export control policy review Annexes - Europatrade.ec.europa.eu/doclib/docs/2017/may/tradoc_155610.pdf · 2019-04-29 · Written by SIPRI and Ecorys 6 November 2015 FINAL REPORT Data

Written by SIPRI and Ecorys 6 November 2015

FINAL REPORT

Data and information collection for EU dual-use export control policy review

Annexes

i

ANNEX 1: ADDITIONAL FIGURES AND TABLES FOR CHAPTER 4 Figure 4.8 World export market shares in selected top-10 sectors ....... iii Figure 4.9 RCA in top-10 selected sectors ………………………………...……vi

Table 4.2. Value of extra and intra EU exports (from EU-28) in dual-use related items per HS2 category, 2014 ................................... ix

Table 4.5a. Dutch Customs data: share of exports requiring a licence…. . xi

Table 4.25b Matching NACE Rev. 2 – HS (expanded table) .................... xiii

Table 4.26 Data synthesis table ............................................................ xv

ii

iii

Figure 4.8 World export market shares in selected top-10 sectors

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS27 - Mineral fuels and oils

EU-27 Russian Federation Singapore USA Rep. of Korea Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS29 - Organic Chemicals

EU-27 USA Japan Switzerland China Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS38 - Misc. chemical products

EU-27 USA Japan China Israel Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS39 - Plastics

EU-27 USA Japan China Rep. of Korea Rest of World

iv

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS71 - Pearls, precious stones and metals

EU-27 Australia South Africa Japan Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS84 - Nuclear reactors and machinery

EU-27 USA China Japan Singapore Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS85 - Electrical machinery

EU-27 China China, Hong Kong SAR USA Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS88 - Aircraft and spacecraft

EU-27 USA Canada Brazil Singapore Rest of World

v

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS89 - Ships, boats and floating structures

EU-27 Rep. of Korea Japan China Rest of World

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

100%

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

HS90 - Optical, measuring and medical equipment

EU-27 USA Japan China Rep. of Korea Rest of World

vi

Figure 4.9 RCA in top-10 selected sectors

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 27 Mineral fuels and oils

RCA Russia RCA Singapore RCA USA RCA Rep. of Korea

0.0

1.0

2.0

3.0

4.0

5.0

6.0

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 29 Organic chemicals

RCA USA RCA Japan RCA Switzerland RCA China

0.0

1.0

2.0

3.0

4.0

5.0

6.0

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 38 Misc. chemical products

RCA USA RCA Japan RCA China RCA Israel

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 39 Plastics

RCA USA RCA Japan RCA China RCA Rep. of Korea

vii

0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 71 Pearls, precious stones and metals

RCA Australia RCA South Africa RCA Japan RCA Ghana

0.5

0.6

0.7

0.8

0.9

1.0

1.1

1.2

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 84 Nuclear reactors and machinery

RCA China RCA USA RCA Japan RCA Singapore

0.0

1.0

2.0

3.0

4.0

5.0

6.0

7.0

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 88 Aircraft and spacecraft

RCA USA RCA Canada RCA Brazil RCA Singapore

0.0

0.2

0.4

0.6

0.8

1.0

1.2

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 85 Electrical machinery

RCA China RCA Hong Kong RCA USA RCA Japan

viii

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 89 Ships, boats and floating structures

RCA Rep. of Korea RCA Japan RCA China

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

RCA - HS 90 Optical and medical equipment

RCA USA RCA Japan RCA China RCA Rep. of Korea

ix

Table 4.2. Value of extra and intra EU exports (from EU-28) in dual-use related items per HS2 category, 2014 HS-‐2 description Jan.-‐Dec. 2014 Jan.-‐Dec. 2014 Jan.-‐Dec. 2014

Values in EUR million Nr. DU € AVG Extra-‐EU Intra-‐EU Total

84 Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof 903 364 150,412 178,671 329,083 31.6%

85 Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles 2,661 91 88,124 153,653 241,777 18.5%

88 Aircraft, spacecraft, and parts thereof 101 1,037 56,384 48,346 104,729 11.8%

90 Optical, photographic, cinematographic, measuring, checking, precision, medical or surgical instruments and apparatus; parts and accessories thereof 334 194 36,588 28,229 64,817 7.7%

27 Mineral fuels, mineral oils and products of their distillation; bituminous substances; mineral waxes 34 2,344 29,549 50,143 79,693 6.2%

71 Natural or cultured pearls, precious or semi-‐precious stones, precious metals, metals clad with precious metal, and articles thereof; imitation jewellery; coin 24 1,165 24,518 3,448 27,966 5.1%

39 Plastics and articles thereof 104 513 15,820 37,569 53,390 3.3% 29 Organic chemicals 98 166 8,442 7,800 16,242 1.8% 38 Miscellaneous chemical products 288 69 8,352 11,433 19,785 1.8% 89 Ships, boats and floating structures 40 255 8,157 2,047 10,204 1.7% 73 Articles of iron or steel 111 228 8,093 17,223 25,316 1.7% 72 Iron and steel 185 146 6,925 20,144 27,069 1.5% 87 Vehicles other than railway or tramway rolling-‐stock, and parts and accessories thereof 7 1,968 6,066 7,710 13,776 1.3% 40 Rubber and articles thereof 23 449 3,579 6,752 10,331 0.8% 76 Aluminium and articles thereof 33 483 3,456 12,477 15,933 0.7%

49 Printed books, newspapers, pictures and other products of the printing industry; manuscripts, typescripts and plans 372 21 2,935 4,969 7,904 0.6%

28 Inorganic chemicals; organic or inorganic compounds of precious metals, of rare-‐earth metals, of radioactive elements or of isotopes 189 34 2,503 3,998 6,501 0.5%

30 Pharmaceutical products 6 394 1,554 812 2,366 0.3%

32 Tanning or dyeing extracts; tannins and their derivatives; dyes, pigments and other colouring matter; paints and varnishes; putty and other mastics; inks 4 911 1,463 2,181 3,644 0.3%

70 Glass and glassware 63 85 1,373 3,985 5,358 0.3% 75 Nickel and articles thereof 50 60 1,356 1,660 3,016 0.3% 69 Ceramic products 74 36 1,103 1,561 2,664 0.2% 68 Articles of stone, plaster, cement, asbestos, mica or similar materials 18 183 1,099 2,187 3,286 0.2% 62 Articles of apparel and clothing accessories, not knitted or crocheted 12 286 1,086 2,342 3,428 0.2%

34

Soap, organic surface-‐active agents, washing preparations, lubricating preparations, artificial waxes, prepared waxes, polishing or scouring preparations, candles and similar articles, modelling pastes, "dental waxes" and dental preparations with a basis o 4 667 1,058 1,609 2,667 0.2%

81 Other base metals; cermet; articles thereof 148 18 954 1,691 2,645 0.2%

86 Railway or tramway locomotives, rolling-‐stock and parts thereof; railway or tramway track fixtures and fittings and parts thereof; mechanical (including electro-‐mechanical) traffic signalling equipment of all kinds 8 175 797 605 1,402 0.2%

94 Furniture; bedding, mattresses, mattress supports, cushions and similar stuffed furnishings; lamps and 1 1,970 700 1,270 1,970 0.1%

x

lighting fittings, not elsewhere specified or included; illuminated signs, illuminated name-‐plates and the like; prefabricated buildings

82 Tools, implements, cutlery, spoons and forks, of base metal; parts thereof of base metal 9 206 512 1,343 1,855 0.1% 74 Copper and articles thereof 3 426 431 848 1,279 0.1% 93 Arms and ammunition; parts and accessories thereof 15 44 390 267 658 0.1% 63 Other made up textile articles; sets; worn clothing and worn textile articles; rags 2 733 375 1,091 1,466 0.1% 54 Man-‐made filaments; strip and the like of man-‐made textile materials 7 187 357 953 1,310 0.1% 26 Ores, slag and ash 5 73 312 54 367 0.1% 59 Impregnated, coated, covered or laminated textile fabrics; textile articles of a kind suitable for industrial use 21 41 311 553 864 0.1% 96 Miscellaneous manufactured articles 2 819 309 1,329 1,638 0.1% 36 Explosives; pyrotechnic products; matches; pyrophoric alloys; certain combustible preparations 18 26 237 233 470 0.0% 55 Man-‐made staple fibres 13 64 187 641 828 0.0% 56 Wadding, felt and nonwovens; special yarns; twine, cordage, ropes and cables and articles thereof 9 36 154 166 320 0.0% 37 Photographic or cinematographic goods 192 1 96 145 241 0.0% 79 Zinc and articles thereof 1 620 96 524 620 0.0% 80 Tin and articles thereof 2 163 66 260 327 0.0% 64 Footwear, gaiters and the like; parts of such articles 2 122 43 201 244 0.0% 78 Lead and articles thereof 1 103 25 79 103 0.0%

Total 6,197 177.43 476,347 623,202 1,099,549 100%

xi

Table 4.5a. Dutch Customs data: share of exports requiring a licence

HS-2 Description Export value Transactions % X002 (Total) % X002 (EUGEA)

% X002 (Non-EUGEA)

(€m)

No. Value No. Value No. Value

26 Ores, slag and ash. 0.04 7 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 27 Mineral fuels, mineral oils, 12,365.80 8,081 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 28 Inorganic chemicals 548.57 9,956 0.8% 77.0% 0.0% 0.0% 0.8% 77.0% 29 Organic chemicals. 330.59 5,792 1.1% 1.0% 0.0% 0.0% 1.1% 1.0% 30 Pharmaceutical products. 48.49 860 0.2% 0.0% 0.0% 0.0% 0.2% 0.0% 32 Tanning or dyeing extract, 148.35 7,047 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 34 Soap, organic surface-active agents, 74.40 10,310 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 36 Explosives; pyrotechnic products; matches 34.67 498 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 37 Photographic or cinematographic goods. 1.30 290 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 38 Miscellaneous chemical products. 879.63 43,462 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 39 Plastics and articles thereof. 3,311.17 155,225 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 40 Rubber and articles thereof. 139.66 84,665 0.0% 0.4% 0.0% 0.0% 0.0% 0.4% 49 Printed books, newspapers, 75.57 24,175 1.5% 1.2% 0.1% 0.1% 1.4% 1.1% 54 Man-made filaments. 151.18 3,650 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 55 Man-made staple fibres. 36.64 762 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

56 Wadding, felt and nonwovens; special yarn, shortened. 231.62 804 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

59 Impregnated, coated, covered or laminated textile fabrics 13.07 1,166 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

62 Articles of apparel and clothing accessories 35.50 4,085 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 63 Other made up textile articles; sets, 14.19 5,517 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

64 Footwear, gaiters and the like; parts of such articles, 1.03 198 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

68 Articles of stone, plaster, cement, asbestos, mica or similar 54.96 5,936 1.5% 4.0% 0.0% 0.0% 1.5% 4.0%

69 Ceramic products. 27.10 5,196 0.3% 0.3% 0.0% 0.0% 0.3% 0.3% 70 Glass and glassware. 66.29 5,534 0.1% 0.0% 0.0% 0.0% 0.1% 0.0%

