Allgemeine Genehmigungen des BAFA - EN

13 Aug 2024
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Allgemeine Genehmigungen des BAFA - EN

Updated on 13 Aug 2024
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General authorizations of the BAFA

In addition to the General Licenses of the Union, there are other General Licenses issued by BAFA in Germany.

Below you will find updates such as extensions or adjustments to the BAFA General Licenses, as well as other information and a list of existing General Licenses.

Information on the General Licenses of the BAFA (Dual-Use)

Extension of the General Licenses No. 12, No. 13, No. 14, No. 16, No. 17, No. 32, No. 37, No. 38, No. 39, No. 40, No. 41

With the announcement of March 26, 2024, the General Licenses No. 12, No. 13, No. 14, No. 16, No. 17, No. 32, No. 37, No. 38, No. 39, No. 40, No. 41 are re-announced with effect from April 1, 2024. These general permits are therefore valid until March 31, 2025.

In addition, Section 20a KrWaffKontrG will be added to the exclusions of the aforementioned general licenses.

Beyond this, the only changes to the content of the dual-use goods are to General License No. 39.

Amendment to General License No. 39

With the announcement of March 26, 2024, the exclusion clause in Section II, number 3.2, according to which the use of the general license is excluded if there is knowledge of a use for nuclear or military purposes or for purposes of carrier technology (including missile construction), is deleted.

In Section II, Number 4, the goods listed in the section "MTCR technology goods" of Annex IV, Part I of the EU Regulation are excluded from the scope of the General License.

Information on the General Licenses of the BAFA (Armament)

Extension of the General Licenses No. 18, No. 19, No. 20, No. 21, No. 22, No. 23, No. 24, No. 25, No. 26, No. 27, No. 28, No. 32, No. 33, No. 34, No. 35

With the announcement of March 26, 2024, the General Licenses No. 18, No. 19, No. 20, No. 21, No. 22, No. 23, No. 24, No. 25, No. 26, No. 27, No. 28, No. 32, No. 33, No. 34, No. 35 are re-announced with effect from April 1, 2024. These general permits are therefore valid until March 31, 2025.

In addition, Section 20a KrWaffKontrG will be added to the exclusions of the aforementioned general licenses.

In addition, there are changes to the content of the following general licenses in the area of military equipment:

General amendment to General Licenses No. 18, No. 19, No. 21, No. 22, No. 23, No. 25, No. 26, No. 27, No. 33, No. 35

In the case of General Licenses No. 18, No. 19, No. 21, No. 22, No. 23, No. 25, No. 26, No. 27, No. 33, No. 35, the note is added that re-exports from another country to a destination approved in accordance with Section II, No. 5 are permitted, provided that the requirements in accordance with No. 4 of the respective General License are met and there is no reason for exclusion in accordance with No. 3 of the respective General License. In these cases, no prior approval from BAFA is required.

Otherwise, a re-export in accordance with the submitted end-use certificate requires the prior approval of BAFA.

There is a restriction in the case of General License No. 23, where the re-export notice only applies if the requirements set out in section 4.1d of this General License are met.

General amendment to General Licenses No. 19, No. 21, No. 22, No. 26, No. 27, No. 33, No. 35

With the announcement of March 26, 2024, it is clarified in Section II, No. 3.2 and 3.3 of General Licenses No. 19, No. 21, No. 22, No. 26, No. 27, No. 33, No. 35 that the exclusion applies in the case of an individual, maximum amount or collective license for the identical export or shipment project only if the period of validity of this license has not yet expired.

In addition, in accordance with Section II, number 6.2, notifications of exports or shipments are waived if an individual, maximum or collective authorization was issued for these exports or shipments, the period of validity has expired and the originally authorized value of the goods has not yet been fully utilized. In these cases, however, the exporter or transferor must submit a detailed product notification at the request of the BAFA and provide information on exports or transfers carried out to the extent of the usual notifications (Section 23 AWG).

Further amendment to General License No. 19

With the announcement of March 26, 2024, Section II, number 5, the range of permitted destinations for exports of goods under number 0006a of Part I, Section A of the Export List (AL to the AWV) will also be expanded to include government agencies in Ukraine with the exception of areas of Ukrainian regions not controlled by the Government of Ukraine (e.g. Donetsk, Luhansk, Zaporizhzhya, Kherson, Crimea and Sevastopol).

Further amendments to General License No. 21

With the announcement of March 26, 2024, Section II, Number 5.1 will also extend the range of permitted destinations for goods in sub-numbers 0007f and 0007g of Part I, Section A of the Export List (Annex AL to the AWV) as well as the software mentioned in Section II, Number 4.2 and the technology mentioned in Section II, Number 4. 3 to all countries with the exception of arms embargo countries within the meaning of Section 71 (1) AWV as well as Afghanistan, Egypt, Ethiopia, Armenia, Azerbaijan, Burkina Faso, China (including the Hong Kong Special Administrative Region), Ivory Coast, Eritrea, Yemen, Liberia, Mali, Morocco, Mozambique, Niger, Rwanda, Saudi Arabia, Sierra Leone, Thailand, Turkey, Uzbekistan and the United Arab Emirates.

In addition, in Section II, number 5.2, the range of authorized destinations for goods under number 0013 of Part I, Section A of the Export List (Annex AL to the AWV) and the technology listed in Section II, number 4. 4 is also extended to all countries with the exception of embargoed countries within the meaning of Section 71 (1) AWV as well as Afghanistan, Egypt, Ethiopia, Armenia, Azerbaijan, Burkina Faso, China (including the Hong Kong Special Administrative Region), Côte d'Ivoire, Eritrea, Yemen, Liberia, Mali, Morocco, Mozambique, Niger, Rwanda, Saudi Arabia, Sierra Leone, Thailand, Turkey, Uzbekistan and the United Arab Emirates. However, this extension only applies to recipients who are members of the armed forces.

