European Commission

Directorate-General for Trade

Accessibility tools

Language options

Current portal location

Website content

Industrial goods

Dual use

Dual use - Illustration credit: PNNL - Pacific Northwest National Laboratory

Dual use goods are products and technologies normally used for civilian purposes but which may have military applications

Dual use goods and technologies are products and technologies which are normally used for civilian purposes but which may have military applications. The main legal basis for controls on dual use goods is the EU Dual Use Regulation (also known as Council Regulation 1334/2000 to be repealed by Council Regulation 428/2009, adopted 5 May 2009 and published in the OJ of the EU on 29 May 2009, L 134.).

The lists in Annex IV detail the items that are controlled prior to being transferred within the Community. For suppliers to know what sort of information they must give to national competent authorities prior to being authorised an intra-Community transfer within the EU, the supplier must address the national competent authorities. The details of the national competent authorities are published in the OJ of the EU (see below) and their update is made regularly on our website (below).

The list of competent authorities in charge in the Member States of granting export authorisations has been updated on this website, based on the publication made in the Official Journal of the EU in 2008.

On 5 May 2009, the Council adopted Regulation 428/2009 that shall repeal Regulation 1334/2000 on 27 August 2009. The numbering of the former articles of Regulation 1334/2000 are therefore changed and to facilitate the understanding of the changes, the new Regulation lists in the end the correlation table between the new Articles and the former ones.

Regulation 428/2009 introduces controls on brokerking of dual use items that are located in third countries under very limited circumstances. It introduces the possibility for Member States competent authorities to prohibit the transit of non Community dual use items entering the EU customs territory and having a destination outside the EU. This Regulation also updates the list of items controlled prior to export and integrates the decisions taken in the Nuclear Suppliers' Group, the Wassenaar and MTCR regimes in 2008 as well as recent 2009 decisions of the Australia Group).

A summary of these changes to the Annex I and of non legal nature is provided in order to help the reader spot the main changes.

European Commission's proposals to review of the EU regime of export control of dual use goods and technologies

The Commission proposal for creation of new Community General Export Authorisations as put forward in the Annex V of the Communication COM(2006)828 was adopted on 16 December 2008. It covers export of low value shipment, export after repair, export for exhibition, computers, telecom and information security and chemicals.

Basic features of the EU regime of export controls
  • The principle of this Regulation is that the items listed cannot leave the EU custom territory without an export authorisation granted by the competent authorities of the Member States. The list is divided into 10 categories of items controlled. For example, 0 is for nuclear materials, facilities and equipment. 9 is for propulsion systems, space vehicles and related equipment. Each category is divided into five subsets which are: A (equipment); B (test and inspection equipment); C (materials), D (software) and E (technologies). There is a Correlation Table, which matches up the Customs TARIC Codes with the Dual Use Codes, based on the DU Regulation which cover items exported from EU member states which need a licence.
  • In December 2008, the Council has adopted common best practices for End User Certificates and in particular common elements for the content of such certificates.
  • There are four types of export authorisations that are referred to in the Regulation:
    1. First, the Community General Export Authorisation covers most of the exports of the controlled items to seven countries (United States of America, Canada, Japan, Australia, New Zealand, Switzerland and Norway).
    2. Second, National General export authorisations. These authorisations, if in force, are published in Member States' official journals. Currently, 7 Member States have these authorisations: France, Germany, Greece, Italy, Sweden, The Netherlands, UK.
    3. Third, global authorisations granted to one exporter and covering several items to several countries.
    4. Fourth, individual licenses, generally for one exporter and covering exports to one end user.
  • Freedom of circulation in the single market for dual use items with some exceptions. The lists in Annex IV detail the items that are controlled prior to being transferred within the Community. For suppliers to know what sort of information they must give to national competent authorities prior to being authorised an intra-Community transfer within the EU, the supplier must address the national competent authorities. The details of the national competent authorities are published in the OJ of the EU and their update is made regularly.
  • Member States at national level are allowed to control the export of additional/non listed dual-use items under article four and five of Regulation 1334/2000 (respectively Articles 4 and 8 of Regulation 428/2009). As a general practical measure, it is highly recommended that exporters refers to details of each national legislation to check if there are any controls on non listed items that would apply to their specific transaction.
    • National specific provisions can cover additional items submitted to export controls in conformity with article 8- of the Regulation or obligations to implement the export control custom procedures at specific border points (article17 of Regulation 428/2009) or additional intra-Community controls (article 11 of Regulation 428/20092)
    • Non published and case by case national controls: under those circumstance, Member States inform exporters that an authorisation is required for a non listed item because of risk of exporting to an end user. The Regulation also binds exporters to consult national authorities to check the need for authorisation because of the risk of diversion of the export to a Weapon of Mass Destruction (WMD) programme or in violation of an embargo.
  • Control of technical assistance when potentially facilitating weapons of mass destruction programmes or arms delivery towards embargoed countries. Not all EU Member States have integrated these provisions into national legislation.
  • In December 2008, the Council has adopted common best practices for End User Certificates and in particular common elements for the content of such certificates.
The role of the EU

In addition to issues mentioned above, the EU has chaired the Task Force on the Peer Review of Member States' implementation of the Regulation, managed peer review of Bulgaria and Romania's systems in 2005 and has carried out a study on possible options to reform the EU regime for export control of dual use items in 2005. It reports on the implementation of the Regulation. It chairs the Coordination Group which enables Member States to address implementation issues and to meet with industry.