71 Natural or cultured pearls, precious or semi-precious stones 7.34 408 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

72 Iron and steel. 198.37 8,210 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 73 Articles of iron or steel. 331.71 50,235 0.1% 0.2% 0.0% 0.0% 0.1% 0.2% 74 Copper and articles thereof 20.11 3,287 0.1% 0.0% 0.0% 0.0% 0.1% 0.0% 75 Nickel and articles thereof. 55.44 2,915 0.1% 0.0% 0.0% 0.0% 0.1% 0.0% 76 Aluminium and articles thereof 5,669.84 16,801 0.7% 0.0% 0.0% 0.0% 0.7% 0.0%

xii

78 Lead and articles thereof 0.53 153 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 79 Zinc and articles thereof. 1.78 1,225 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 80 Tin and articles thereof. 9.61 822 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 81 Other base metals; cermets; 16.60 1,422 0.8% 0.6% 0.1% 0.0% 0.7% 0.6%

82 Tools, implements, cutlery, spoons and forks 8.17 565 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

84 Nuclear reactors, boilers, machinery, shortened. 38,941.87 1,262,481 2.0% 12.6% 0.1% 0.1% 2.0% 12.5%

85 Electrical machinery and equipment and parts thereof 10,821.77 1,131,081 10.0% 15.5% 0.5% 0.8% 9.4% 14.7%

86 Railway or tramway locomotives, 78.17 1,853 0.1% 0.3% 0.0% 0.0% 0.1% 0.3% 87 Vehicles other than railway or tramway, 9,498.97 18,285 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 88 Aircraft, spacecraft, and parts thereof. 1,854.66 41,784 1.9% 0.5% 0.0% 0.0% 1.9% 0.5% 89 Ships, boats and floating structures. 586.97 102 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

90 Optical, photographic, cinematographic instruments 4,267.91 277,911 0.7% 1.7% 0.0% 0.0% 0.7% 1.7%

93 Arms and ammunition; parts and accessories thereof. 8.05 80 1.3% 0.5% 0.0% 0.0% 1.3% 0.5%

94 Furniture; bedding, mattresses, prefabricated buildings 35.48 6,410 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

96 Miscellaneous manufactured articles. 82.51 35,468 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% Total/Avg 91,086 3,244,714 4.4% 7.8% 0.2% 0.1% 4.2% 7.7%

xiii

Table 4.25b. Matching NACE Rev. 2 – HS (expanded table) NACE Code Activity Primary related HS 2-‐digit sector Secondary related HS 2-‐digit sector

C2013 Manufacture of other inorganic basic chemicals

HS71: Pearls, precious stones and precious metals

C2014 Manufacture of other organic basic chemicals HS29: Organic chemicals HS27: Mineral fuels and oils

C2016 Manufacture of plastics in primary forms HS39: Plastics

C2059 Manufacture of other chemical products n.e.c. HS38: Misc. chemical products

C2221 Manufacture of plastic plates, sheets, tubes and profiles HS39: Plastics

C2222 Manufacture of plastic packing goods HS39: Plastics

C2229 Manufacture of other plastic products HS39: Plastics

C2399 Manufacture of other non-‐metallic mineral products n.e.c. HS38: Misc. chemical products

C2441 Precious metals production HS71: Pearls, precious stones and precious metals

C2530 Manufacture of steam generators, except central heating hot water boilers

HS84: Nuclear reactors and machinery

C2573 Manufacture of tools HS84: Nuclear reactors and machinery

C2599 Manufacture of other fabricated metal products n.e.c. HS85: Electrical machinery

C2611 Manufacture of electronic components HS85: Electrical machinery

C2612 Manufacture of loaded electronic boards HS85: Electrical machinery HS84: Nuclear reactors and machinery

C2620 Manufacture of computers and peripheral equipment HS85: Electrical machinery HS84: Nuclear reactors and machinery

C2630 Manufacture of communication equipment HS85: Electrical machinery

C2640 Manufacture of consumer electronics HS85: Electrical machinery

C2651 Manufacture of instruments and appliances for measuring, testing and navigation

HS90: Optical, measuring and medical equipment HS85: Electrical machinery

C2660 Manufacture of irradiation, electromedical and electrotherapeutic equipment

HS90: Optical, measuring and medical equipment

C2670 Manufacture of optical instruments and photographic equipment

HS90: Optical, measuring and medical equipment HS85: Electrical machinery

C2680 Manufacture of magnetic and optical media HS85: Electrical machinery

C2711 Manufacture of electric motors, generators and transformers HS85: Electrical machinery

C2712 Manufacture of electricity distribution and control apparatus HS85: Electrical machinery

C2720 Manufacture of batteries and accumulators HS85: Electrical machinery

C2731 Manufacture of fibre optic cables HS90: Optical, measuring and medical equipment HS85: Electrical machinery

C2732 Manufacture of other electronic and electric wires and cables HS85: Electrical machinery

xiv

C2733 Manufacture of wiring devices HS85: Electrical machinery

C2751 Manufacture of electric domestic appliances HS85: Electrical machinery HS84: Nuclear reactors and machinery

C2790 Manufacture of other electrical equipment HS85: Electrical machinery

C2811 Manufacture of engines and turbines, except aircraft, vehicle and cycle engines


C2812 Manufacture of fluid power equipment HS84: Nuclear reactors and machinery

C2813 Manufacture of other pumps and compressors HS84: Nuclear reactors and machinery

C2814 Manufacture of other taps and valves HS84: Nuclear reactors and machinery

C2815 Manufacture of bearings, gears, gearing and driving elements HS84: Nuclear reactors and machinery

C2821 Manufacture of ovens, furnaces and furnace burners HS85: Electrical machinery HS84: Nuclear reactors and machinery

C2822 Manufacture of lifting and handling equipment HS84: Nuclear reactors and machinery

C2823 Manufacture of office machinery and equipment (except computers and peripheral equipment)


C2825 Manufacture of non-‐domestic cooling and ventilation equipment HS84: Nuclear reactors and machinery

C2829 Manufacture of other general-‐purpose machinery n.e.c. HS84: Nuclear reactors and machinery

C2830 Manufacture of agricultural and forestry machinery HS84: Nuclear reactors and machinery

C2841 Manufacture of metal forming machinery HS84: Nuclear reactors and machinery

C2849 Manufacture of other machine tools HS85: Electrical machinery HS84: Nuclear reactors and machinery

C2891 Manufacture of machinery for metallurgy HS84: Nuclear reactors and machinery

C2892 Manufacture of machinery for mining, quarrying and construction HS84: Nuclear reactors and machinery

C2894 Manufacture of machinery for textile, apparel and leather production HS84: Nuclear reactors and machinery

C2896 Manufacture of plastic and rubber machinery HS84: Nuclear reactors and machinery

C2899 Manufacture of other special-‐purpose machinery n.e.c. HS84: Nuclear reactors and machinery HS90: Optical, measuring and medical

equipment

C3030 Manufacture of air and spacecraft and related machinery HS88: Aircraft and spacecraft HS84: Nuclear reactors and machinery

C3212 Manufacture of jewellery and related articles

HS71: Pearls, precious stones and precious metals

C3250 Manufacture of medical and dental instruments and supplies

HS90: Optical, measuring and medical equipment HS84: Nuclear reactors and machinery

C3299 Other manufacturing n.e.c. HS90: Optical, measuring and medical equipment

xv

Table 4.26 Data synthesis table

Total Top 10 sectors (sorted by value of dual-use related exports)

2011 2012 2013 2014 2011 2012 2013 2014 EU Value of General Export Authorisations (€ m) 4,123 5,046 4,828

EU Export licence applications (€ m) 34,211 38,675 62,283

EU Export licence authorisations (€ m) 42,681 44,959 49,207

Value of dual-use related exports from the EU (intra-EU) (€ m) 557,056 606,080 605,251 623,202

Value of dual-use related exports from the EU (extra-EU) (€ m) 425,616 463,839 515,966 476,347

Value of dual-use related exports from the EU (total) (€ m) 982,672 1,069,919 1,121,217 1,099,549

Total EU production value (€ bn)

26.5 - 36.2* 631,152

Number of EU employees in DU related sectors (m) 6.87 7.78

Number of EU enterprises in DU related sectors 374,334 381,608 EU export licence authorisations (excl. EUGEA) as % of total EU exports 1.1% EU export licence authorisations (excl.E001) as % of total EU exports (Versino 2015) 0.9% Danish export licence authorisations (incl. EUGEA, % of total exports) 0.1% Dutch share of DU exports [%X002] in total Dutch extra-EU exports 2.3% (Estimated) EU share of dual-use exports in total EU (intra+extra) exports (Versino 2015) 3.3% EU export licence authorisations (excl. EUGEA) as % of DU related exports 4.5% Dutch share of DU exports (%X002) as % of DU related exports Danish share of DU exports as % of DU related exports

7.8% 1.2%

EU export licence authorisations (incl. EUGEA) as % of extra-EU DU related exports 10.5% Danish export licence authorisations (incl. EUGEA, % of extra-EU DU related exports) 1.2% * Based on Stewart (2015) - EU Production of Dual-use Goods: A study for the JRC

ANNEX 2: FULL SURVEY RESULTS Annex 2a: Business survey Annex 2b: Association survey Annex 2c: Member State survey

Export controls - Companies

Status: ClosedStart date: 29-05-2015End date: 19-07-2015Live: 52 daysQuestions: 65

Partial completes: 257 (47,7%)Screened out: 0 (0%)Reached end: 282 (52,3%)Total responded: 539

Panel

Panelist count: 132Bounced: 5 (3,8%)Declined: 3 (2,3%)

Partial completes: 5 (45,5%)Reached end: 6 (54,5%)Responses: 11 (8,3%)

Non-panel

Responses: 528Start page views: 1.897

Partial completes: 252 (47,7%)Screened out: 0 (0%)Reached end: 276 (52,3%)

Company overview This section aims at clarifying the profile of EU dual-use companies and providing keydata in view of the assessment of specific impacts (e.g. administrative burden, implications for SMEs).

1. Please select the department you work in.40% - Internal Compliance/Export Control

20% - Management

18% - Sales

14% - Other, please specify

5% - Legal Department

3% - Production40.3%

13.9%

17.8%

19.9%

2. Where is your company located?32% - Germany

20% - United Kingdom

15% - Denmark

9% - Belgium

6% - Spain

4% - France

3% - Sweden

3% - Hungary

3% - Ireland

2% - Netherlands

1% - Italy

1% - Austria

1% - Finland

1/2

31.9%

6.1%

8.9%

14.8% 20.4%

n=539

n=539

Pagina 1 van 27

3. Is your company part of a multinational corporation?67% - Yes

33% - No

33%

67%

4. Where is the headquarters of your company located?30% - Germany

16% - United Kingdom

13% - Denmark

9% - Belgium

7% - France

7% - Sweden

4% - Netherlands

4% - Ireland

3% - Spain

3% - Hungary

1% - Austria

1% - Italy

1% - Finland

1/2

30%

16.1%

7.2%

7.5%

8.6%

13%

5. Following the EU definition, your company (all offices) can be classified as:60% - Large (>=250 employees)

23% - Medium-sized (50-249 employees)

11% - Small (10-49 employees)

5% - Micro (1-9 employees)11.2%

23.5%60.1%

n=539

n=347

n=481

Pagina 2 van 27

6. Does your company export military items listed in the EU Common Military list?16% - Yes

84% - No

16.3%

83.8%

7. Does your company export dual-use items listed in Annex I to Regulation 428/2009 or products that contain dual-use items to non-EU countries?

