INTRODUCTION

This report covers data from 2022 on (i) granted and denied licences from EU Member States; and (ii) exports of conventional arms from EU Member States. It also covers activities related to the implementation of Council Common Position 2008/944/CFSP (1), (2), and contains non-exhaustive information on intra-EU transfers of defence-related products that are governed by Directive 2009/43/EC of the European Parliament and of the Council (3).

The report is compiled by the European External Action Service (EEAS), based on data provided by EU Member States. The subgroup on Conventional arms exports (COARM) of the Council Working Party on Non-Proliferation and Arms Exports supports a permanent dialogue among Member States on the coherent application of the common rules governing control of arms exports.

The following third countries have officially aligned themselves with the criteria and principles of Common Position 2008/944/CFSP: Albania, Bosnia and Herzegovina, Canada, North Macedonia, Georgia, Iceland, Montenegro and Norway. An information exchange system between the EU and Norway has been in place since 2012.

In addition to this report, data on EU Member States’ arms exports can also be also consulted online (4). The online system contains information on the value, destination and type of arms export licences from all EU Member States, as well as on actual exports from EU Member States which report such data. It offers various graphic representations and tools to compose a wide variety of analytical compilations to all those interested in the value, military equipment and destination of European arms exports. While the online system allows users to consult data in a more user-friendly manner, the report in the Official Journal of the European Union remains the main source of information.

I.   IMPLEMENTATION OF COMMON POSITION 2008/944/CFSP (‘Common Position’)

1.   Political Dialogue meetings

Political Dialogue meetings on arms export control issues were held by the EEAS in 2022 with Norway and the United States. The political dialogues provided a forum for fruitful discussions on matters of mutual interest, such as export policies to specific destinations, compliance and control issues, and the Arms Trade Treaty. In addition, the United States also attended a COARM meeting to discuss arms export control issues with the EU Member States.

2.   Dialogue with stakeholders: European Parliament, civil society and industry

The EEAS answered parliamentary questions submitted by members of the European Parliament on arms exports issues, as well as attended events at the European Parliament related to European arms exports (5).

In accordance with past practice, COARM meetings with external entities, including UN offices (UNODC), non-governmental organisations (such as ICRC, Saferworld) and companies (Conflict Armament Research) were organised regularly.

The COARM-NGO forum took place on 16 June 2022, organised by Saferworld and co-hosted by the EEAS. COARM also invited representatives from the European defence industry to its meetings, and had debates with the participation of think tanks working on topics related to the arms trade (EU Non-Proliferation and Disarmament Consortium).

3.   Outreach

Article 11 of the Common Position calls on Member States to ‘use their best endeavours to encourage other States which export military technology or equipment to apply the criteria of the Common Position.’ The promotion of effective national arms export controls and the principles and criteria of the Common Position in selected third countries took place through the implementation of Council Decision (CFSP) 2020/1464 (6) (amended by Council Decision (CFSP) 2022/848 (7)), implemented by the German Federal Office for Economic Affairs and Export Control (BAFA).

EU outreach efforts directed at third countries also continued on universalisation and implementation of the Arms Trade Treaty, with activities carried out by BAFA and Expertise France under Council Decision (CFSP) 2021/2309 (8), and by the Arms Trade Treaty Secretariat under Council Decision (CFSP) 2021/649 (9). Further details can be found below and in Annex D.

4.   Review of Common Position 2008/944/CFSP (‘Common Position’)

In 2022, COARM continued its work on the implementation of the deliverables included in the Council Conclusions (10) regarding the 2019 review of the Common Position. In spring 2022, the EEAS launched an internal database with country pages containing relevant open source information on potential destinations of European military equipment.

The database is only accessible to licensing officers from EU Member States and to the EEAS. It aims to contribute to further convergence in the application of the Common Position by Member States. In autumn 2022, Member States agreed on an internal good practice paper containing elements for developing a national system on reporting actual exports.

In paragraph 14 of its Conclusions, the Council tasks COARM to reassess the implementation of the Common Position in five years’ time (2024). In 2022 the review process started, with three focus groups of Member State representatives being set up. Participation by Member States in these groups was voluntary. The groups dealt with: (i) jointly produced military equipment; (ii) further harmonisation; and (iii) enforcement. The review is expected to be concluded in autumn 2024.

