21st October 2024 |
Guidelines
A Union General Export Authorisation (UGEA) allows exporters to export certain dual-use items to specific countries under a simplified procedure, without having to apply for individual export authorisations for each transaction.
Dual-Use Regulation and UGEAs
Regulation (EU) 2021/821, sets out rules for the control of export, brokering, transit, and transfer of dual-use items. UGEAs provide pre-authorised general authorisations for certain categories of dual-use goods, easing the administrative burden on businesses exporting to specific countries.
They are applicable only under specific conditions, such as the types of goods being exported, the destination countries, and any end-use restrictions. For example, goods under UGEA cannot be exported to embargoed countries or entities involved in WMD programs.
Exporters using UGEAs are required to comply with specific reporting and record-keeping obligations, ensuring transparency and accountability in the use of these general authorisations.
Exporters in Ireland wishing to avail of a UGEA must register on EAS and must notify the Minister for Enterprise, Trade and Employment in writing of their intention using the template notification letter below.
Exporters should familiarise themselves with all eligibility requirements and conditions of use contained in Regulation 2021/821. The following is high-level summary information and not intended as legal interpretation of the regulation.
UGEA No EU001: Export of certain dual-use items to certain destinations
Scope: UGEA No. EU001 allows for the export of dual-use items to certain friendly and low-risk countries without requiring individual export authorisations.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, including Liechtenstein, United Kingdom, United States.
Eligible items: This authorisation covers all dual-use items specified in any entry in Annex I, except those listed in Section I of Annex II of the Dual Use Regulation.
Conditions: This authorisation prohibits the export of items if the exporter is informed or aware that the items could be used for nuclear, chemical, or biological weapons, military use in embargoed countries, or as components for unauthorised military exports. Exporters must declare these exports under Union general export authorisation No. EU001 on customs documentation and notify the competent authority of their first use within 30 days.
UGEA No EU002: export of certain dual-use items to certain destinations
Scope: Authorises exports of certain dual-use items to specific destinations within the framework of intra-company transfers.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Argentina, South Africa, South Korea, Turkey.
Eligible items: Limited to specific categories of dual-use goods, including certain electronics, computers, and telecommunications equipment, but excluding more sensitive items like encryption technology and military-grade equipment. It covers the following dual-use items specified in Annex I: 1A001, 1A003, 1A004, 1C003.b, 1C003.c, 1C004, 1C005, 1C006, 1C008, 1C009, 2B008, 3A001.a.3, 3A001.a.6, 3A001.a.7, 3A001.a.9, 3A001.a.10, 3A001.a.11, 3A001.a.12, 3A002.c, 3A002.d, 3A002.e, 3A002.f, 3C001, 3C002, 3C003, 3C004, 3C005, and 3C006.
Conditions: This authorisation prohibits exports if items are intended for nuclear, chemical, or biological weapons; military use in embargoed countries; or unauthorised military exports. Exporters must declare these exports under Union general export authorisation No. EU002 in customs documentation and notify the competent authority of their first use within 30 days or prior if required.
UGEA No EU003: export after repair/replacement
Scope: Covers the export of repaired or replaced dual-use items that were previously exported under a valid export authorisation.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Albania, Argentina, Bosnia and Herzegovina, Brazil, Chile, China (including Hong Kong and Macao), French overseas territories, India, Kazakhstan, Mexico, Montenegro, Kazakhstan, Mexico, Montenegro, Morocco, North Macedonia, Russia, Serbia, Singapore, South Africa, South Korea, Tunisia, Turkey, Ukraine, United Arab Emirates.
Eligible items: The authorization covers all dual-use items in Annex I, except for items listed in Section I, Sections D and E, and 24 specific exclusions: 1A002.a., 1C012.a., 1C227, 1C228, 1C229, 1C230, 1C231, 1C236, 1C237, 1C240, 1C350, 1C450, 5A001.b.5., 5A002.c., 5A002.d., 5A002.e., 5A003.a., 5A003.b., 6A001.a.2.a.1., 6A001.a.2.a.5., 6A002.a.1.c., 8A001.b., 8A001.c.1., and 9A011, provided they are reimported for maintenance and exported within 5 years under certain conditions.
