By Maya Lester KC & Michael O’Kane

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By Maya Lester KC & Michael O’Kane

EU Export Controls

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Thank you to Fieldfisher for their help with this page.

Introduction to Export Controls

EU export controls aim to manage the risks of international transfers of sensitive items that could be misused to undermine national security or to fuel conflict, terrorism, crime, human rights violations or the proliferation of Weapons of Mass Destruction (“WMD”).

The controls require the authorisation/licensing of the export, and in some cases the brokering or transhipment, of sensitive goods, software and technology (‘items’) including:

  • Military items: items that have been specially designed or modified for military use or are otherwise listed in the respective lists of military items (“Military Lists”);
  • Dual-use items: items that have been designed for civilian use but which have potential military or security uses and are specified in the respective lists of dual-use items subject to controls (“Dual-use Lists”). The main categories include: nuclear; advanced machine tools; pathogens and toxins; toxic and high energy chemicals; high strength materials; high specification semiconductors, electronics, computers and telecommunications; cryptography; lasers, optics and sonar; navigation and avionics; submersibles; and aerospace and space;
  • End-use controls: any item intended: for use in a WMD programme; for use with military items exported without authorisation; for military use in a country subject to an arms embargo; or certain other uses in some instances (e.g. police, security, intelligence, cyber surveillance, terrorism). WMD programmes concern nuclear, chemical or biological weapons, or missiles capable of delivering them;
  • Civilian firearms and ammunition;
  • Torture items: items that could be used for capital punishment, torture, or cruel and inhuman or degrading treatment or punishment.

 

The EU, UK and US Military and Dual-Use Lists all share a common core of items agreed internationally by the four multilateral ‘Export Control Regime’ groups of countries that coordinate efforts to regulate the export of sensitive items:

  • Wassenaar Arrangement: lists all conventional military and most dual-use items;
  • Nuclear Suppliers Group: lists all items designed for use in the nuclear fuel cycle (the ‘Trigger List’) and other items with potential use in nuclear weapons programmes;
  • Australia Group: lists items with potential use in chemical or biological weapons programmes;
  • Missile Technology Control Regime: lists military and dual-use items with potential use in programmes for the means of delivery of WMD and advanced conventional weapons.

 

EU Member States add further items to their lists on a national basis.

In contrast to trade sanctions, export controls generally apply to exports of controlled items to all destinations. However, the licensing architecture focuses the closest scrutiny on transactions that pose the highest risks while enabling lower risk business to be pursued with a reduced regulatory burden.

Goods, software and technology subject to export controls are listed in EU Control Lists (see below).

 

Items

Items subject to export controls include the following:

  • Goods: these can take the form of equipment, components, materials, samples, chemicals and biological agents, etc.. The controls apply to finished products, to components specially designed for such products and to components that meet the definitions in the control lists in their own right;
  • Software: that is specially designed for the development, production or use of controlled goods, whether military or dual-use, as well as software that is specifically listed as subject to controls;
  • Technology or technical data: this is generally defined as the specific information required for the development, production or use of controlled goods or software. Controlled technology can take any form including data, research papers, designs, manuals and formulae.

 

Activities

Activities subject to export controls include the following:

  • Physical exports: export of controlled goods, on a permanent or temporary basis, including very small quantities, repairs and replacements. Exports include hand carrying controlled software or technology on paper or on a laptop, mobile phone or memory device when travelling;
  • Electronic transfers: transfers out of a country of controlled software or technology by any means. This includes email, phone, video conference, and download or access of documents by a person located overseas. ‘Software-as-a-Service’ via the cloud is not generally considered to be an export provided that no executable software is transferred. Similarly, transferring controlled software outside a country to be stored on a cloud server is not generally considered to be an export provided that its transfer and storage securely prevents access to it by anyone outside the country of origin (e.g. end-to-end encryption and identity management);
  • Technical assistance/services, generally defined as repairs, development, manufacture, assembly, testing, maintenance, or any other technical service related to controlled goods;
  • Brokering: facilitating the transfer of military and end-use controlled items from one third country to another;
  • Transit and trans-shipment: shipping military and end-use controlled items through a country from one third country to another;
  • Release of security classified information: some military and other sensitive items may be subject to national security classifications. Such items and information related to them may require separate authorisations, in addition to export licences, before they may be released or exported. These controls vary on a national basis and are not addressed further in this guidance.