5.   Denial notifications and consultations

The Common Position foresees the notification of licence denials. It also foresees a consultation process when a Member State is reviewing a licence application for a transaction that is essentially identical to one denied before by another Member State. This is done via the COARM Online System. The system already demonstrated that it supports transparency between Member States in relation to specific countries of final destination and end users.

The number of notified denials — per destination and per military list category — is included in row (d) of the tables in Annex A.I. The number of consultations issued and received by each Member State, as well as the number of consultations per destination can be found in Annexes B.I and B.II. Defence companies in Member States are generally aware of the restrictions on arms export policies, and will usually refrain from applying for a licence if they know it is likely to be denied.

A low number of denials therefore does not indicate how restrictive or not the export policy is with regard to specific destinations. On the other hand, arms embargoes imposed by the EU (11) are general prohibitions to grant licences with regard to those destinations.

6.   User’s Guide

The User’s Guide is a key instrument bringing together agreed guidance for the implementation of the operative provisions of the Common Position and the interpretation of its criteria. It is referred to in Article 13 of the Common Position. It was developed by COARM and is updated periodically: the last update was done as part of the review of the Common Position (2019). It is not a legally binding act, but it is endorsed by the Council. The Council welcomed the amendment of the User's Guide in its Conclusions of 16 September 2019  (12).

The User’s Guide is intended for use primarily by export licensing officials (licensing officers and other officials in relevant government departments and agencies), thus substantially contributing in a pragmatic way to the convergence of Member States’ arms export control policies and procedures. With a view to supporting the operationalisation of the criteria of the Common Position, the Guide presents best practices that have been developed by COARM, building on national best practices and taking into account input from other relevant stakeholders, including civil society. Their purpose is to achieve greater consistency among Member States in the application of the criteria of the Common Position. This is achieved, for example, through the identification of factors that need to be considered when assessing export licence applications. The decision-making process is informed by the expertise of these officials on matters covering regional, legal, judicial, technical, development, as well as security and military-related issues.

The Guide is a public document available on the website of the European External Action Service (13). Its publication aims to foster transparency and understanding of motives and factors underlying actual or potential licensing decisions by Member States, even though the decisions itself might not be subject to external scrutiny.

7.   Common Military List of the European Union

The EU Common Military List (CML) includes the military items that Member States shall require export licences for, in line with Article 12 of the Common Position. It is identical to the list of defence-related products annexed to Directive 2009/43/EC (14). The EU CML takes into account the changes in the Wassenaar Arrangement’s Munitions List agreed at the Plenary meetings of the Arrangement. The latest EU CML in use as from its publication was published in the Official Journal of the European Union of 1 March 2022  (15), following changes agreed at the Plenary meeting on 29 November–3 December 2021  (16).

8.   Arms brokering

In accordance with Article 5 of Council Common Position 2003/468/CFSP (17), Member States have put in place separate arrangements for the exchange of information on granted and denied brokering licences. Furthermore, those Member States who require brokers to obtain a written authorisation to act as brokers and/or have established a register of arms brokers, have put in place separate arrangements for the exchange of relevant information on registered brokers. Information on brokering licences can be found in Annex A.III.

Detailed information on national implementation of Common Position 2003/468/CFSP can be found in Annex C.

II.   ARMS TRADE TREATY (ATT)

1.   Involvement in the ATT: Conference of States Parties

As with previous Conferences of States Parties (CSP), the EU and its Member States played an active part in the entire preparatory cycle and the Eighth Conference of States Parties (22–26 August 2022) which put an emphasis on the post-delivery cooperation, as a priority theme of the German Presidency.

States Parties agreed on a structured plan on how to elaborate guiding recommendations on post-shipment cooperation ahead of CSP in 2023. States Parties stressed the willingness of all countries to collaborate to reach a more substantial outcome in universalisation. Noteworthy was also the discussion related to the decreasing ratio of the national reports’ submissions, which corresponded to an inversely proportional number of reports kept confidential, therefore undermining the availability of information and the progress of transparency. The Conference expressed its concern for the low rate of compliance with the reporting obligations and urged States Parties to submit their reports or to make use of the available assistance mechanisms, including the EU funded projects. The Conference welcomed the inaugural meeting of the Diversion Information Exchange Forum (DIEF) as a first opportunity for States Parties and Signatory States to exchange information on concrete cases of detected or suspected diversion and share concrete, operational diversion-related information. The Conference agreed on a clear plan for the following cycle to be presided over by the Republic of Korea, with its declared Presidency focus on the role of industry in responsible international transfers of conventional arms.