Conditions: This authorisation can only be used for items initially exported under a Union general export authorisation or with permission from the competent authority of the Member State, specifically for reimported items meant for maintenance, repair, or replacement, and is valid solely for exports to the original end-user. It prohibits exports if the exporter is informed that the items may be intended for uses related to weapons development, military end-use in embargoed countries, or unauthorized military components, among other specified conditions. Exporters must declare the reference number of the initial authorisation in customs documentation and notify the competent authority of the first use of this authorisation within 30 days. The authorisation allows for certain repairs and replacements without enhancing the original item's functional capabilities.
UGEA No EU004: Temporary export for exhibition or fair
Scope: Authorises the temporary export of dual-use items for use at exhibitions, fairs, or demonstrations.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Albania, Argentina, Bosnia and Herzegovina, Brazil, Chile, China (including Hong Kong and Macao), French overseas territories, India, Kazakhstan, Mexico, Montenegro, Morocco, North Macedonia, Russia, Serbia, Singapore, South Africa, South Korea, Tunisia, Turkey, Ukraine, United Arab Emirates.
Eligible items: This authorisation covers all dual-use items specified in Annex I, except for all items listed in Section I, all items in Section D (excluding necessary software for demonstration purposes), all items in Section E, and specific items including 1A002.a, 1C002.b.4, 1C010, 1C012.a, 1C227, 1C228, 1C229, 1C230, 1C231, 1C236, 1C237, 1C240, 1C350, 1C450, 5A001.b.5, 5A002.c, 5A002.d, 5A002.e, 5A003.a, 5A003.b, 6A001, 6A002.a, 8A001.b, 8A001.c.1, and 9A011.
Conditions: This authorisation allows for the temporary export of items listed for exhibitions or fairs, provided they are reimported into the EU within 120 days without modification. The competent authority may waive the reimport requirement upon request, and the authorisation does not permit exports if items are intended for military or weapons-related uses, among other specified conditions. Exporters must declare their use of Union general export authorisation No. EU004 in customs documentation and notify the relevant competent authority of their first use within 30 days.
UGEA No EU005: Telecommunications
Scope: Allows for the export of telecommunications equipment and related technology to low-risk countries.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Argentina, China (including Hong Kong and Macao), India, South Africa, South Korea, Russia, Turkey, Ukraine.
Eligible items: This authorisation covers specific dual-use items listed in Annex I, including Category 5 items such as specially designed components and accessories specified in 5A001.b.2, 5A001.c, and 5A001.d; test, inspection, and production equipment specified in 5B001 and 5D001, along with related software; and technology controlled by 5E001.a necessary for the installation, operation, maintenance, or repair of these items for the same end-user.
Conditions: This authorisation prohibits the export of items if the competent authority has informed the exporter that they may be intended for uses such as developing or producing weapons of mass destruction, military applications in embargoed countries, or violations of human rights through surveillance technologies. Additionally, the authorisation is void if the exporter is aware that the items are intended for unauthorised re-export or are being sent to customs-free zones in covered destinations. Exporters must declare that items are being exported under Union general export authorisation No EU005 in customs documentation and notify the relevant authorities of their first use within 30 days.
UGEA No EU006: Chemicals
Scope: Facilitates the export of specific chemicals listed as dual-use items.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to the following destinations: Argentina, South Korea, Turkey, Ukraine.
Eligible items: This authorisation covers the following dual-use items specified in Annex I: 1C350, including Thiodiglycol (CAS 111-48-8), Phosphorus oxychloride (CAS 10025-87-3), Dimethyl methylphosphonate (CAS 756-79-6), Methylphosphonyl dichloride (CAS 676-97-1), Dimethyl phosphite (DMP) (CAS 868-85-9), Phosphorus trichloride (CAS 7719-12-2), Trimethyl phosphite (TMP) (CAS 121-45-9), Thionyl chloride (CAS 7719-09-7), and 3-Hydroxy-1-methylpiperidine (CAS 3554-74-3), among others, as well as items under 1C450, such as Phosgene (CAS 75-44-5), Cyanogen chloride (CAS 506-77-4), and Hydrogen cyanide (CAS 74-90-8), and additional chemicals containing phosphorus or related compounds.