68% - Yes

32% - No

31.8%

68.2%

8. Could you please indicate the percentage of your company's turnover generated by the export of dual-use items to non-EU countries?

60% - 0-10%

11% - 11-25%

8% - 26-50%

7% - 51-100%

14% - I don't know

14.3%

6.9%

8.1%

10.9%

59.8%

n=480

n=484

n=321

Pagina 3 van 27

9. Please explain why your company doesn't export dual-use items

Response Total % of responses %

No products we export to non-EU countries contain dual-use items 91 68%

We are not interested in exporting dual-use items to non-EU countries 12 9%

We have tried to export dual-use items to non-EU countries but havefaced difficulties in obtaining licences

2 2%

We wanted to export dual-use items to no-EU countries but theadministrative burden was so heavy and time-consuming that wedecided not to

7 5%

We wanted to export dual-use items to non-EU countries but theprocedures were so complex and unpredictable that we decided not to

6 5%

Other, please specify 31 23%

Total respondents: 133Skipped question: 291

0% 20% 40% 60% 80%

Categories of dual-use items and destinations This section aims at collecting information on the codificationof the dual-use products exported by your company and on the most important destination countries forthe export of dual-use items.

Pagina 4 van 27

10. Please select the HS codes of dual-use products typically exported by your company.


HS84: Nuclear reactors, boilers, machinery and mechanicalappliances; parts thereof

104 37%

HS85: Electrical machinery and equipment and parts thereof; soundrecorders and reproducers, television image and sound recorders andreproducers, and parts and accessories of such articles

128 46%

HS88: Aircraft, spacecraft, and parts thereof 16 6%

HS90: Optical, photographic, cinematographic, measuring, checking,precision, medical or surgical instruments and apparatus; parts andaccessories thereof

64 23%

HS27: Mineral fuels, mineral oils and products of their distillation;bituminous substances; mineral waxes

7 3%

HS71: Natural or cultured pearls, precious or semi-precious stones,precious metals, metals cladwith precious metal, and articles thereof;imitation jewellery; coin

2 1%

HS39: Plastics and articles thereof 27 10%

HS29: Organic chemicals 17 6%

HS38: Miscellaneous chemical products 17 6%

HS89: Ships, boats and floating structures 6 2%

HS73: Articles of iron or steel 30 11%

HS72: Iron and steel 11 4%

HS87: Vehicles other than railway or tramway rolling-stock, and partsand accessories thereof

11 4%

HS40: Rubber and articles thereof 13 5%

HS76: Aluminum and articles thereof 17 6%

HS49: Printed books, newspapers, pictures and other products of theprinting industry; manuscripts, typescripts and plans

6 2%

HS28: Inorganic chemicals; organic or inorganic compounds ofprecious metals, of rare-earth metals, of radioactive elements or ofisotopes

11 4%

HS30: Pharmaceutical products 2 1%

HS32: Tanning or dyeing extracts; tannins and their derivatives; dyes,pigments and other colouring matter; paints and varnishes; putty andother mastics; inks

6 2%

HS70: Glass and glassware 8 3%



0% 20% 40% 60% 80%

Pagina 5 van 27


11. If possible, please provide the specific HS(4 or 6-digit)/CN (8 digit) or Dual-Use Classification Number (as per Annex Ito Regulation 428/2009) of the 10 dual-use products most commonly exported by your company.

Response Total % of total respondents %

Open answer 192 36%

00 10 1A004 1B118A 1C350 2B001a 2B116 2B350g 2B350i 39 3A001 3A225 3B001 5A002 5A002a1 5A002a1a 5D002 5D002c1 5E002 80 8413 8421 8471 8473 84772000 8479 8481

85044090 8517 851762 85176200 85234025 8541 8542 90 9026 91 Buoyancy CN code codes

dual ECCN Foam HS made pumps related software Syntactic

0% 20% 40% 60% 80%

12. The EU developed a correlation table linking dual-use items (Annex I of the dual-use regulation) to custom codes (HS or CN). Please indicate to what extent t…

52% - More than 75% of products under the HS codesrelevant to our company are not dual-use items

5% - Between 50-75% of products under the HS codesrelevant to our company are not dual-use items

5% - Although the HS codes relevant to our companyalso include a significant share of non-dual use products (25-50%), the majority of products under the relevantcodes consist of dual-use items

5% - The HS code relevant to our company covers to alarge extent only dual use items, only a very small shareof the products in this category are not dual use items (less than 25%)

34% - I don't know

33.8%

51.7%


13. If you can provide more information on which specific HS codes are particularly strong or weak in representingdual-use products, please provide this information in the box below.


Open answer 38 7%

00 90 classification code codes control controlled correlation dual ECCN goods Heat HS industrial

list non products representing software Strong table weak

0% 20% 40% 60% 80%

n=240

Pagina 6 van 27


14. In terms of the value of exports, which were the most important destination countries (among non-EU countries) forthe export of dual-use items (or products that contain dual-use items) during the last five years?


1 194 100%

2 160 82%

3 129 66%

0% 20% 40% 60% 80%

Licensing and compliance This section aims at clarifying the types of licences used for dual-use products byyour company, the obtaining and managing of licences for dual-use items and the related compliance costs.

15. Which type of licence has your company used most often in order to export dual-use items in the last five years?45% - Individual licence

19% - EU general licence (EUGEA)

16% - I don't know

11% - Global licence

9% - National general licence

44.5%

9.5%

10.9%

16.1%

19%


16. Please estimate the time necessary for control of the export control process under the following modalities.


Individual licence 74 89%

Global licence 40 48%

EU general licence (EUGEA) 46 55%

National general licence 23 28%

0% 20% 40% 60% 80%

n=211

Pagina 7 van 27

17. Please rate the efficiency of the export control process under the following modalities.

Sub-questions Resp. % of responses avg med SD

Individual licence 182 3.08 3 1.32

Global licence 125 3.24 3 0.87

EU general licence (EUGEA) 138 3.55 4 1.07

National general licence 100 2.76 2 1.39

Average: 3,18 — Median: 3 — Standard Deviation: 1,21

1. Very low

2. Low

3. Neutral

4. High

5. Excellent

15 23 17 30 15

3 12 50 28 7

15 31 28 23

22 29 16 17 16


18. Additional comments:


Open answer 51 9%

above application apply available consuming control countries day days dual Efficiency end estimate EU

EU001 EUGEA export exporters exports few following general Global hours individual last

licence licences license long modalities months national necessary one per Please process

processing products question questions takes time two UGEA used week weeks working

0% 20% 40% 60% 80%

19. Does your company have an internal compliance programme in place for complying with the dual-use regulation 428/2009 (e.g. as part of your internal qualit…

59% - Yes, we have a formalised internal complianceprogramme

37% - Yes, but only informal

4% - No

37%

58.7%

n=208

Pagina 8 van 27

20. In your company, the obtaining and managing of licences for dual-use items is usually done:86% - Internally/in-house staff with dedicated persons

11% - Internally/in-house staff but not with dedicatedpersons

3% - Externally (lawyers, consultants etc.)

1% - I don't know

10.5%

85.6%

21. How often did your company experience the following situations when exporting dual-use items in the last 5 years?


We could not obtain export licences for dual-use items 203 1.5 1 0.68

We lost a deal due to the length of time it took to obtainlicences for dual-use items

202 2 2 1.04

We lost money due to the length of time it took to obtainlicences for dual-use items

202 2.13 2 1.08


1. Never

2. Only on very few occasions

3. Sometimes

4. Often

5. Very often

60 32 8

43 25 23 8

36 30 23 8 3

22. Regarding the export of dual-use items, could you please indicate to what extent you agree with the followingstatements?


The administrative burden related to compliance with thedual-use export requirements is heavy and time-consuming

207 4.18 4 0.97

The procedures are complex 207 4.03 4 1.02

The licencing process is predictable 204 3.16 3 0.96

We experience delays at customs when seeking to exportdual-use items

203 3.12 3 1.04


1. Do not agree at all

2. Do not agree

3. Neither agree nor disagree

4. Agree

5. Fully agree

9 11 32 48

10 16 32 41

5 20 35 35 5

6 24 31 33 7

n=209

Pagina 9 van 27

23. Has your company experienced a case or cases where you received a denial for a licence application, when anotherEU or non-EU exporter fulfilled the deal through an identical export?


Yes, the export was done from another Member State 30 14%

Yes, the export was done from a non-EU country 25 12%

No 167 79%


0% 20% 40% 60% 80%


24. Additional information:


Open answer 29 5%

application authorities Company control DUAL EU export exporter goods know Licence licenses lost member non sanctions states

0% 20% 40% 60% 80%

Compliance costs


25. Could you estimate the average annual compliance costs for dual-use export controls incurred by your company interms of number of staff (expressed in Full Time Equivalent FTE)?


Open answer 101 19%

10 15

Average: 2 069,35 — Median: 0 — Standard Deviation: 11 396,14

0% 20% 40% 60% 80%

Pagina 10 van 27


26. If possible, would you be willing to share the annual average costs (in €) for this staff input?


Open answer 58 11%

000 10000 100000 200000 50000

Average: 206 403,88 — Median: 0 — Standard Deviation: 551 241,06

0% 20% 40% 60% 80%

27. Do you face other costs related to compliance with dual-use export controls?71% - Yes

29% - No

29.5%

70.5%

28. Which of the following costs do you face related to compliance with dual-use export controls?


Licence fees 20 15%

Costs for third parties (e.g. outsourcing, training) 104 80%

Costs for internal compliance programmes (excluding staff), such assoftware and databases

110 85%



0% 20% 40% 60% 80%

n=190

Pagina 11 van 27


29. If possible, would you be willing to share the annual average total costs (in €) in relation to the compliance withdual-use export controls?


Licence fees 9 35%

Costs for third parties (e.g. outsourcing, training) 23 88%

Costs for internal compliance programmes (excluding staff), such assoftware and databases

22 85%

Other 4 15%

0% 20% 40% 60% 80%

Total value assigned: 13831Skipped question: 195

30. Could you please indicate how the costs of complying with dual-use export controls are distributed among thefollowing activities?

