Issuing authority: European Union
Background
- Article 12(d) of Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items, provides for eight EU General Export Authorisations (UGEA).
- UGEA offers a simplified procedure for exports of certain items to certain destinations under specific conditions and requirements for use.
- Sections A to H of Annex II of the Regulation provide the conditions for use for each UGEA.
- On 1 January 2021, following its exit from the EU, the UK was added to UGEA EU001.
UGEA Notification Letter
Copy/template of a Notification Letter to use a UGEA
Details of each UGEA
EU001 – Covers most Annex I exports to 8 destinations: Australia, Canada, Japan, New Zealand, Norway, Switzerland (including Liechtenstein), United Kingdom and United States of America.
EU002 – Export of certain dual-use items to certain destinations Annex IIb - Covers several Wassenaar Arrangement–controlled items (for a specific list of covered items please refer to the legislation). It authorises exports to 6 destinations: Argentina, Croatia, Iceland, South Africa, South Korea and Turkey.
EU003 – Export after Repair/Replacement - Covers most Annex I (though with several exceptions set out in the authorisation). It concerns exports following the repair/replacement of covered items, where the relevant items were initially exported from the EU under a valid licence and were being re-imported into the European Union for the purpose of maintenance, repair or replacement. It authorises exports to 24 destinations: Albania, Argentina, Bosnia and Herzegovina, Brazil, Chile, China (including Hong Kong and Macao), Croatia, The former Yugoslav Republic of Macedonia, French Overseas Territories, Iceland, India, Kazakhstan, Mexico, Montenegro, Morocco, Russia, Serbia, Singapore, South Africa, South Korea, Tunisia, Turkey, Ukraine, United Arab Emirates.
EU004 – Temporary Export for Exhibition or Fair - The authorisation contains several very specific conditions of use. For example, the authorisation does not cover the export of items where the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation. It does not cover the export of items where their return in their original state, without the removal, copying or dissemination of any component or software, cannot be guaranteed by the exporter, or where a transfer of technology is connected with a presentation. It does not cover items that are to be exported for a private presentation or demonstration. There are many other specific conditions of use in the Regulation. It authorises exports to 24 destinations: Albania, Argentina, Croatia, Bosnia and Herzegovina, Brazil, Chile, China (including Hong Kong and Macao), The former Yugoslav Republic of Macedonia, French Overseas Territories, Iceland, India, Kazakhstan, Mexico, Montenegro, Morocco, Russia, Serbia, Singapore, South Africa, South Korea, Tunisia, Turkey, Ukraine, United Arab Emirates.
EU005 – Telecommunications - Covers some category 5 part 1 items (for a specific list of covered items please refer to the legislation). It authorises exports to 9 destinations: Argentina, China (including Hong Kong and Macao), Croatia, India, Russia, South Africa, South Korea, Turkey, and Ukraine.
EU006 – Chemicals - Covers several items in category 1C350, 1C450.a. and 1C450.b. (for a specific list of covered items please refer to the legislation). It authorises exports to 6 destinations: Argentina, Croatia, Iceland, South Korea, Turkey, and Ukraine.
EU007 – Intra-group export of software and technology - Covers all technology and software specified in Annex I, except those listed in Section I of Annex II and technology and software related to items under 4A005, 4D004, 4E001.c, 5A001.f and 5A001.j, to 16 destinations, Argentina, Brazil, Chile, India, Indonesia, Israel, Jordan, Malaysia, Mexico, Morocco, Philippines, Singapore, South Africa, South Korea, Thailand, Tunisia. Prior to exporting under this UGEA, exporters must familiarise themselves with the specific conditions attached.
EU008 – Encryption - Covers exports of certain category 5 dual-use items specified in Annex I and meet certain very specific cryptographic standards as specified in Annex II. It authorises exports to most countries with a list of exceptions that are outlined in Annex II. The authorisation may only be used for certain end uses and by certain categories of end user. Exporters must read the conditions for use in Annex II(H) prior to availing of this authorisation.
Further information
Each UGEA contains a very precise list of items and destinations. In addition, each UGEA is subject to specific conditions of use, which must be adhered to when exporting under the general authorisation. (Regulation (EU) 2021/821 is linked below for ease of reference.)
Prior to availing of a UGEA, exporters are obliged to familiarise themselves with the precise scope of the authorisations as set out in the legislation. It is the responsibility of each exporter to assess whether the relevant items are covered.
Exporters are obliged to register with the Department of Enterprise, Trade and Employment prior to availing of UGEA. Registration is through OELAS, the exporter portal.
On exportation of any items pursuant to an authorisation, it is important to specify the EU reference number and the relevant Union General Export Authorisation number in Box 44 of the Single Administrative Document (SAD). The reference numbers are as follows:
X0601 - EU001, X062 - EU002, X063 - EU003, X064 - EU004, X065 - EU005, X066 - EU006, X067 - EU007 or X068 - EU008.
Exporters should note that the EU reference number X002 is no longer in use.
Exporters may be prohibited from using Union General Export Authorisations if there is reasonable suspicion about their ability to comply with an authorisation or with a provision of the export control legislation. This is an important part of the common EU approach to managing the UGEA system and exporters should note that information about prohibited exporters is exchanged among all Member States.
The complete text of the Regulation can be accessed at EUR-Lex - 32021R0821 (europa.eu).