Goods List Verification
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Goods list check
The restrictions of the Foreign Trade and Payments Act (AWR) apply to defence equipment and dual-use goods in Germany. Controlled military equipment and dual-use goods are listed in the annexes to the applicable regulations.
As part of a dual-use test, it is checked whether a good (goods, software, technology) can be used in both the civilian and military sectors due to its specific technical product characteristics. A good is considered a dual-use good if it is included in the ‘dual-use lists’ and therefore has the dual-use characteristics specified therein.
Controlled defence goods are included in the export list.
When reference is made to lists of goods, both the dual-use lists and the export list are meant.
When is a goods list check required?
- International shipment of devices, samples, materials, etc.
- Provision of technical documents or software to international partners
- Uploading technical documents to foreign servers
- Granting access authorisation to technical documents on servers
- Transfer of goods located abroad to another EU or non-EU country
- Publication of research and development results
- Provision of technology, e.g. by providing technical specifications as part of a request for proposal or a public tender
- Import of goods from certain arms embargo countries (Democratic People's Republic of Korea, Eritrea, Iran, Libya, Syria, Russia)
How should the goods list check be documented?
For internal documentation of the goods list check, please use the documentation form set up for GSI and FAIR in Word format separately for EU Versand and Non-EU Versand. The documents contain links to the current goods lists and further explanations. To open the documents, you must first go to ‘View’ and ‘Edit document’ in the Word ribbon.
Why must a goods list check be carried out for every export?
The goods list check is mandatory in order to determine whether an export of goods and software or a technology transfer requires a licence. The export of listed and therefore controlled goods is subject to authorisation. An unauthorised export of controlled goods or any other unauthorised or prohibited act in connection with dual-use goods constitutes at least an administrative offence and may also result in liability penalties in the event of intent or gross negligence. According to the statutory provisions, responsibility lies with all parties involved in the export or technology transfer.
Who carries out the goods list inspection?
At FAIR and GSI, the goods list check can only take place in the specialised departments because only there is the necessary expertise available on the technical properties and functions of the goods to be checked. The Export Control Department carries out plausibility checks and advises on the preparation of the goods list check, particularly on legal issues.
What happens if listed goods are detected?
If a tested product, software or technology is included in lists of goods, an internal check is first carried out to determine whether a licence is required and whether one of the general licences can be used for the export process.
If no general licence is available, the export control officer applies for an individual licence in consultation with the specialist department. The granting of an individual export licence requires a lead time due to the processing times at BAFA. It is therefore recommended that you always deal with the goods list check as early as possible.
Working materials:
Dual-Use-VO:
Verordnung - 2021/821 - EN - EUR-Lex (europa.eu)
Categories of Annex I of the Dual-Use Regulation:
Kategorie 2 – Werkstoffbearbeitung (PDF, 201KB, Datei ist nicht barrierefrei)
Kategorie 3 – Allgemeine Elektronik (PDF, 185KB, Datei ist nicht barrierefrei)
Kategorie 4 – Rechner (PDF, 90KB, Datei ist nicht barrierefrei)
Kategorie 5 Teil 1 – Telekommunikation (PDF, 113KB, Datei ist nicht barrierefrei)
Kategorie 5 Teil 2 – Informationssicherheit (PDF, 111KB, Datei ist nicht barrierefrei)
Kategorie 6 – Sensoren und Laser (PDF, 230KB, Datei ist nicht barrierefrei)
Kategorie 7 – Luftfahrtelektronik und Navigation (PDF, 118KB, Datei ist nicht barrierefrei)
Kategorie 8 – Meeres- und Schiffstechnik (PDF, 92KB, Datei ist nicht barrierefrei)
Kategorie 9 – Luftfahrt, Raumfahrt und Antriebe (PDF, 151KB, Datei ist nicht barrierefrei)
Goods included in the export list:
Abschnitt B – Liste für national erfasste Dual-Use-Güter (PDF, 136KB, Datei ist nicht barrierefrei)
The ‘terms’ of the goods lists:
Begriffsbestimmungen Anhang I (PDF, 133KB, Datei ist nicht barrierefrei)
Index to the Dual-Use Regulation and Export List:
Russia embargo:
(COUNCIL REGULATION (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine)
https://eur-lex.europa.eu/eli/reg/2014/833/deu