The European Union has prepared a report on the EU involvement in the implementation of the UN Resolution which all Member States have referred to in their national contribution to the UN.

EU enlargement

Regarding candidate countries, Turkey, Croatia and the Former Yugoslav Republic of Macedonia, the EU is making sure that the acquis is integrated by those countries and is actively promoting Croatia's membership in all the regimes to which it is applying (Croatia is already member of Wassenaar and Nuclear Supplier's Group).

EU broader political framework on combating proliferation of weapons of mass destruction

New lines for action in combating the proliferation of weapons of mass destruction and their delivery systems" have been adopted by the EU in December 2008. These lines refer to several recommendations regarding export control of dual use items that are to be implemented both at national and EU level such as training and awareness raising to industry and academics.

Trade sanctions

EU sanctions against Iran. Dual use aspects. Regulation 423/2007

The Council has adopted sanctions against Iran which include, in addition to the prohibition of exports of a number of items, items and technologies that are not in the Regulation 1334/2000 but which must be authorised prior to export if the destination is Iran.

The Security Council tightened UN sanctions against Iran March 3 for refusing to suspend uranium enrichment and for not answering questions about its nuclear program for the International Atomic Energy Agency. The new measures include an unequivocal ban on nuclear and missile-related dual use equipment and technology exports to Iran, as well as the authority to inspect suspect air or sea cargoes destined for Iran. Council Regulation (EC) 1110/2008 was adopted pursuant to Council Common Position 2008/652/CFSP 1 which provides, amongst other issues, for the prohibition of the supply, sale or transfer of certain goods and technology that could contribute to the proliferation of sensitive nuclear activities or the development of nuclear weapons delivery systems.

North Korea

EU Council Regulation (EC) No. 329/2007 of 27 March 2007 introduced a ban on the export of goods and technology and the provision of technical assistance and finance, which could contribute to North Korea's nuclear-related, weapons of mass destruction-related or ballistic missile-related programmes.

  1. OJ No L 213, 8.8.2008, p58.

Supporting information

Legislation
Rulings of the European Court of Justice on export controls of dual-use items

Jurisprudence of the European Court of Justice in the area of dual-use goods has established that the rules restricting the exports of these goods to third countries fall within the scope of the common commercial policy, as set out in Article 133 of the EC Treaty. The ECJ delivered preliminary rulings in the case of "Werner" (Case C-70/94) and "Leifer" (case C-83/94).

In the "Werner" (Case C-70/94), the Court stated that "a measure (…) whose effect is to prevent or restrict the export of certain products, cannot be treated as falling outside the scope of the common commercial policy on the ground that it has foreign policy and security objectives".

In the "Leifer" (Case C-83/94), the Court stated that "Article 113 (now Article 133) of the EC Treaty is to be interpreted as meaning that rules restricting exports of dual-use goods to non-member countries fall within the scope of that article and that in this matter the Community has exclusive competence, which therefore excludes the competence of the Member States save where the Community grants them specific authorization". It also ruled that the fact that "a trade measure may have non-trade objectives does not alter the trade nature of such measures". The Court also stated that "the fact that the restriction concerns dual-use goods does not affect that conclusion. The nature of those products cannot take them outside the scope of the common commercial policy".

Implementation of the regulation

The Commission services have made a number of proposals to the Council to facilitate the implementation of these actions. In particular, Commission has been tasked by the council to coordinate "peer reviews of Member States' implementation of Regulation 1334/2000". A task force has been created to that end and has produced a report containing recommendations for follow up. Based on this report, the Working Party on Dual Use Goods presented to the Political and Security Committee a set of recommendations for follow-up which were endorsed (see Reports).

The EU status in international Export control regimes

The various international export control regimes which are at the origin of the control list implemented in the EU are the Nuclear Suppliers' Group, the Australia Group (chemical and biological dual use items), the Missile Technology Control Regime (MTCR) and the Wassenaar Arrangement (export control of arms and dual-use technologies).

All the EU Member States are members of the Australia Group (AG) and the Nuclear Suppliers Group (NSG). All Member States except Cyprus are members of the Wassenaar Arrangement. Most of the EU Member States are members of the Missile Technology Control Regime; The European Commission is only a member of the Australia Group and is an observer to the NSG. As detailed above, the Thessaloniki Action Plan recommended that the EU becomes a leading cooperative player in international export control regimes in particular by increased EU coordination on regimes' decisions, by the adoption of a strategy to support the membership of the new EU MS in the export control regimes (which led to their entry into NSG and AG in May 2004 and to Wassenaar for all of the new Member States except Cyprus in April 2005), by enhancing Commission's status in MTCR and Wassenaar.

Industrial goods

The EU is the world's biggest exporter of manufactured goods, and is a global market leader for high-quality products.