The European Union active participation in CSP8 (5 EU Statements and 4 side events) (18) contributed considerably to reaffirming its longstanding support for the ATT effective implementation and universalisation efforts. The EU unity and visibility during the Conference was strong and, this year, at least 20 countries and the ATT Secretariat thanked the EU for its continued support implemented by a set of dedicated Council Decisions.

2.   EU ATT Implementation Support Programme under Council Decision (CFSP) 2021/814, and Council Decision (CFSP) 2021/2309

Further to its entry into force in 2014 and with so far (19) 113 States Parties, the ATT continues to face challenges in terms of its universalisation and its effective implementation by States Parties.

To contribute to addressing these challenges, the EU adopted an implementation support programme for third countries (20). This programme is implemented by both the German Federal Office for Economic Affairs and Export Control (BAFA) and Expertise France. It provides for assistance to third countries, on their request, in strengthening their arms transfer systems in line with the requirements of the Treaty. Details of the activities can be found in Annex D.

3.   Support to the ATT Secretariat

With the adoption of Decision (CFSP) 2021/649 the Council agreed to support the Arms Trade Treaty Secretariat in its activities that focus on the implementation of the Arms Trade Treaty (21). This decision falls in line with the general EU policy objective to strengthen the multilateral framework, including in the field of arms export control. Details of the activities can be found in Annex D.

III.   PRIORITY GUIDELINES FOR COARM FOR THE NEAR FUTURE

In 2023, COARM will, inter alia, and in addition to its standing tasks:

COARM will continue to actively reach out to other relevant groups in order to connect to adjacent fields of work, including the Working Party on Dual-Use Goods and the Customs Union Working Party. Links between COARM and national licensing and enforcement officers dealing with arms export control are being strengthened.

IV.   EUROPEAN PEACE FACILITY ASSISTANCE MEASURES

With the approval of the Council Decision establishing the European Peace Facility (EPF) on 22 March 2021  (22), the EU has created a robust mechanism dedicated to supporting partners on military and defence matters. This follows the ambition outlined in the Global Strategy for the European Union’s Foreign and Security Policy and as further elaborated in the Strategic Compass.

With the EPF, the EU covers the common costs of military CSDP missions and operations (Operations pillar), and can provide support to partners comprising military assistance, training, equipment (including arms and ammunition) to improve their ability to prevent and respond to crises, better protect civilians and thereby strengthen international security and ultimately the EU’s own security (Assistance Measures pillar). This report includes only information about Assistance Measures (AMs) since the Operations pillar does not involve exports of items under the EU Common Military List.

2022 has been a highly active year for the EPF. The mobilisation of the EPF in response to Russia’s unprovoked and unjustified military aggression against Ukraine marked a paradigm shift for EU foreign and security policy. In 2022, the EU adopted six support packages of support under the EPF for the delivery of defensive military equipment to the Ukrainian Armed Forces (UAF) for a total amount of EUR 3,1 billion. The EU has also provided EPF support to UAF trained by the EU Military Assistance Mission (EUMAM Ukraine).

In addition, the EPF financed military components of African-led peace support operations under the AM taking the form of a general programme for support to the African Union (Amisom/ATMIS, MNJTF, SAMIM). Furthermore, the Facility funded a number of AMs aimed at strengthening capacities of partners on military and defence matters in the Eastern Neighbourhood (Georgia and Moldova), the Western Balkans (Bosnia and Herzegovina, the Balkan Medical Task Force), the Southern Neighbourhood (Lebanon) and in Africa (support to Mozambique, including through the Rwanda Defence Force deployment, Niger, Mauritania). The number of AMs and their overall breakdown mirror the global nature of the instrument.

The EPF had an initial financial ceiling of EUR 5,692 billion in current prices (EUR 5 billion in 2018 prices) for the period 2021–2027. The European Council in December 2022 welcomed the agreement in the Council ensuring financial sustainability of the EPF thus sending a clear political signal of the EU’s enduring commitment to military support for Ukraine and other partners alike.

The Council agreed to raise the overall financial ceiling of the Facility by EUR 2,287 billion in current prices (EUR 2 billion in 2018 prices). It also agreed that, in case of need, the ceiling can be increased by an additional EUR 3,5 billion until 2027 (23).