Response Total % of values %

Administrative burden associated with classifying dual-use itemsand/or checking if a licence is required

3744 27%

Administrative burden associated with obtaining licences for dual-useitems

3181 23%

Senior management activities to comply with dual-use export controls 967 7%

Training of staff dealing with compliance with dual-use trade controls 1531 11%

Screening of all aspects of dual-use exports (products; customer andend-user; destination; end-use)

2454 18%

Procedures for regular internal audits associated with compliance withdual-use trade controls

1013 7%

Responding and resolving to compliance problems and violations ofdual-use trade controls

710 5%

Other 231 2%

0% 20% 40% 60% 80%


31. You indicated that (some of) the costs of complying with dual-use export controls can be classified as other, pleasespecify these costs below.


Open answer 14 3%

0% 20% 40% 60% 80%

Pagina 12 van 27

Other issues linked to dual-use export controlsThe section aims at collecting information on the potentialimpacts of the export controls on the co-operation with the research partners and the brokers/freightforwarder/transporting companies.

32. Does your company work with research partners such as academia and institutes?49% - Yes

51% - No

48.8%51.2%

33. Are export controls currently affecting this co-operation?31% - Yes

69% - No

30.6%

69.4%


34. How are export controls currently affecting this co-operation?


Open answer 25 5%

control controls cooperation data export institutes partners requirements technical technology transfers universities working

0% 20% 40% 60% 80%

n=201

n=98

Pagina 13 van 27

35. Do export controls affect the innovative capacity of your company?31% - Yes

69% - No

31.3%

68.8%


36. How do export controls affect the innovative capacity of your company?


Open answer 26 5%

ability company control controls design development down Dual EU export innovative item

need new outside Products research technology time

0% 20% 40% 60% 80%

37. In 2009 brokers/freight forwarder/transporting companies also became subject to dual-use trade controls. Since then,please indicate if your company recognizes any of the following changes in the co-operation with these actors.


Prices for the services of brokers/freight forwarders/transportingcompanies have increased

33 19%

Transactions have been delayed 35 20%

Administrative requirements have increased 68 39%

Number of companies willing to broker/transport/trade the products hasdecreased

20 11%

There are no changes in relation to these actors as a results of theregulation

93 53%



0% 20% 40% 60% 80%

n=96

Pagina 14 van 27

Assessing the impact of review options This section aims at identifying the potential impacts of thefollowing review issues on your company. Review issue 'Develop EU export control network' TheCommunication 'The Review of export control policy: ensuring security and competitiveness in a changingworld' identifies options to enhance information exchange and develop IT infrastructure.

38. Please indicate which of the following statements most closely represents the situation of your company in relation to a standardised IT support tool and ele…

49% - We can already apply for licences electronicallyand we significantly benefit from it

24% - We can already apply for licences electronicallybut we do not significantly benefit from it

12% - We can't apply for licences electronically but wecould significantly benefit from it

3% - We can't apply for licences electronically and wecould not significantly benefit from it

12% - I don't know

49.2%

11.7%

12.2%

23.9%

Review issue 'Private Sector Partnership' The Communication 'The Review of export control policy:ensuring security and competitiveness in a changing world' identifies options to forge a partnership withthe private sector, and suggests in particular facilitating controls by setting clear industry compliancestandards and enhancing transparency and outreach to companies.

39. In view of supporting and facilitating the dual-use export procedures, your company would:32% - Benefit the most from soft law measures such asguidelines including a list of compliance standards

20% - Be negatively affected by these measures

15% - Not benefit from either option

12% - No major difference between the two optionsabove

11% - I don't know

10% - Benefit the most from legally binding requirementsto set up and implement an internal complianceprogramme

31.9%

9.9%

11%

12%

15.2% 19.9%

n=197

n=191

Pagina 15 van 27

40. Could you please rate the impact of consistent EU-wide legal requirements for industry compliance, combined withtransparency and outreach, on the following aspects?


Compliance/adjustment costs 183 2.64 3 1.23

Reputational benefit, investment and production 182 3.3 3 0.77

Exports 182 2.96 3 1.11

Innovation and research 181 3.18 3 0.75

Co-operation with academia/research institutes 182 3.27 3 0.74

Level playing field 178 3.47 3 1.12

Other, please specify 38 3.18 3 0.78


1. Very negative impact

2. Negative impact

3. Neutral

4. Positive impact

5. Very positive impact

- I don't know

22 18 23 21 4 11

5 53 18 8 14

7 30 21 26 7 8

8 37 13 3 38

3 35 14 3 43

4 5 25 14 14 38

5 32 3 5 55

Review issue 'Catch-all controls'Currently, there is some degree of divergence in the way EU MemberStates apply the catch-all clause in the EU dual-use Regulation (Art. 4), which makes dual-use items that arenot included in the control list (Annex I) subject to control if they are or may be used in connection with aWMD (nuclear, biological, chemical weapon) end-use, a military end-use in an embargoed destination, or foruse as parts or components of previous illegally exported military items.

41. Could you please indicate whether, in your experience, the differences in application/interpretation of catch-allcontrols across the EU have any of the following effects?


Legal uncertainty 63 35%

Distortion of competition 46 26%

Loss of business to the benefit of another company 57 32%

None of the above 88 49%


0% 20% 40% 60% 80%

Pagina 16 van 27




Open answer 17 3%

0% 20% 40% 60% 80%

43. Could you please rate the impact of the differences in the application/interpretation of catch-all controls in EU memberstates on the following aspects?


Company's exports (trade effect) 171 2.32 2 0.72

Compliance costs 170 2.57 3 0.71

Investment and production 171 2.6 3 0.63





2. Negative impact

3. Neutral

4. Positive impact


- I don't know

5 31 17 45

3 21 27 46

17 31 49

8 15 23 51

16 82

Review issue 'Optimisation of licensing architecture' To optimise the licensing architecture in the EU, anumber of review actions are under consideration, including the introduction of additional EuropeanUnion General Export Authorisations (EUGEAs), which are trade facilitation measures that exempt certainexports to specified destinations from individual licensing requirements and only require reporting of theseexports by the exporter.

Pagina 17 van 27

44. Please select from which of the following EU General Export Authorisations your company would expect to highlybenefit.


Low-value shipments 70 57%

Encryption 47 38%

Intra-company technology transfers for R&D 52 42%

Intra-EU transfers of Annex IV items large projects 15 12%



0% 20% 40% 60% 80%

45. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for low-valueshipments on the following aspects?








1. No/Negative impact

2. Positive impact


- I don't know

12 51 33 4

10 57 22 10

26 37 9 28

14 25 31 31

8 17 75

Pagina 18 van 27

46. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for encryption onthe following aspects?









2. Positive impact


- I don't know

5 27 57 11

43 41 14

14 33 29 24

14 26 40 21

13 25 63

47. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for intra-company technology transfers for R&D on the following aspects?


Company's exports (trade effect) 48 2.44 2.5 0.62







2. Positive impact


- I don't know

6 38 46 10

8 42 42 8

10 40 40 10

6 34 38 21

9 27 64

Pagina 19 van 27

48. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for intra-EUtransfers of Annex IV items large projects on the following aspects?






Other, please specify 2 0 0 0



2. Positive impact


- I don't know

8 38 38 15

17 33 33 17

17 33 25 25

8 42 17 33

100

Review issue 'Legal clarifications/amendments'Under the heading of an EU system update involvingchanges to existing regulations a number of legal clarifications and amendments are being considered.

49. Do you see a need for legal clarification on:


Basic notions such as the definition of export and exporter,the definition of brokering, the determination of thecompetent authority etc.?

154 1.66 2 0.48

Control of technical assistance? 152 1.64 2 0.48

Control of intangible technology transfer (ITT)? 147 1.58 2 0.49

Consistency of transit provisions? 144 1.79 2 0.41

Consistency of brokering provisions? 142 1.82 2 0.39



1. Yes

2. No

34 66

36 64

42 58

21 79

18 82

57 43

Pagina 20 van 27

49B. If yes, which changes would you propose and why?

If yes, which changes would you propose and why? Total % of total respondents %

Basic notions such as the definition of export and exporter, the definition ofbrokering, the determination of the competent authority etc.?

15 3%

Control of technical assistance? 10 2%

Control of intangible technology transfer (ITT)? 13 2%

Consistency of transit provisions? 5 1%

Consistency of brokering provisions? 2 0%



0% 20% 40% 60% 80%

Review option 'EU system modernisation' This review option covers the modernisation of existing controls,including adding a new dimension for controlling exports of cyber-surveillance technologies. This wouldpotentially involve: Apply human security criteria to exports of cyber-surveillance technologies Obligatoryself-regulation on the part of industry producing cyber-surveillance technologies Introduction of EUautonomous list for cyber-surveillance technologiesVia technical or descriptive list Introduction of EUcyber-surveillance catch-all mechanismDedicated catch-all for cyber-surveillance technologies orapplication of general catch-all

No agreed definition of ‘cyber-surveillance technologies’ has been created at the EU level thus far, but itcould potentially include certain types of the following technologies: Mobile telecommunicationsinterception or jamming equipmentIP Network Surveillance SystemsIntrusion SoftwareLawful Interceptdata retention and mediationBig data and analyticsDigital forensicsLocation tracking devicesBiometrics

50. Does your company produce cyber-surveillance technologies?6% - Yes

94% - No6.4%

93.6%

n=312

Pagina 21 van 27

51. Please indicate which types of cyber-surveillance technologies your company produces.


Mobile telecommunications interception or jamming equipment 5 29%

IP Network Surveillance Systems 5 29%

Intrusion Software 2 12%

Lawful Intercept data retention and mediation 4 24%

Big data and analytics 4 24%

Digital forensics 2 12%

Location tracking devices 1 6%

Biometrics 0 0%



0% 20% 40% 60% 80%

52. Are you aware of exports of cyber-surveillance technologies from the EU that may pose a threat in terms of security or pose a risk of human rights violations?

50% - Yes

50% - No

50% 50%

53. Are you aware of exports of cyber-surveillance technologies from third countries that may pose a threat in terms of security or pose a risk of human rights vi…

53% - Yes

47% - No

47.1%52.9%

n=18

n=17

Pagina 22 van 27

54. Could you please rate the potential impact of licensing authorities applying human security criteria to exports of cyber-surveillance technologies for the following aspects?


Company's export (trade effect) 18 2.06 2 1







2. Negative impact

3. Neutral

4. Positive impact


- I don't know

33 33 17 11 6

33 50 6 6 6

28 28 22 11 11

28 33 22 6 11

33 67

55. Could you please rate the potential impact of obligatory self-regulation on the part of the industry producing cyber-surveillance technologies for the following aspects?


Company's export (trade effect) 18 2.6 2 1.08







2. Negative impact

3. Neutral

4. Positive impact


- I don't know

11 33 22 11 6 17

11 33 22 11 6 17

11 17 39 6 6 22

17 17 33 6 6 22

33 67

Pagina 23 van 27

56. Could you please rate the potential impact of introducing an EU autonomous list for cyber-surveillance technologiesfor the following aspects?





