Guidelines for data collection and preparation of the EU annual report on dual-use export controls under Regulation (EU) 821/2021

All stakeholders with an interest in export of dual-use items and technologies (e.g. exporters, industry associations, government authorities, academia, research institutions and non-governmental organisations).

EU annual export control reports have been prepared since 2013 and include licensing data collected through a dedicated mechanism developed with Member States on a voluntary basis.

The EU Dual Use Regulation (EU) 2021/821 (the Regulation) mandates the collection of certain licensing information relevant to the implementation and enforcement of export controls, for reasons of effectiveness, consistency and transparency of export controls inside the EU. In particular, Article 26 of the Regulation requires that the annual report should include specific information on the licensing, administration and enforcement of controls in the EU:

[Title]: TRANSPARENCY, OUTREACH, MONITORING, EVALUATION

Article 26 Regulation EU 2021/821

1. […].

2.The Commission shall, in consultation with the Dual-Use Coordination Group, submit an annual report to the European Parliament and the Council on the implementation of this Regulation, and on the activities, examinations and consultations of the Dual-Use Coordination Group. That annual report shall be public.

The annual report shall include information on authorisations (in particular number and value by types of items and by destinations at Union and Member State levels), denials and prohibitions under this Regulation. The annual report shall also include information on the administration (in particular staffing, compliance and outreach activities, dedicated licensing or classification tools), and enforcement of controls (in particular the number of infringements and penalties).

With regard to cyber-surveillance items, the annual report shall include dedicated information on authorisations, in particular on the number of applications received by item, the issuing Member State and the destinations concerned by those applications, and on the decisions taken on those applications.

The information contained in the annual report shall be presented in accordance with the principles set out in paragraph 3.

The Commission and the Council shall make available guidelines on the methodology for data gathering and processing for the preparation of the annual report, including the determination of the types of items and the availability of enforcement data.

3. Member States shall provide to the Commission all appropriate information for the preparation of the report with due consideration given to legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Regulation (EC) No 223/2009 of the European Parliament and of the Council on European statistics applies to information exchanged or published under this Article.

4. […].

To deliver this annual reporting, the Commission is working, together with Member States in the Dual Use Coordination Group established under Article 24 of the Regulation (DUCG), on the preparation of guidelines to support the collection of data from the competent authorities, and the preparation of the annual report.

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