INTRODUCTION

This report covers data from 2023 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 Sub-Working Party 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 those 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 EU Official Journal 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 2023 with Canada, 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 4 July 2023, organised by Saferworld and co-hosted by the EEAS. COARM also invited representatives from the European defence industry (ASD) 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)), and Council Decision (CFSP) 2023/2539 (8) implemented by the German Federal Office for Economic Affairs and Export Control (BAFA) – commonly referred to as COARM Outreach Phase V and VI, respectively.

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 (9) (ATT Outreach Phase III), and by the Arms Trade Treaty Secretariat under Council Decision (CFSP) 2021/649 (10) (amended by Council Decision (CFSP) 2023/161 (11)), and Council Decision (CFSP) 2023/2296 (12). Further details can be found below and in Annex D.

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

In 2023, COARM continued its work on the implementation of the deliverables included in the Council Conclusions (13) regarding the 2019 review of the Common Position.

Since spring 2022, the EEAS has been managing an internal database with country pages containing relevant information on potential and current destinations of European exports of 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, and continued throughout 2023 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. In 2023, the EU NPD Consortium provided three supporting research papers and organised a seminar for Member States and researchers. An exchange of views with representatives of European defence industry (ASD) was also held at COARM. The review, comprising of updates to the Common Position and User’s Guide, as well as of possibly other deliverables, including EU Council Conclusions, is expected to be concluded by the end of 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 (14) 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  (15).

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 (16). Its publication aims to foster transparency and understanding of motives and factors underlying actual or potential licencing decisions by Member States, even though the decisions itself might not be subject to external scrutiny.

Updating the User’s Guide is part of the review process of Common Position 2008/944.

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 (17). 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 in the period covered by this report was published in the Official Journal of the European Union of 28 February 2023  (18), following changes agreed at the Wassenaar Arrangement Plenary meeting on 30 November-1 December 2022  (19).

8.   Arms brokering

In accordance with Article 5 of Council Common Position 2003/468/CFSP (20), 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 Ninth Conference of States Parties (21-25 August 2023) which put an emphasis on the role of industry in responsible international transfers of conventional arms, as a priority theme of the South Korean Presidency.

The Conference decided that each CSP President, in cooperation with the ATT Secretariat, is encouraged to include industry in outreach activities, and States Parties, the ATT Secretariat and other interested parties are encouraged to engage industry and share industry-relevant information on the ATT and developments. The Conference also welcomed the UN Guiding Principles on Business and Human Rights (UNGP) and encouraged States Parties and other stakeholders to continue discussions on how the UNGP, Human Rights and international humanitarian law instruments apply in the context of the Arms Trade Treaty, as appropriate.

States Parties were also encouraged, inter alia:

States Parties adopted elements (Chapter on prohibitions) of the Voluntary Guide to implement Art. 6 and 7, and a Voluntary Guide on Art. 9 (transit and trans-shipment).

Diversion was reconfirmed as an important topic to feature prominently in the ATT discussions and exchanges of best practices and information. The Diversion Information Exchange Forum (DIEF) met for the first time and discussed concrete cases. The Conference endorsed the document entitled ‘Post-delivery cooperation: operational steps for the introduction and implementation of post-shipment control’ as an Annex to the document with Possible Measures to Prevent and Address Diversion and as living document of a voluntary nature.

The Conference again expressed its concerns about downward trend in annual reporting rate and urged States Parties that are not fully compliant with their reporting obligations to submit their reports or, in case of difficulty to do so, to make use of the available assistance mechanisms in order to achieve full compliance.

The Conference agreed on a clear plan for the following cycle to be presided over by Romania, with its declared Presidency focus on the role of inter-agency cooperation. A reviewed Programme of Work was adopted on a trial basis for one year, reducing in-person informal preparatory meetings and the sessions of Working Groups.

The EU kept high profile and visibility throughout the Conference, delivering 7 EU statements on all topics, stressing its strong support for the ATT and calling on all States to refrain from arms transfers to Russia. The EU’s significant role in the Treaty was broadly recognised. In addition, the EU co-sponsored 4 side-events, including the one promoting the ATT needs and resources matching database and the ATT Outreach Project. For the first time the EU has also partnered with civil society organisations to draw attention to arms flows to military armed forces of Myanmar, and on challenges to the effective ATT implementation (21).