Level playing field 18 2 2 0.85


Average: 2 — Median: 2 — Standard Deviation: 0,77


2. Negative impact

3. Neutral

4. Positive impact


- I don't know

22 28 17 33

17 39 11 33

17 22 22 39

22 17 22 39

20 80

57. Could you please rate the potential impact of introducing an EU cyber-surveillance catch-all mechanism for thefollowing aspects?









2. Negative impact

3. Neutral

4. Positive impact


- I don't know

33 28 17 11 11

39 28 11 11 11

28 33 22 6 11

28 28 22 6 17

50 50

Pagina 24 van 27


58. Please list the review actions which are perceived to have a strong positive economic impact on your company.


Open answer 70 13%

application available benefit catch code companies Company Consistent control controls countries Customs definition Dual electronic Encryption End EU export exporter field

General goods guidance impact intra Introduction items law level licence Licences license

Licenses licensing low National New non playing products regulation requirements sanctions shipments soft technology transfers value within

0% 20% 40% 60% 80%


59. Please list the review actions which are perceived to have a strong negative economic impact on your company.


Open answer 60 11%

additional again business Catch companies company compared compliance Control controls

countries customers Dual Embargo EU export field general impact IRAN ITEMS know level Licence

licences LICENSES list Long member note open outside playing procedure regulations requirements

Review Russia sanctions screening set States time within

0% 20% 40% 60% 80%


60. Please list the review actions which are perceived to have a strong positive security impact on your company.


Open answer 37 7%

know None review security

0% 20% 40% 60% 80%

Pagina 25 van 27


61. Please list the review actions which are perceived to have a strong negative security impact on your company.


Open answer 33 6%

know None security

0% 20% 40% 60% 80%

62. Could you please indicate if we can use the name of your company for: Providing a list of respondents (without the answers) to the EC?

36% - Yes

64% - No

36%

64%

63. Could you please indicate if we can use your contact details for:Contacting you for further contribution to the study?35% - Yes

65% - No

35.3%

64.7%

n=286

n=286

Pagina 26 van 27

Powered by CheckMarket 29-07-2015 08:01


64. Please enter the name of your company:


Open answer 102 19%

BVBA Co EUROPE GmbH INTERNATIONAL KG Ltd NV Technologies

0% 20% 40% 60% 80%


65. Please enter the email address on which we may contact you for further contribution to the study:


Open answer 99 18%

com de dk

0% 20% 40% 60% 80%

Pagina 27 van 27

Export controls - Business Associations


Partial completes: 45 (64,3%)Screened out: 0 (0%)Reached end: 25 (35,7%)Total responded: 70

Panel

Panelist count: 45Bounced: 0 (0%)Declined: 1 (2,2%)

Partial completes: 4 (50%)Reached end: 4 (50%)Responses: 8 (17,8%)

Non-panel

Responses: 62Start page views: 335

Partial completes: 41 (66,1%)Screened out: 0 (0%)Reached end: 21 (33,9%)

Overview of sector and association This first set of questions aims at getting an overview of your industryand association collecting general information on your sector and members.

1. Which industry does your association represent?21% - Manufacture of machinery and equipment n.e.c.

19% - Other manufacturing

14% - Manufacture of computer, electronic and opticalproducts

11% - Manufacture of chemicals and chemical products

7% - Other non-manufacturing

6% - Manufacture of fabricated metal products, exceptmachinery and equipment

6% - Manufacture of electrical equipment

4% - Manufacture of basic pharmaceutical products an…

3% - Manufacturing of food, beverages and tobacco

3% - Manufacture of other non-metallic mineral products

3% - Manufacture of transport equipment

1% - Manufacturing of wood, paper and products thereof

1% - Manufacture of basic metals

21.4%

18.6%

5.7%

5.7%

7.1%

11.4%

14.3%


2. You indicated that the industry your association represents can be classified as 'Other manufacturing', please specifywhich industry your association represents.


Open answer 10 14%

0% 20% 40% 60% 80%

n=70

Pagina 1 van 25


3. You indicated that the industry your association represents can be classified as 'Other non-manufacturing', pleasespecify which industry your association represents.


Open answer 4 6%

0% 20% 40% 60% 80%

4. If you are a national (industry) association, in which Member State are you based?


Belgium 1 3%

Czech Republic 1 3%

Denmark 2 5%

Finland 1 3%

France 2 5%

Germany 11 29%

Hungary 1 3%

Ireland 1 3%

Italy 2 5%

Lithuania 1 3%

Netherlands 1 3%

Portugal 1 3%

Spain 5 13%

Sweden 3 8%

United Kingdom 2 5%

I am not a national association 3 8%


0% 20% 40% 60% 80%

Pagina 2 van 25

5. Could you please select the types of members of your association?


Individuals 9 16%

Companies 48 83%

Associations/Federations 11 19%

Others 3 5%


0% 20% 40% 60% 80%

6. How many companies does your association represent?58% - Less than 200

21% - 200-999

16% - 1,000-10,000

5% - More than 10,00015.8%

21.1%57.9%

7. What is the share of SMEs?


0-25% 4 11%

26-50% 5 14%

51-75% 9 25%

76-100% 18 50%


0% 20% 40% 60% 80%

n=38

Pagina 3 van 25


8. Please provide the following information on your members (i.e. totals of all members) in terms of:


Annual turnover (in €) 22 88%

Annual exports (in €) 21 84%

Employment (in no. of employees) 24 96%

0% 20% 40% 60% 80%

Importance of dual-use items in turnover, trade and competition This section aims at collecting data on theimportance of dual-use products for your industry and gathering information on competition issues in yoursector.

9. Could you please estimate the share of turnover corresponding to the production of dual-use items?


0-10% 9 23%

11-25% 5 13%

26-50% 5 13%

51-100% 7 18%

I don't know 13 33%


0% 20% 40% 60% 80%

10. Could you please estimate the share of exports corresponding to the production of dual-use items?


0-10% 12 31%

11-25% 3 8%

26-50% 4 10%

51-100% 9 23%

I don't know 11 28%


0% 20% 40% 60% 80%

Pagina 4 van 25

11. Could you please estimate the share of employment corresponding to the production of dual-use items?


0-10% 11 28%

11-25% 3 8%

26-50% 6 15%

51-100% 7 18%

I don't know 12 31%


0% 20% 40% 60% 80%

Pagina 5 van 25

12. Please select the HS codes of dual-use products typically exported by your members.


HS84: Nuclear reactors, boilers, machinery and mechanicalappliances; parts thereof

12 46%

HS85: Electrical machinery and equipment and parts thereof; soundrecorders and reproducers, television image and sound recorders andreproducers, and parts and accessories of such articles

17 65%

HS88: Aircraft, spacecraft, and parts thereof 6 23%

HS90: Optical, photographic, cinematographic, measuring, checking,precision, medical or surgical instruments and apparatus; parts andaccessories thereof

12 46%

HS27: Mineral fuels, mineral oils and products of their distillation;bituminous substances; mineral waxes

1 4%

HS71: Natural or cultured pearls, precious or semi-precious stones,precious metals, metals cladwith precious metal, and articles thereof;imitation jewellery; coin

2 8%

HS39: Plastics and articles thereof 2 8%

HS29: Organic chemicals 1 4%

HS38: Miscellaneous chemical products 2 8%

HS89: Ships, boats and floating structures 4 15%

HS73: Articles of iron or steel 4 15%

HS72: Iron and steel 1 4%

HS87: Vehicles other than railway or tramway rolling-stock, and partsand accessories thereof

5 19%

HS40: Rubber and articles thereof 2 8%

HS76: Aluminum and articles thereof 3 12%

HS49: Printed books, newspapers, pictures and other products of theprinting industry; manuscripts, typescripts and plans

1 4%

HS28: Inorganic chemicals; organic or inorganic compounds ofprecious metals, of rare-earth metals, of radioactive elements or ofisotopes

1 4%

HS30: Pharmaceutical products 2 8%

HS32: Tanning or dyeing extracts; tannins and their derivatives; dyes,pigments and other colouring matter; paints and varnishes; putty andother mastics; inks

1 4%

HS70: Glass and glassware 3 12%



0% 20% 40% 60% 80%

Pagina 6 van 25


13. If possible, please provide the specific HS(4 or 6-digit)/CN (8 digit) or Dual-Use Classification Number (as per Annex Ito Regulation 428/2009) of the 10 dual-use products most commonly exported by your members.


Open answer 12 17%

0% 20% 40% 60% 80%

14. The EU developed a correlation table linking dual-use items (Annex I of the dual-use regulation) to custom codes (HSor CN). Please indicate to what extent there is a good match between the dual-use codes and the HS categories.

0.0

2.5

5.0

7.5

10.0


15. If you can provide more information on which specific HS codes are particularly strong or weak in representingdual-use products, please provide this information in the box below.


Open answer 7 10%

0% 20% 40% 60% 80%

n=2635% - M

ore th…

8% - Between…

8% - Although…

12% - The HS…

38% - I don't k

…

Pagina 7 van 25

16. With respect to competition from third countries, do you experience that the industries in these countries:


Produce similar items in countries where export controlsapply?

27 1.22 1 0.41

Produce similar items but only for low and/or mediumtechnologies in countries where export controls apply?

27 1.38 1 0.49

Produce similar items in countries where export controlsdo not apply?

27 1.23 1 0.42

Produce similar items but only for low and/or mediumtechnologies in countries where export controls do notapply?

27 1.45 1 0.5



1. Yes

2. No

- I don't know

67 19 15

48 30 22

63 19 19

41 33 26

38 13 50

17. Do the current dual-use export controls affect competition or the level-playing field in your sector?


Yes, they give rise to significant distortions between big and smallcompanies

8 30%

Yes, they give rise to significant distortions between companies locatedin different EU Member States

15 56%

Yes, they give rise to significant distortions between EU companies andthird country competitors

19 70%

No 3 11%

I don't know 3 11%


0% 20% 40% 60% 80%

Pagina 8 van 25


18. You indicated that the current dual-use export controls give rise to significant distortions between EU companies andthird country competitors. Please specify the top 5 third country destinations of concern, 1 being the most important and 5being the least important.


1 16 100%

2 15 94%

3 12 75%

4 9 56%

5 5 31%

0% 20% 40% 60% 80%


19. Please enter below any additional comments on the distortions of competition and destinations of concern.


Open answer 13 19%

0% 20% 40% 60% 80%

The licensing of dual-use items and export control management This section aims at clarifying the types oflicences used for dual-use products in your industry, the obtaining and managing of licences for dual-useitems and the related compliance costs.

20. What types of licence do the members of your association use most often to export dual-use items?36% - Individual licence

8% - EU general licence (EUGEA)

12% - National general licence

44% - I don't know

36%

8%

44%

12%

n=25

Pagina 9 van 25

21. Do you have information or insights into the compliance programmes of companies in your association?46% - Yes

54% - No

45.8%

54.2%

Total value assigned: 1100Skipped question: 15

22. Please estimate the share of the companies in your association that have:

Response Total % of values %

A formalised internal compliance programme 740 67%

An informal internal compliance programme 205 19%

No internal compliance programme at all 155 14%

0% 20% 40% 60% 80%

23. In the companies of your association, the obtaining and managing of licences for dual-use items is usually done:70% - Internally/in-house staff with dedicated persons

9% - Internally/in-house staff but not with dedicatedpersons

4% - Externally (lawyers, consultants etc.)