 

Overview of EU Export Controls

EU export controls consist of:

  • restrictions that apply across the EU (provided for by EU legislation), and
  • export controls specific to Member States (see the country pages for individual member states for specific controls).

Both are enforced at Member State level.

There are two EU-wide export controls regimes:

  • dual-use export controls (binding) – items that have been designed for civilian use but which have potential military or security uses and are specified in the respective lists of dual-use items subject to controls (“Dual-use Lists”). The main categories include: nuclear; advanced machine tools; pathogens and toxins; toxic and high energy chemicals; high strength materials; high specification semiconductors, electronics, computers and telecommunications; cryptography; lasers, optics and sonar; navigation and avionics; submersibles; and aerospace and space
  • military export controls (non-binding) – items that have been specially designed or modified for military use or are otherwise listed in the respective lists of military items (“Military Lists”);

 

Legislation

  1. Dual-use and end-use: Council Regulation (EU) 2021/821 establishes controls on dual-use items and end-use controls on all items. It is directly applicable in all EU Member States. The main Dual-Use List is at Annex I and a list of highly sensitive dual-use items is at Annex IV. It also includes Union General Export Authorisations (“GEAs”), a type of general licence (Annex II). Authorisation and enforcement provisions are established separately in national legislation by Member States. Member States may also adopt additional controls on dual-use items on a national basis; such measures are set out in an Information Note;
  2. Military: controls on military items are established in national legislation (since military controls are outside the legal competence of the EU institutions). These are based on the Common Military List of the EU (2024 version) and subject to common licensing criteria established by the Council Common Position 2008/944/CFSP, as amended by Council Decision (CFSP) 2025/779;
  3. Other: the EU also imposes controls on trade in goods which could be used for capital punishment or torture (Regulation (EU) 2019/125) and on firearms (Regulation (EU) 2025/41).

 

EU export controls do not apply to transfers of dual-use items between Member States, except in respect of items listed in Annex IV of Council Regulation (EU) 2021/821. But relevant commercial documents relating to intra-EU transfers of dual-use items listed in Annex I must indicate that those items are subject to controls if exported outside the EU.

 

Export control classifications

Military and dual-use items are assigned an alphanumeric code based on the relevant entry in the military or dual-use lists if they meet the criteria defined in that entry. This code is referred to as a ‘control rating’ or ‘control entry’ in the EU.

 

Dual-use export controls

Summary Guidance

The EU’s dual-use export controls are governed by Regulation (EU) 2021/821. The controls apply directly to all EU Member States. However, EU Member States may impose their own additional measures.

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

The Regulation therefore applies to certain:

  • Goods: these can take the form of equipment, components, materials, samples, chemicals and biological agents, etc.. The controls apply to finished products, to components specially designed for such products and to components that meet the definitions in the control lists in their own right;
  • Software: that is specially designed for the development, production or use of controlled goods, whether military or dual-use, as well as software that is specifically listed as subject to controls;
  • Technology or technical data: this is generally defined as the specific information required for the development, production or use of controlled goods or software. Controlled technology can take any form including data, research papers, designs, manuals and formulae.

Annexes to the Regulation

Annex I to the Regulation lists dual-use items that require a licence (“authorisation”) to export from inside the EU to outside it. Certain reporting requirements also apply to items on Annex 1 when transferred between Member States. Goods are divided into categories:

  • Category 0: nuclear materials, facilities and equipment
  • Category 1: special materials and related equipment
  • Category 2: materials processing
  • Category 3: electronics
  • Category 4: computers
  • Category 5: telecommunications and information security
  • Category 6: sensors and lasers
  • Category 7: navigation and avionics
  • Category 8: marine; and
  • Category 9: aerospace and propulsion

Items listed in Annex IV require an authorisation to be exported within the EU or to outside it.