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

Further to its entry into force in 2014 and with so far (22) 115 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 (23). 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 (24) (amended by Council Decision (CFSP) 2023/161 (25)), and Council Decision (CFSP) 2023/2296 (26) the Council agreed to support the Arms Trade Treaty Secretariat in its activities that focus on the implementation of the Arms Trade Treaty. 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 2024, 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 European Peace Facility (EPF), established in 2021, the EU has advanced into a new era in security and defence, enhancing the EU’s role as a security actor in the face of increasing global challenges. The Facility, which was initially created with a financial envelope of EUR 5,69 billion over the 2021–2027 period, has grown into a key instrument that has allowed the EU to better support Common Security and Defence Policy (CSDP) military missions and operations and to help our partners worldwide strengthen their military and defence capacities. It is now worth EUR 17 billion, supporting more than 20 partners. It continues to function as a global instrument with a view to preventing conflicts, preserving peace and strengthening international security and stability, and promoting international human rights law and international humanitarian law.

In 2023, in addition to financing military support to Ukraine, the Council has authorised EPF support to a number of African countries (Benin, Cameroon, Democratic Republic of the Congo, Ghana, Mauritania, Mozambique, Rwanda, Somalia), as well as some of the EU’s Eastern and Southern neighbours (Georgia, the Republic of Moldova, Jordan, Lebanon) and Western Balkan partners (Bosnia and Herzegovina, North Macedonia, Balkan Medical Task Force). Furthermore, the EPF has financed the military components of a number of African-led peace support operations: the AU Transition Mission in Somalia (ATMIS), G5 Sahel Joint Force (G5SJF), the Multi-National Joint Task Force against Boko Haram (MNJTF) and the Southern African Development Community Mission in Mozambique (SAMIM).

Overall, 21 High Representative’s (HR) proposals for assistance measures (AMs) and amending Council Decisions concerning existing AMs were adopted in 2023, including the three-track ammunition initiative to support Ukraine, approval of lethal support to Somalia and Niger (suspended), rapid delivery of Irini-seized vehicles to Ghana, and expansion of EPF AMs to the Gulf of Guinea more broadly. The Political and Security Committee (PSC) approved three actions under the AM taking the form of a general programme for support to the African Union for the period 2022-2024. Furthermore, the EPF financed for the first time an EU LIVE exercise.

Following the first top-up of EUR 2 billion adopted on 13 March 2023, the Council adopted a decision on 26 June 2023 to increase the overall financial ceiling of the EPF by EUR 3,5 billion (in 2018 prices).

The AMs and actions have been developed and implemented based on the EU Integrated Approach. This includes needs assessments, conflict sensitivity assessments, and political fragility country analysis.

BRIEF DESCRIPTIONS OF EU COMMON MILITARY LIST CATEGORIES  (27)

(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) 2023/2539 of 13 November 2023 supporting a project on the promotion of effective arms export controls (OJ L, 2023/2539, 14.11.2023, ELI: http://data.europa.eu/eli/dec/2023/2539/oj).

(9)  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).

(10)  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).

(11)  Council Decision (CFSP) 2023/161 of 23 January 2023 amending Decision (CFSP) 2021/649 on Union support for activities of the ATT Secretariat in support of the implementation of the Arms Trade Treaty (OJ L 22, 24.1.2023, p. 28).

(12)  Council Decision (CFSP) 2023/2296 of 23 October 2023 on Union support for activities of the Arms Trade Treaty Secretariat in support of the implementation of the Arms Trade Treaty (OJ L, 2023/2296, 24.10.2023, ELI: http://data.europa.eu/eli/dec/2023/2296/oj).

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

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

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

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

(17)  The current list of defence-related products was adopted by 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.

(18)   OJ C 72, 28.2.2023, p. 2.

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

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

(21)  Details are available at the ATT CSP9 webpage: https://thearmstradetreaty.org/csp-9.html.

(22)  July 2024.

(23)  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).

(24)  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).

(25)  Council Decision (CFSP) 2023/161 of 23 January 2023 amending Decision (CFSP) 2021/649 on Union support for activities of the ATT Secretariat in support of the implementation of the Arms Trade Treaty (OJ L 22, 24.1.2023, p. 28).

(26)  Council Decision (CFSP) 2023/2296 of 23 October 2023 on Union support for activities of the Arms Trade Treaty Secretariat in support of the implementation of the Arms Trade Treaty (OJ L, 2023/2296, 24.10.2023, ELI: http://data.europa.eu/eli/dec/2023/2296/oj).

(27)  The full description of the categories as adopted by the Council in 2023 (OJ C 72, 28.2.2023, p. 2) can be found on: https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A52023XG0228%2801%29&qid=1677594029492.