17% - I don't know

17.4%

8.7%

69.6%

n=24

n=23

Pagina 10 van 25

24. To what extent have members of your association informed you about the following difficulties in dual-use exports?


The administrative burden related to compliance with thedual-use export requirements is heavy and time-consuming

26 2.81 3 1.21

The insecurity of whether and when a company will receivean export licence leads to a cancellation of sales

26 2.35 2 1

Companies cannot obtain export, transit and brokeringlicences for dual-use items

26 1.85 2 0.77

Companies experience delays at customs when seeking toexport dual-use items

26 2.23 2 1.01


1. Never

2. Only on very few occasions

3. Sometimes

4. Often

27 4 31 38

27 23 38 12

38 38 23

31 27 31 12

25. Could you estimate the share of the compliance costs for dual-use export controls in total turnover at industry level?8% - 0-1%

27% - 2-5%

12% - 6-10%

4% - More than 10%

50% - I don't know

7.7%

26.9%

11.5%

50%

Technology transfers, brokering and transit controls This section aims at collecting information on thepotential impacts of the export controls on the co-operation between your members with researchpartners and brokers/freight forwarder/transporting companies.

n=26

Pagina 11 van 25

26. Do the companies members of your association work with research partners such as academia and institutes?91% - Yes

9% - No8.7%

91.3%

27. Are export controls currently affecting this co-operation?40% - Yes

60% - No

40%

60%


28. How are export controls currently affecting this co-operation?


Open answer 7 10%

0% 20% 40% 60% 80%

29. Do export controls affect the innovative capacity of the sector?65% - Yes

35% - No

35%

65%

n=23

n=20

n=20

Pagina 12 van 25


30. How do export controls affect the innovative capacity of the sector?


Open answer 12 17%

0% 20% 40% 60% 80%

31. In 2009 brokers/freight forwarder/transporting companies also became subject to dual-use trade controls. Since then,please indicate if members in your association have reported any of the following changes in the co-operation with theseactors.


Prices for the services of brokers/freight forwarders/transportingcompanies have increased

4 19%

Transactions have been delayed 1 5%

Administrative requirements have increased 7 33%

Number of companies willing to broker/transport/trade the products hasdecreased

4 19%

They have not informed us of any changes in relation to these actors asa result of the regulation

12 57%



0% 20% 40% 60% 80%

Social and environmental impacts This section aims at identifying the potential impacts and effects of thedual-use items produced by your sector on the society and the environment.

Pagina 13 van 25

32. Do the dual-use items produced by your members generate any of the following social impacts?


Health and safety risks in the production and trade of these dual-useitems

3 12%

Health and safety risks in the use or consumption of these dual-useitems

2 8%

Risks to security resulting from the use or consumption of thesedual-use items

2 8%

Positive effects on security resulting from the use or consumption ofthese dual-use items

7 28%

I don't know about any social effects related to the dual-use itemsproduced by our members

14 56%

Other social effects: 5 20%


0% 20% 40% 60% 80%

33. In the production and trade of dual-use items in your sector, which of the following environmental effects are mostrelevant to your members?


Air pollution and emissions 5 20%

Water pollution 1 4%

Waste generation 4 16%

Energy and resource use 5 20%

I don't know about any environmental effects related to the productionand trade of dual-use items

17 68%

Other environmental effects: 3 12%


0% 20% 40% 60% 80%

34. Does the use/consumption of the dual-use items of your members generate any environmental effects?28% - Yes, mainly positive environmental effects

4% - Yes, mainly negative environmental effects

16% - Can have both positive and negative effects, neteffect unclear

52% - I don't know28%

16%

52%

n=25

Pagina 14 van 25


35. You indicated that the use/consumption of the dual-use items of your members generate mainly positiveenvironmental effects. Please specify which effects.


Open answer 4 6%

0% 20% 40% 60% 80%


36. You indicated that the use/consumption of the dual-use items of your members generate mainly negativeenvironmental effects. Please specify which effects.


Open answer 1 1%

0% 20% 40% 60% 80%

37. Are there any other important issues related to the current dual-use export controls that are not covered by the previous questions?

59% - No

41% - Yes, please specify

40.9%

59.1%

Assessing the impact of review options This section aims at identifying the potential impacts of thefollowing review issues on the members of your association. Review issue 'Develop EU export controlnetwork' The Communication 'The Review of export control policy: ensuring security and competitivenessin a changing world' identifies options to enhance information exchange and develop IT infrastructure.

n=22

Pagina 15 van 25

38. Please indicate which of the following statements most closely represents the situation of the members of your association in relation to a standardised IT s…

28% - They can already apply for licences electronicallyand they significantly benefit from it

28% - They can already apply for licences electronicallybut they do not significantly benefit from it

8% - They can't apply for licences electronically but theycould significantly benefit from it

36% - I don't know

28%

36%

8% 28%

Review issue 'Private Sector Partnership' The Communication 'The Review of export control policy:ensuring security and competitiveness in a changing world' identifies options to forge a partnership withthe private sector, and suggests in particular to facilitate controls by setting clear industry compliancestandards and enhancing transparency and outreach to companies.

39. Have the members of your association reported distortions of competition associated with varying levels of industry compliance within the EU?

67% - Yes

33% - No

33.3%

66.7%

40. Have the members of your association reported distortions of competition associated with varying levels of industry compliance in third countries?

74% - Yes

26% - No

26.1%

73.9%

n=25

n=24

n=23

Pagina 16 van 25

41. In view of supporting and facilitating the dual-use export procedures and ensuring a level-playing field, how wouldyou assess the impact of the following measures on the members of your association?


EU-wide legal requirements such as an internalcompliance programme, reporting of suspicioustransactions, and disclosure requirements in combinationwith increased industry outreach

23 1.75 1 0.83

EU-wide soft law measures such as guidelines including alist of compliance standards, in combination with increasedoutreach

23 2.24 2.5 0.88

Average: 2 — Median: 2 — Standard Deviation: 0,89

1. Be negatively affected

2. Not be affected

3. Benefit

- I don't know

35 17 17 30

22 13 39 26

42. Could you please rate the impact of consistent EU-wide legal requirements for industry compliance, combined withtransparency and outreach, on the following aspects?


Compliance/adjustment costs 23 2.89 3 1.1

Reputational benefit, investment and production 23 3.44 3 0.5

Exports 23 3.35 3.5 1.03

Innovation and research 23 3.06 3 0.7

Co-operation with academia/research institutes 23 3.18 3 0.62





2. Negative impact

3. Neutral

4. Positive impact


- I don't know

9 22 22 22 4 22

43 35 22

22 13 30 9 26

17 39 22 22

9 43 22 26

9 17 43 4 26

22 22 56

Review issue 'Catch-all controls' Currently, there is some degree of divergence in the way EU MemberStates apply the catch-all clause in the EU dual-use Regulation (Art. 4), which makes dual-use items that arenot included in the control list (Annex I) subject to control if they are or may be used in connection with aWMD (nuclear, biological, chemical weapon) end-use, a military end-use in an embargoed destination, or foruse as parts or components of previous illegally exported military items.

Pagina 17 van 25

43. Could you indicate whether your members have reported divergent applications of catch-all controls in the EU?39% - No

48% - Yes, <25% of members

4% - Yes, 25-50% of members

9% - Yes, >50% of members

39.1%

8.7%

47.8%

44. Could you please rate the impact of the differences in application/interpretation of catch-all controls in EU MemberStates on the competitiveness of your members?




Investment and production 22 2.53 2.5 0.5





2. Negative impact

3. Neutral

4. Positive impact


- I don't know

5 45 14 5 9 23

5 41 18 5 9 23

32 36 32

14 41 14 5 27

17 17 67

Review issue 'Optimisation of licensing architecture' To optimise the licensing architecture in the EU, anumber of review actions are under consideration, including the introduction of additional European UnionGeneral Export Authorisations (EUGEAs), which are trade facilitation measures that exempt certain exportsto specified destinations from individual licensing requirements and only require reporting of these exportsby the exporter.

n=23

Pagina 18 van 25

45. Please select from which of the following EU General Export Authorisations the members of your association wouldexpect to highly benefit.


Low-value shipments 12 48%

Encryption 9 36%

Intra-company technology transfers for R&D 9 36%

Intra-EU transfers of Annex IV items large projects 5 20%


I don't know 9 36%


0% 20% 40% 60% 80%

46. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for low-valueshipments on the following aspects?


Company's exports (trade effect) 12 2 2 0.43







2. Positive impact


- I don't know

8 75 8 8

8 67 17 8

17 50 8 25

33 33 33

25 75

Pagina 19 van 25

47. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for encryption onthe following aspects?







Average: 2,39 — Median: 2,50 — Standard Deviation: 0,69


2. Positive impact


- I don't know

13 38 50

13 38 50

13 38 50

25 63 13

33 33 33

48. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for intra-company technology transfers for R&D on the following aspects?









2. Positive impact


- I don't know

13 13 63 13

11 33 44 11

11 33 44 11

25 50 25

33 67

Pagina 20 van 25

49. Could you please rate the economic impact of the introduction of an EU General Export Authorisation for intra-EUtransfers of Annex IV items large projects on the following aspects?



Compliance costs 5 2 2 0

Investment and production 5 2 2 0





2. Positive impact


- I don't know

80 20

100

80 20

40 40 20

100

Review issue 'Legal clarifications/amendments'Under the heading of an EU system update involvingchanges to existing regulations a number of legal clarifications and amendments are being considered.

50. Do you see a need for legal clarification on:


Basic notions such as the definition of export and exporters,the definition of brokering, the determination of thecompetent autority etc.?

22 1.55 2 0.5

Control of technical assistance? 21 1.33 1 0.47

Control of intangible technology transfer (ITT)? 22 1.36 1 0.48

Consistency of transit provisions? 19 1.63 2 0.48

Consistency of brokering provisions? 18 1.72 2 0.45



1. Yes

2. No

45 55

67 33

64 36

37 63

28 72

50 50

Pagina 21 van 25

50B. If yes, which changes would you propose and why?

If yes, which changes would you propose and why? Total % of total respondents %

Basic notions such as the definition of export and exporters, the definition ofbrokering, the determination of the competent autority etc.?

