GERMANY Law and Practice Contributed by: Bettina Mertgen, Felix Siebler, Michael Herold and Sebastian Faust, GvW Graf von Westphalen
use items are listed in Annex I to the EU Dual-Use Regulation. The lists are regularly updated to reflect changes agreed within the major international export control regimes, including the Wassenaar Arrangement, the Missile Technology Control Regime, and those of the Australia Group and the Nuclear Suppliers Group. Germany also applies catch-all controls, under which non-listed items may become subject to licensing requirements depending on their end use, end user or destination. 3.3 Licence Requirements Depending on the item, destination, end user and end use, exports may require an individual licence (includ - ing a maximum value licence), a global licence or the use of a general authorisation. A general authorisa - tion is always applicable if the respective conditions are met. An application is not necessary. Individual licences remain the most common form of authorisa - tion for sensitive military and dual-use exports that have to be applied for, whereas the global licence is rather rare due to its significant conditions that have to be fulfilled. Licensing requirements may also apply to brokering services, technical assistance, transit activities and transfers of controlled technology, including intangible technology transfers. 3.4 Licence Application Process Applications for export licences are generally submit - ted electronically to the Federal Office for Economic Affairs and Export Control, which is responsible for reviewing and deciding applications. The information required depends on the transaction but typically includes details of the goods, their classification, the end user, the destination country and the intended end use. Supporting documentation commonly includes technical product descriptions and end-user certifi - cates. Processing times vary considerably depending on the sensitivity of the goods, the destination and any inter - agency consultations required. Straightforward dual- use applications may be processed relatively quickly,
whereas applications involving military equipment or sensitive destinations can take significantly longer. For general authorisations, a formal application is not necessary. The authorisation is generally granted if the conditions are met. 3.5 Criteria for Granting or Refusing Licences The Federal Office for Economic Affairs and Export Control assesses licence applications on a case-by- case basis, taking into account Germany’s foreign policy, security and international commitments. Par - ticular attention is paid to the end user, end use and destination country. For military items, authorities consider factors such as regional stability, conflict risks and human rights con - cerns. For dual-use items, the assessment focuses on the risk of military diversion, proliferation activi - ties or prohibited end uses. Applications may also be affected by applicable sanctions or arms embargoes. For a global licence, the applicant usually has to establish a compliance system to be monitored by the Federal Office for Economic Affairs and Export Control. 3.6 End-User Controls and Post-Shipment Verification Exporters are often required to obtain end-user cer - tificates or comparable end-use assurances as part of the licensing process. Sample declarations are available from the Federal Office for Economic Affairs and Export Control. There are personal end-user cer - tificates available, to be completed by the recipient, and international import certificates, completed by the state of the recipient. The level of documentation required depends on the goods, destination and risk profile of the transaction. German authorities expect exporters to conduct appropriate due diligence regarding end users and intended end uses. While German authorities can participate in end-use verification measures and inter - national monitoring arrangements, such as post-ship - ment controls, this is not expected from the exporters. The exporters remain responsible for identifying red
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