Export control refers to state measures that regulate the cross-border transfer of goods, software and technology – with the aim of preventing security-relevant goods from falling into the wrong hands.
Not every export is subject to authorisation. The control is directed in particular against the export of goods that, in addition to a civilian use, could also have a military purpose – so-called dual-use goods.
Preventing the proliferation of weapons of mass destruction (NBC weapons) and conventional military goods in crisis regions.
Implementation of sanctions and embargoes against certain countries, organisations or persons (e.g. UN, EU, USA).
Protecting companies from unwitting violations and criminal consequences under the AWG and AWV.
Creating a uniform European legal framework for companies in international trade.
Dual-use goods are goods, software and technologies that can be used for both civilian and military purposes. Classic examples:
| Legal basis / list | Level | Content |
|---|---|---|
| EU Reg. 2021/821 | EU | Dual-Use Regulation incl. Annex I (European dual-use goods list). |
| AWG & AWV | Germany | Foreign Trade and Payments Act & Foreign Trade and Payments Ordinance: national legal framework. |
| Export List (AL) | Germany | Annex to the AWV. Part I, Section A: Military goods. Part I, Section B: National dual-use goods. |
| Common Military List | EU | Common military goods list of the European Union. |
| UN sanctions | International | Embargo measures of the United Nations. |
A complete export control check comprises four independent areas of review, all of which must be taken into account:
Who? – Is the recipient or end-user listed on a sanctions list? → Check against EU sanctions lists, the US SDN list, etc.
Where to? – Are there embargoes or restrictions against the country of destination? → Check against EU embargo regulations and country lists.
What? – Is the good covered in a goods list and subject to authorisation? → Several goods lists must be checked (see note below).
What for? – Is there a concerning end-use that triggers a catch-all check? → Check under Art. 4 of the EU Dual-Use Regulation and national catch-all clauses.
An export licence is required if at least one of the following applies:
Usable for certain goods and countries without an individual application (e.g. EU001 within the EU).
Individual application to BAFA for a specific recipient and a particular good.
For companies with regular exports of the same goods to several recipients.
The good is not controlled by listing – no licence required (provided no catch-all applies).
The Federal Office for Economic Affairs and Export Control (BAFA) is the central licensing authority for export control in Germany. It grants export licences, carries out controls and advises companies.