The AMs and actions approved follow the EU’s overall strategic approach towards a given country or region and are based on thorough needs assessments, as well as the analyses outlined in the EPF Council Decision and associated integrated methodological framework for assessing and identifying the required measures and controls for AMs under the EPF (ST 14209/20, 18 December 2020).

BRIEF DESCRIPTIONS OF EU COMMON MILITARY LIST CATEGORIES  (24)

(1)  Legally binding for EU Member States.

(2)  Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (OJ L 335, 13.12.2008, p. 99) amended by Council Decision (CFSP) 2019/1560 of 16 September 2019 (OJ L 239, 17.9.2019, p. 16).

(3)  Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (OJ L 146, 10.6.2009, p. 1).

(4)  https://webgate.ec.europa.eu/eeasqap/sense/app/75fd8e6e-68ac-42dd-a078-f616633118bb/sheet/74299ecd-7a90-4b89-a509-92c9b96b86ba/state/analysis

(5)  An example of such an event was a public hearing ‘The War in Ukraine: Implications for Arms Export Policies at the EU Level’ held by the Subcommittee on Security and Defence (SEDE) on 29 November 2022. Recording available at: https://multimedia.europarl.europa.eu/en/webstreaming/subcommittee-on-security-and-defence_20221129-1500-COMMITTEE-SEDE

(6)  Council Decision (CFSP) 2020/1464 of 12 October 2020 on the promotion of effective arms export controls (OJ L 335, 13.10.2020, p. 3).

(7)  Council Decision (CFSP) 2022/848 of 30 May 2022 amending Decision (CFSP) 2020/1464 on the promotion of effective arms export controls (OJ L 148, 31.5.2022, p. 50).

(8)  Council Decision (CFSP) 2021/2309 of 22 December 2021 on Union outreach activities in support of the implementation of the Arms Trade Treaty (OJ L 461, 27.12.2021, p. 78).

(9)  Council Decision (CFSP) 2021/649 of 16 April 2021 on Union support for activities of the ATT Secretariat in support of the implementation of the Arms Trade Treaty (OJ L 133, 20.4.2021, p. 59).

(10)  https://www.consilium.europa.eu/media/40660/st12195-en19.pdf

(11)  See public online tool: EU Sanctions Map.

(12)  https://www.consilium.europa.eu/media/40659/st12189-en19.pdf

(13)  https://www.eeas.europa.eu/eeas/disarmament-non-proliferation-and-arms-export-control-0_en

(14)  The current list of defence-related products was adopted by the Commission Delegated Directive (EU) 2023/277 of 5 October 2022 (OJ L 42, 10.2.2023, p. 1). To align the Annex of Directive 2009/43/EC with the updated Common Military List of 20 February 2023, a Delegated Directive reflecting the updates will be published by the end of 2023.

(15)   OJ C 100, 1.3.2022, p. 3.

(16)  For details, see: https://www.wassenaar.org/

(17)  Council Common Position 2003/468/CFSP of 23 June 2003 on the control of arms brokering (OJ L 156, 25.6.2003, p. 79).

(18)  Details are available at the ATT CSP8 webpage: https://thearmstradetreaty.org/csp-8.html?templateId=1662140

(19)  August 2023.

(20)  Council Decision (CFSP) 2021/814 of 20 May 2021 amending Decision (CFSP) 2017/915 on Union outreach activities in support of the implementation of the Arms Trade Treaty (OJ L 180, 21.5.2021, p. 151) and Council Decision (CFSP) 2021/2309 of 22 December 2021 on Union outreach activities in support of the implementation of the Arms Trade Treaty (OJ L 461, 27.12.2021, p. 78).

(21)  Council Decision (CFSP) 2021/649 of 16 April 2021 on Union support for activities of the ATT Secretariat in support of the implementation of the Arms Trade Treaty (OJ L 133, 20.4.2021, p. 59).

(22)  Council Decision (CFSP) 2021/509 of 22 March 2021 establishing a European Peace Facility, and repealing Decision (CFSP) 2015/528 (OJ L 102, 24.3.2021, p. 14).

(23)  On 13 March 2023, the Council adopted a decision operationalising the first top-up and leading the financial ceiling of the EPF to EUR 7,979 billion (in current prices, or EUR 7 billion in 2018 prices) until 2027.

(24)  The full description of the categories as adopted by the Council in 2022 (OJ C 100, 1.3.2022, p. 3) can be found on: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A52022XG0301%2801%29&qid=1646235149869