3 4%

Control of technical assistance? 4 6%

Control of intangible technology transfer (ITT)? 3 4%

Consistency of transit provisions? 1 1%

Consistency of brokering provisions? 1 1%



0% 20% 40% 60% 80%

Review option 'EU system modernisation' This review option covers the modernisation of existing controls,including adding a new dimension for controlling exports of cyber-surveillance technologies. This wouldpotentially involve: Apply human security criteria to exports of cyber-surveillance technologies Obligatoryself-regulation on the part of industry producing cyber-surveillance technologies Introduction of EUautonomous list for cyber-surveillance technologiesVia technical or descriptive list Introduction of EUcyber-surveillance catch-all mechanismDedicated catch-all for cyber-surveillance technologies orapplication of general catch-all

No agreed definition of ‘cyber-surveillance technologies’ has been created at the EU level thus far, but itcould potentially include certain types of the following technologies: Mobile telecommunicationsinterception or jamming equipment IP Network Surveillance Systems Intrusion Software Lawful Interceptdata retention and mediation Big data and analytics Digital forensics Location tracking devices Biometrics

51. What would be the effects of introducing the above elements on export controls of cyber-surveillance technologies on members of your association?

35% - Our members do not produce any cyber-surveillance technologies

26% - Only a very small share of our members producescyber-surveillance technologies, overall the impact onour members will be very small

9% - A significant share of our members produce cyber-surveillance technologies and would be affected, but theeffects are not expected to be large

30% - A significant share of our members produce cyber-surveillance technologies and would be affected, it willaffect their competitiveness negatively

34.8%30.4%

8.7%

26.1%

n=23

Pagina 22 van 25


52. Please list the review actions which are perceived to have a strong positive economic impact on your members.


Open answer 13 19%

0% 20% 40% 60% 80%


53. Please list the review actions which are perceived to have a strong negative economic impact on your members.


Open answer 11 16%

0% 20% 40% 60% 80%


54. Please list the review actions which are perceived to have a strong positive security impact on your members.


Open answer 6 9%

0% 20% 40% 60% 80%


55. Please list the review actions which are perceived to have a strong negative security impact on your members.


Open answer 4 6%

0% 20% 40% 60% 80%

Pagina 23 van 25

56. Could you please indicate if we can use the name of your organisation for: Providing a list of respondents (without the answers) to the EC?

84% - Yes

16% - No

16%

84%


12% - No12%

88%


58. Please enter the name of your organisation:


Open answer 21 30%

Association European Industry Manufacturing

0% 20% 40% 60% 80%




Open answer 22 31%

com de org

0% 20% 40% 60% 80%

n=25

n=25

Pagina 24 van 25


Pagina 25 van 25

Export controls - Licensing authorities


Partial completes: 0 (0%)Screened out: 0 (0%)Reached end: 14 (100%)Total responded: 14

1. Current system

Resources dedicated to dual-use export control


1. Could you please specify the total resources dedicated to dual-use export control and related activities?


Total budget of the export licensing authority as per Art. 9 of the EUDual-use Regulation 428/2009 (2014 in €)

14 100%

Percentage of budget dedicated to dual-use export control 14 100%

0% 20% 40% 60% 80%

2. Could you please specify the source of your revenue?


Government budget 14 100%

Fees paid by industry 1 7%



0% 20% 40% 60% 80%

Page 1 of 20

3. Could you indicate the share of total resource (budget, including staff costs) dedicated to dual-use export control peractivity listed below (in approximate percentage terms or range) for 2014, referring to the licensing authority as per Art. 9:


Issuing licenses (including going back to applicant formore information due to mistakes or insufficientinformation)

13 3.42 3 0.49

Dual-use classification requests 13 1.92 2 0.64

Dual-use catch-all notifications (authorization requirementcorresponding to Art. 4 EC Dual-use Regulation)

13 1.67 2 0.62

Advisory opinions/informal or formal pre-inquiries andother communication with industry (including visits fromcompanies)

13 2.42 2 0.49

Audits/compliance visits and information visits to company 13 1.67 2 0.62

Industry outreach events 13 1.67 1 0.75

Information management (intra-agency, inter-agency andinternational)

13 2.17 2 0.69

Attending regime and other international meetings(including capacity-building/cooperation with othercountries) as well as EUWPDU/CG and sub-groupmeetings by the authority under Art. 9

13 2 2 0.58

Other tasks, please specify 5 2.75 3 0.43


1. less than 5%

2. 5-20%

3. 20-50%

4. more than 50%

- I don't know

54 38 8

23 54 15 8

38 46 8 8

54 38 8

38 46 8 8

46 31 15 8

15 46 31 8

15 62 15 8

20 60 20


4. How many staff in your organisation are involved in the activities listed under the previous question (includinglicensing processing, legal, technical, and/or policy)?


Number of staff working full-time on these activities: 14 100%

Number of staff that devotes the majority of its time to these activities: 13 93%

Number of staff that devotes a small percentage of its time to theseactivities:

13 93%

0% 20% 40% 60% 80%

Page 2 of 20


5. Do you have an estimate of combined staff time from other government departments, agencies and ministries inrelation to the implementation and enforcement of the dual-use regulation?


Number of staff working full-time on these activities: 9 75%

Number of staff that devotes the majority of its time to these activities: 11 92%

Number of staff that devotes a small percentage of its time to theseactivities:

9 75%

0% 20% 40% 60% 80%

6. Do you use external expertise (e.g. from other EU Member States, other authorities or private sector)?86% - Yes

14% - No

14.3%

85.7%

7. You indicated you use external expertise. To which parts of the process does this mainly relate?


Technical classification 11 92%

Regime proposals and statements 6 50%

Legal expertise 3 25%



0% 20% 40% 60% 80%


8. What are the costs of these services as a percentage of your licensing authority's overall dual-use budget in 2014?


Open answer 11 79%

0% 20% 40% 60% 80%

n=14

Page 3 of 20


9. How do overall dual-use related costs relate to the scope of the current legislation in approximate percentage orpercentage range for 2014?


Dual-use regulation 428/2009 14 100%

UN and EU sanctions 14 100%

Other 6 43%

0% 20% 40% 60% 80%


10. You selected 'Other'. Could you please specify this answer below?


Open answer 5 36%

0% 20% 40% 60% 80%

Implementation challenges


11. What are the main challenges linked to the management of dual-use export controls based on the EU Dual-useRegulation 428/2009 (e.g. staff resources)?


Open answer 14 100%

0% 20% 40% 60% 80%

2. Review options

Review option 2: Implementation and enforcement support

Page 4 of 20

Review issue 2.1: Develop EU export control networkReview actions:2.1.1 Enhance information exchangeand develop IT infrastructureOn licensing dataOn other information e.g. destinations, end-users, incidentsand violationsUse DUeS to this purposeShare information between and with enforcement agencies throughan EU-wide exchange system (see also 2.1.2)Develop standardised IT support tools and electronic licensingsystems across the EU (see also 3.3.6) 2.1.2 Enhance strategic and operational cooperation with enforcementagenciesIntegrate export control priorities in policy cyclesDevelop common risk management tools andframeworkImplement joint operationsEnhance enforcement of transit provisionsEnhance enforcement ofbrokering provisions2.1.3 Training/capacity-building (EU-wide capacity-building programme and training forofficials and further develop EU pool of experts)

12. Please rate the impact of these review actions in terms of administrative burden for your authority, as well as interms of human rights and security:


Staff resources 13 2.69 2 1.14

Processing times 13 2.85 3 0.95

Security 13 3.69 4 0.61

Human rights 13 3.46 3 0.5



2. Negative impact

3. Neutral

4. Positive impact


15 38 8 38

8 31 31 31

8 15 77

54 46

13. With respect to staff resources, please rate the impact of these review actions on the following aspects:


Information management 13 2.85 2 1.46

Outreach/information to companies 13 3.23 3 0.89

Licensing 13 3.15 3.5 1.03

Audits 13 3.15 3 0.66

Other, please specify 1 4 2.5 0



2. Negative impact

3. Neutral

4. Positive impact


23 31 31 15

8 8 38 46

8 23 15 54

15 54 31

100

Page 5 of 20

14. Please indicate which of the specific actions affect you most positively/negatively:


2.1.1.a Enhance information exchange and develop ITinfrastructure on licensing data

9 1.67 2 0.47

2.1.1.b Enhance information exchange and develop ITinfrastructure on other information e.g. destinations,end-users, incidents and violations

10 1.8 2 0.4

2.1.1.c Enhance information exchange and develop ITinfrastructure: Use DUeS to this purpose

9 2 2 0

2.1.1.d Enhance information exchange and develop ITinfrastructure: Share information between and withenforcement agencies through an EU-wide exchangesystem (see also 2.1.2)

8 1.75 2 0.43

2.1.1.e Enhance information exchange and develop ITinfrastructure: Develop standardised IT support tools andelectronic licensing systems across the EU (see also3.3.6)

6 1.83 2 0.37

2.1.2.a Enhance strategic and operational cooperation withenforcement agencies: Integrate export control priorities inpolicy cycles

7 1.71 2 0.45

2.1.2.b Enhance strategic and operational cooperation withenforcement agencies: Develop common risk managementtools and framework

10 1.9 2 0.3

2.1.2.c Enhance strategic and operational cooperation withenforcement agencies: Implement joint operations

7 1.71 2 0.45

2.1.2.d Enhance strategic and operational cooperation withenforcement agencies: Enhance enforcement of transitprovisions

7 1.71 2 0.45

2.1.2.e Enhance strategic and operational cooperation withenforcement agencies: Enhance enforcement of brokeringprovisions

4 1.75 2 0.43

2.1.3 Training/capacity-building (EU-wide capacity-building programme and training for officials and furtherdevelop EU pool of experts)

9 2 2 0


1. Very negatively

2. Very positively

33 67

20 80

100

25 75

17 83

29 71

10 90

29 71

29 71

25 75

100




Open answer 6 43%

0% 20% 40% 60% 80%

Page 6 of 20

Review issue 2.2: Private Sector partnership Review actions: 2.2.1 Due-diligence/ICP requirementsthrough guidelines: Set clear private sector compliance standards for use of simplified mechanisms as a‘substantial benefit’ for ‘reliable exporters’ through guidelines 2.2.2 Transparency: Transparency andcoordinated outreach through publication of reports/non-sensitive control information, including guidanceon good compliance practices 2.2.3 Promote convergence with the AEO programme



Staff resources 13 3.23 3.5 0.89

Processing times 13 3.46 3.5 0.84

Security 13 3.77 4 0.58




2. Negative impact

3. Neutral

4. Positive impact


31 15 54

15 31 46 8

31 62 8

50 50





Licensing 13 3.46 4 0.93

Audits 13 3.23 3 0.7




2. Negative impact

3. Neutral

4. Positive impact


38 31 15 15

15 77 8

23 15 54 8

15 46 38

100

Page 7 of 20



2.2.1 Due-diligence/ICP requirements through guidelines:Set clear private sector compliance standards for use ofsimplified mechanisms as a ‘substantial benefit’ for‘reliable exporters’ through guidelines

11 1.91 2 0.29

2.2.2 Transparency: Transparency and coordinatedoutreach through publication of reports/non-sensitivecontrol information, including guidance on goodcompliance practices

6 1.5 1 0.5

2.2.3 Promote convergence with the AEO programme 5 1.4 1 0.49


1. Very negatively

2. Very positively

9 91

50 50

60 40




Open answer 5 36%

0% 20% 40% 60% 80%

Review issue 2.3: Strengthen implementation of ITT controls Review actions: 2.3.1 Provide guidance2.3.2 Outreach to the academic research community 2.3.3 Codes of conduct for scientists