End-use controls

Under Annex II (1) other items beyond those listed in Annex I, including any associated brokering services or technical assistance, need authorisation if they are intended, entirely or in part, for:

  • chemical, biological or nuclear weapons
  • military use in countries subject to an arms embargo
  • components of military items already exported from a Member State without the necessary authorisation

Not Listed Items

This covers all items (goods, software and technology) that are not specifically listed as subject to export controls (i.e. the great majority of ordinary commercial and consumer goods). The EU generally refers to such items as “not listed”. Such items are not subject to export controls except if they are intended to be exported for a prohibited end-use or if their export is prohibited by sanctions on the end-user or destination country.

 

Military export controls

Military export controls are controlled by each Member State. However, the EU maintains a common military list of items subject to export controls.

The EU military list has 22 categories, from ML1 (“Smooth-bore weapons with a calibre of less than 20 mm…etc.”) to ML22 (military technology).

This list is non-binding on Member States but is adopted annually by the Council under Council Common Position 2008/944/CFSP. Each Member State can legislate and implement its own version of the common military list.

The 2024 Common Military List

The list covers items such as:

  • firearms
  • ammunition
  • bombs
  • surveillance equipment
  • military vehicles

 

Exceptions

Generally, the main exceptions to the controls apply to:

  1. ‘In the public domain’: software and technology that is available without restriction upon further dissemination (no account being taken of restrictions arising solely from copyright);
  2. ‘Basic scientific research’: technology (except for WMD programmes) that is experimental or theoretical work undertaken principally to acquire knowledge of the fundamental principles or phenomena or observable facts and not primarily directed towards a specific practical aim or objective;
  3. Patents: transfers of technology (except nuclear technology) that is the minimum required for patent applications;

 

Export Licences

Guidance

Dual-use export control: National competent authorities

The EU provides for three main types of export licences (similar licences cover brokering and transit activities):

  1. General licences: these are available to all exporters and cover the supply of unlimited quantities of lower-risk items to lower-risk destinations, subject to certain conditions. They are intended to make export licensing of such transactions as simple as possible. These include the EU’s Union GEAs and National GEAs;
  2. Global licences: these cover unlimited quantities of specified goods to specified customers or sectors from a single exporter, subject to certain conditions. They are intended to simplify export licensing for exporters of large quantities of controlled items and/or customers.
  3. Individual licences: these cover specified quantities of specified goods to a single specified customer from a single exporter, subject to certain conditions. These are required if no general or global licence is applicable.

 

Requesting a licence & reporting

Guidance

All authorisations listed in the Dual-Use Regulation can be requested via the EU’s e-licensing site.

Exporters requesting authorisation must:

  • supply authorities with the:
    • end-user
    • country of destination
    • end-use of the item
  • keep detailed records of exports for 5 years to identify:
    • descriptions and quantities of the dual-use items
    • names and addresses of the exporter and consignee
    • end-use and end-user

Authorisations to provide brokering services or technical assistance are granted by national authorities. They are valid throughout the EU customs area. Applicants must provide details of:

  • location, description and quantity of the dual-use items
  • 3rd parties involved
  • country of destination
  • end-user and location

 

Enforcement

Breaching export controls is generally a criminal offence. In escalating order, the main penalties generally imposed for breaches are as follows:

  1. Warning letter: this generally applies to first-time offences that are minor or voluntarily disclosed;
  2. Withdrawal of export licences: this may be applied in the event that compliance errors are repeated;
  3. Civil fine: in the EU, these depend on national legislation.
  4. Prosecution: this is generally reserved to instances of deliberate breaches. In the EU, penalties range up to unlimited fines and/or ten years imprisonment

 

Individual Member States are responsible for enforcement.

Article 24 of the Dual-Use Regulation established a Dual-Use Coordination Group, which is chaired by a representative of the EU Commission. Each Member State has a representative.

The Group set up an Enforcement Coordination Mechanism, under which Member States and the Commission exchange information on:

  • application, nature and effect of the measures
  • enforcement of best practices
  • unauthorised exports of dual-use items and/or infringements of this Regulation and/or relevant national legislation
  • best practices of national enforcement authorities regarding risk-based audits
  • the detection and prosecution of unauthorised exports of dual-use items and/or possible other infringements of this Regulation and/or relevant national legislation

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