  • Individual and global authorisations are valid for up to two years (Article 12).

Items not on the list

  • An authorisation is also required where the authority has informed the exporter that the item is or may be intended for use in connection with weapons of mass destruction, or for a military end-use in a country subject to an arms embargo (Article 4).
  • If the exporter itself is aware of such a use, it must notify the authority.
  • A similar rule applies to cyber-surveillance items (Article 5).

What is often confused

  • The customs tariff code does not say whether an item is controlled. The technical parameters in Annex I decide.
  • Dual-use control and sanctions are two different regimes. A sanctions regulation can prohibit an export even where an authorisation under this Regulation would be possible.
  • Control also covers intangible transfers: sending technical documentation by e-mail or making it available in electronic form to a person outside the EU is an export.