Security 13 4 4 0.39

Human rights 13 3.54 3.5 0.5



2. Negative impact

3. Neutral

4. Positive impact


8 46 23 23

31 46 23

8 85 8

46 54

Page 8 of 20



Information management 13 2.69 2.5 0.72

Outreach/information to companies 13 3 3 0.96

Licensing 13 2.85 3 0.77

Audits 13 3.08 3 0.73




2. Negative impact

3. Neutral

4. Positive impact


46 38 15

8 23 31 38

38 38 23

23 46 31

100



2.3.1 Provide guidance 11 1.82 2 0.39

2.3.2 Outreach to the academic research community 9 1.67 2 0.47

2.3.3 Codes of conduct for scientists 8 1.75 2 0.43


1. Very negatively

2. Very positively

18 82

33 67

25 75




Open answer 4 29%

0% 20% 40% 60% 80%

Review issue 2.4: Rapid reaction to technological changes and active contribution to control list discussionsin regimes Review actions: 2.4.1 ‘EU technological reaction capacity’ mechanism (based on expertise in EUMS authorities and structured engagement with industry) 2.4.2 Guidance on emerging technologies2.4.3 Set up effective mechanism for regular update of EU control list drawing on MS expertise

Page 9 of 20





Security 13 3.85 4 0.66

Human rights 13 3.62 3.5 0.62



2. Negative impact

3. Neutral

4. Positive impact


8 38 38 15

15 38 46

31 54 15

46 46 8




Outreach/information to companies 13 2.92 3 1

Licensing 13 3.31 3 0.72

Audits 13 3.15 3 0.53




2. Negative impact

3. Neutral

4. Positive impact


38 31 31

8 31 23 38

15 38 46

8 69 23



2.4.1 ‘EU technological reaction capacity’ mechanism(based on expertise in EU MS authorities and structuredengagement with industry)

7 1.71 2 0.45

2.4.2 Guidance on emerging technologies 9 1.78 2 0.42

2.4.3 Set up effective mechanism for regular update of EUcontrol list drawing on MS expertise

6 2 2 0


1. Very negatively

2. Very positively

29 71

22 78

100

Page 10 of 20




Open answer 3 21%

0% 20% 40% 60% 80%

Review issue 2.5: Promote global convergence of export controls Review actions: 2.5.1 Promote coherent,comprehensive, unified EU representation in the regimes2.5.2 Active outreach, cooperation and assistanceto partner countries2.5.3 Develop export control dialogues with key trading partners: To avoid ‘conflictingregulatory requirements’ and reduce ‘administrative burden on export-oriented industries’



Staff resources 13 3 3 1.18


Security 13 3.77 4 0.8




2. Negative impact

3. Neutral

4. Positive impact


8 31 31 15 15

15 62 23

8 23 54 15

54 46

Page 11 of 20



Information management 13 3 3 0.96


Licensing 13 3.31 3 0.72

Audits 13 3.15 3 0.36




2. Negative impact

3. Neutral

4. Positive impact


38 31 23 8

15 46 38

15 38 46

85 15

100



2.5.1 Promote coherent, comprehensive, unified EUrepresentation in the regimes

7 1.57 1.5 0.49

2.5.2 Active outreach, cooperation and assistance topartner countries

8 1.75 2 0.43

2.5.3 Develop export control dialogues with key tradingpartners: To avoid ‘conflicting regulatory requirements’and reduce ‘administrative burden on export-orientedindustries’

10 1.7 2 0.46


1. Very negatively

2. Very positively

43 57

25 75

30 70




Open answer 3 21%

0% 20% 40% 60% 80%

Review option 3: EU system update (option 2+ upgrades of existing regulations)

Page 12 of 20

Review issue 3.1: Catch-all convergence Review actions: 3.1.1 Definition: Harmonise notion of catch-allcontrols across the EU 3.1.2 Information exchange: Regular information exchange and establish EUcatch-all database (partly shared with customs and partly made public and thus accessible to companies)3.1.3 Consultation process: Strengthen consultation to ensure EU-wide application and reinforceno-undercut policy





Security 13 3.77 4 0.7




2. Negative impact

3. Neutral

4. Positive impact


15 23 23 38

15 23 31 31

8 15 69 8

8 31 54 8




Outreach/information to companies 13 3 3 0.88

Licensing 13 2.77 3 1.19

Audits 13 2.92 3 0.73




2. Negative impact

3. Neutral

4. Positive impact


31 15 15 38

38 23 38

23 15 23 38

8 8 69 15

100

Page 13 of 20



3.1.1 Definition: Harmonise notion of catch-all controlsacross the EU

10 1.8 2 0.4

3.1.2 Information exchange: Regular information exchangeand establish EU catch-all database (partly shared withcustoms and partly made public and thus accessible tocompanies)

7 1.43 1 0.49

3.1.3 Consultation process: Strengthen consultation toensure EU-wide application and reinforce no-undercutpolicy

8 1.62 2 0.48


1. Very negatively

2. Very positively

20 80

57 43

38 63




Open answer 3 21%

0% 20% 40% 60% 80%

Review issue 3.2: Critical re-evaluation of EU transfers Review actions: 3.2.1 Review of Annex IV: Updatelist and reduce to most sensitive items 3.2.2 Introduce EUGEA for intra-EU transfers: Including technologytransfers, combined with post-shipment verification




Processing times 13 3.69 3.5 0.72

Security 13 3 3 0.39




2. Negative impact

3. Neutral

4. Positive impact


15 31 38 15

46 38 15

8 85 8

8 92

Page 14 of 20




Outreach/information to companies 13 3.54 3.5 0.5

Licensing 13 3.77 4 0.58

Audits 13 3.08 3 0.47




2. Negative impact

3. Neutral

4. Positive impact


8 54 38

46 54

31 62 8

8 77 15



3.2.1 Review of Annex IV: Update list and reduce to mostsensitive items

11 1.82 2 0.39

3.2.2 Introduce EUGEA for intra-EU transfers: Includingtechnology transfers, combined with post-shipmentverification

9 1.89 2 0.31


1. Very negatively

2. Very positively

18 82

11 89




Open answer 6 43%

0% 20% 40% 60% 80%

Page 15 of 20

Review issue 3.3: Optimisation of licensing architecture Review actions: 3.3.1 Review parameters forexisting EUGEAs 3.3.2 Introduce additional EUGEAs: e.g. for: low-value shipments encryption intra-company technology transfers for R&D intra-EU transfers of Annex IV items large projects 3.3.3 IntroduceITT facilitation tools: e.g. EUGEAs for intra-company research and development), combined with focus onpre-transfer control (registration, self-auditing) and post-transfer monitoring (compliance audits) 3.3.4 Facilitate exports: introduce regular review of NGEAs and discuss possible transformation intoEUGAEs3.3.5 Prepare guidelines for consistent licensing practices: e.g best practices for processingtimes3.3.6 Develop standardised IT support tools and electronic licensing systems across the EU3.3.7 Shifting emphasis on end-use monitoring





Security 13 2.85 3 0.77




2. Negative impact

3. Neutral

4. Positive impact


8 58 33

69 31

8 15 62 15

15 77 8




Outreach/information to companies 13 3.54 3.5 0.75

Licensing 13 4.08 4 0.47

Audits 13 3.15 3 0.77




2. Negative impact

3. Neutral

4. Positive impact


23 23 46 8

8 38 46 8

8 77 15

15 62 15 8

Page 16 of 20



3.3.1 Review parameters for existing EUGEAs 7 2 2 0

3.3.2 Introduce additional EUGEAs: e.g. for low-valueshipments, encryption, intra-company technology transfersfor R&D, intra-EU transfers of Annex IV items largeprojects

10 1.8 2 0.4

3.3.3 Introduce ITT facilitation tools: e.g. EUGEAs forintra-company research and development), combined withfocus on pre-transfer control (registration, self-auditing)and post-transfer monitoring (compliance audits)

8 1.75 2 0.43

3.3.4 Facilitate exports: introduce regular review of NGEAsand discuss possible transformation into EUGAEs

6 1.83 2 0.37

3.3.5 Prepare guidelines for consistent licensingpractices: e.g best practices for processing times

8 1.75 2 0.43

3.3.6 Develop standardised IT support tools and electroniclicensing systems across the EU

6 1.83 2 0.37

3.3.7 Shifting emphasis on end-use monitoring 5 1.8 2 0.4


1. Very negatively

2. Very positively

100

20 80

25 75

17 83

25 75

17 83

20 80




Open answer 4 29%

0% 20% 40% 60% 80%

Review issue 3.4: Legal clarifications and amendments Review actions: 3.4.1 Clarify notion of export andexporter 3.4.2 Review determination of competent authority (especially for non-EU companies)3.4.3 Update control of technical assistance 3.4.4 Review/clarify legal framework on ITT controls and adjustcontrol modalities3.4.5 Enhance consistency of transit provisions 3.4.6 Enhance consistency of brokeringprovisions 3.4.7 Extraterritorial provisions for EU persons (to prevent circumvention)3.4.8 Legal ICPrequirements

Page 17 of 20





Security 13 3.77 4 0.7




2. Negative impact

3. Neutral

4. Positive impact


8 46 31 15

69 15 15

38 46 15

77 23





Licensing 12 3.58 3 0.64

Audits 12 3.42 3 0.49




2. Negative impact

3. Neutral

4. Positive impact


8 58 25 8

42 50 8

50 42 8

58 42

100

Page 18 of 20



3.4.1 Clarify notion of export and exporter 7 2 2 0

3.4.2 Review determination of competent authority(especially for non-EU companies)

6 2 2 0

3.4.3 Update control of technical assistance 8 2 2 0

3.4.4 Review/clarify legal framework on ITT controls andadjust control modalities

10 1.9 2 0.3

3.4.5 Enhance consistency of transit provisions 7 1.71 2 0.45

3.4.6 Enhance consistency of brokering provisions 4 1.75 2 0.43

3.4.7 Extraterritorial provisions for EU persons (to preventcircumvention)

6 1.5 1 0.5

3.4.8 Legal ICP requirements 9 1.89 2 0.31


1. Very negatively

2. Very positively

100

100

100

10 90

29 71

25 75

50 50

11 89




Open answer 3 21%

0% 20% 40% 60% 80%

48. Could you please indicate if we can use the name of your licensing authority for: Providing a list of respondents (without the answers) to the EC?

100% - Yes

100%

n=14

Page 19 of 20



7% - No7.1%

92.9%


50. Please enter the name of your licensing authority:


Open answer 14 100%

0% 20% 40% 60% 80%




Open answer 13 93%

0% 20% 40% 60% 80%

n=14

Page 20 of 20

Documents

export control policy review Annexes - Europatrade.ec.europa.eu/doclib/docs/2017/may/tradoc_155610.pdf · 2019-04-29 · Written by SIPRI and Ecorys 6 November 2015 FINAL REPORT Data