Conditions: This authorisation prohibits the export of items intended for the development or use of chemical, biological, or nuclear weapons, military end-use under an arms embargo, or components of unauthorized military items. Additionally, it applies if the exporter is aware that the items may be re-exported to restricted destinations or stored in customs-free zones related to such destinations. Exporters must declare the use of this authorisation in customs documentation and notify the competent authority of their first use within 30 days.
UGEA No EU007: Intra-group technology transfers
Scope: Allows for technology transfers within multinational companies, facilitating the sharing of dual-use technology within the same corporate group.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports of software and technology to the following destinations: Argentina, Brazil, Chile, India, Indonesia, Israel, Jordan, Malaysia, Mexico, Morocco, Philippines, Singapore, South Africa, South Korea, Thailand, Tunisia.
Eligible items: This authorisation covers all technology and software specified in Annex I, except those listed in Section I of this Annex and technology and software related to items under 4A005, 4D004, 4E001.c, 5A001.f and 5A001.j.
Conditions: This authorisation permits the export of specified software and technology by exporters established in a Member State to wholly owned subsidiaries or sister companies, provided that the parent company is also established in a Member State or a country covered by Union general export authorisation No EU001 and guarantees compliance. However, exports are prohibited if the software or technology is intended for military, security, or human rights violations, or if the exporter is aware of such intended uses, and they must implement an Internal Compliance Programme, register with the competent authority, and report on their use of the authorisation annually. The exporter must declare the export under Union general export authorisation No EU007 in customs and notify the competent authority of the first use of the authorisation no later than 30 days before the initial export.
UGEA No EU008: Encryption
Scope: Authorises the export of certain encryption technology and equipment with civil applications.
Eligible destinations: This authorisation is valid throughout the customs territory of the Union for exports to all destinations, excluding:
(a) destinations eligible for export under Union general export authorisation No EU001;
(b) Afghanistan, Armenia, Azerbaijan, Belarus, Cambodia, Central African Republic, China (including Hong Kong and Macao), Congo, Democratic Republic of the Congo, Egypt, Eritrea, Georgia, Iran, Iraq, Israel, Kazakhstan, Kyrgyzstan, Lebanon, Libya, Malaysia, Mali, Mauritius, Mongolia, Myanmar/Burma, North Korea, Oman, Pakistan, Qatar, Russia, Saudi Arabia, Somalia, South Sudan, Sudan, Syria, Tajikistan, Turkmenistan, United Arab Emirates, Uzbekistan, Venezuela, Yemen, Zimbabwe;
(c) any destination, other than those listed in point (b), subject to an arms embargo or subject to restrictive measures of the Union applicable to dual-use items.
Eligible items: This authorisation covers specific dual-use items outlined in Annex I, including 5A002.a.2, 5A002.a.3, and various software and technology related to cryptographic activation tokens (5A002.b., 5D002.a.1., 5D002.b., 5D002.c.1., and 5E002.b.). To be valid, the items must utilise only published or commercially approved cryptographic standards, avoid government-designed standards, and have unchangeable cryptographic functionality by the user. The authorisation is invalid if the exporter is informed that the items are accredited or classified to handle information equivalent to or above "RESTREINT UE/EU RESTRICTED" by a competent authority in the Member State.
Conditions: This authorisation prohibits the export of items if the exporter is informed by the competent authority that the items may be intended for use in developing, producing, or handling chemical, biological, or nuclear weapons, military applications, or violations of human rights. Exporters must register with the competent authority before using this authorisation, declare the items under Union general export authorisation No EU008 in customs documentation, and provide technical data upon request, including manufacturer details and export control classification. Additionally, the competent authority may prohibit the use of this authorisation for national security reasons, and exporters must report their usage at least once per year, detailing quantities, values, and intended end-users.
Topics:
Export controls