Further amendment to General License No. 23

With the announcement of March 26, 2024, the title of the General License will also be extended to reshipments.

Further amendments to General License No. 24

With the announcement of March 26, 2024, a new case group number 4.1e will also be included in Section II, according to which the export of goods exported for the purpose of presentation (exhibitions and demonstrations) to the "International Defence Exhibition & Conference (IDEX)" and "NAVDEX" trade fairs in the United Arab Emirates and "LAAD Defence & Security" in Brazil and re-imported into the country within 24 months will be favored. However, in accordance with Section II, 4.4, case group 4.1e does not apply to the export of goods listed in numbers 0001, 0002, 0003a, 0021b, 0022, with the exception of utilization technology, of Part I, Section A of the Export List (Annex AL to the AWV). Consequently, for this case group 4.1e only, the circle of beneficiary destinations in Section II number 5 is extended to include the above-mentioned trade fairs in the United Arab Emirates and Brazil.

In addition, the proof of receipt in the country of final destination is replaced by proof of the time of export or shipment in Section II, point 6.2.

Further amendments to General License No. 25

With the announcement of March 26, 2024, case group number 4.8 in Section II will also be expanded to include goods that are exported or transferred to the Bundeswehr on behalf of a wholly-owned subsidiary of the Federal Government whose sole recipient is the Bundeswehr.

A new case group number 4.14 e is introduced in Section II. This favors the temporary entrainment in connection with the provision of technical assistance within the meaning of Section 2 (16) AWG for goods for the export or transfer of which a BAFA license has been issued, provided that the export or transfer license was issued to the user of this general license or to a company in the same group of companies or the export or transfer of the main item was carried out under the lawful use of a general license. The technical assistance must not lead to a qualitative improvement (upgrade) of the main item in the sense of an increase in performance. This case group is primarily used for the temporary transportation of tools, measuring instruments and similar items. This case group is primarily intended for the temporary transportation of tools, measuring instruments and similar goods to be used in connection with the technical support.

In addition, a new case group 4.21 is introduced in Section II, according to which the export or transfer of goods that are exported or transferred on behalf of or in connection with a mission of the German Armed Forces and directly serve to fulfill the mission is eligible.

In Section II, Number 5.3, Sierra Leona is deleted from the list of beneficiary destinations.

In Section II, number 6.2, a six-monthly reporting obligation is introduced for case group number 4.19.

Notification of General License No. 36 (marine equipment to certain government end-users)

General License No. 36 favors the export and transfer of goods listed under numbers or sub-numbers 0009, with the exception of surface and underwater vessels, 0011a, 0016, 0017 of Part I Section A of the Export List (Annex AL to the AWV). Excluded are goods named in the War Weapons List (Annex to the KrWaffKontrG).

The use of General License No. 36 is excluded, inter alia, if the exporter or transferor has been informed by BAFA that the goods in question are or may be intended, in whole or in part, for use in connection with the development, manufacture, maintenance or installation in nuclear weapons-capable surface and submarine vessels or other nuclear weapons-capable naval projects, or if the transferor or exporter is aware that the goods are intended for these uses.

Transfers and exports to consignees and end-users in the following destinations are favored:

to the naval forces and the national coast guard

of the Member States of the European Union,

certain NATO Member States: Albania, Belgium, Bulgaria, Canada, Croatia, the Czech Republic, Denmark, Estonia, Finland, France, Greece, Hungary, Iceland, Italy, Latvia, Lithuania, Luxembourg, Montenegro, the Netherlands, North Macedonia, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, the United Kingdom and the United States of America

Argentina, Australia, Brazil, Brunei, Chile, Ecuador, India, Indonesia, Japan, Malaysia, Mexico, New Zealand, Oman, Peru, the Republic of Korea, Singapore, South Africa and Uruguay,

within the territory of all countries, except:

embargoed countries within the meaning of Section 74 (1) AWV and

except Afghanistan, Egypt, Armenia, Azerbaijan, Burkina Faso, China (including the Hong Kong Special Administrative Region), Côte d'Ivoire, Eritrea, Gabon, Yemen, Liberia, Mali, Morocco, Mozambique, Niger, Rwanda, Saudi Arabia, Sierra Leone, Turkey, Uzbekistan and the United Arab Emirates,

and

to other consignees from the countries listed in point 5.1, if the exporter or transferor is positively aware that this consignee or another directly intermediate consignee or a company affiliated with these consignees, which is established in a beneficiary destination in accordance with Section II point 5. 1, the goods received on behalf of the naval forces or the national coast guard of one of the beneficiary destinations referred to in Section II, point 5.1, in processed or unprocessed condition to the naval forces or the national coast guard of the aforementioned countries within the territory of all countries except:

embargoed countries within the meaning of Section 74 (1) AWV and

is handed over.

Exports and shipments made on the basis of General License No. 36 must be reported by the exporter or shipper to BAFA every six months using the ELAN-K2 export system. In addition, for final shipments or exports, the user must include a "Declaration of final destination" from the consignee or end user in accordance with Annex A 1 of the Notice on end-use documents pursuant to Section 21 (6) of the Foreign Trade and Payments Ordinance (AWV) for the goods covered by Part I Section A of the Export List in his business records and submit these to BAFA on request.

General License No. 36 comes into force on April 1, 2024 and is valid until March 31, 2025.

Information on the AGGs of the BAFA (Other)

Extension of General Licenses No. 30 and No. 31

With the announcement of March 26, 2024, General Licenses No. 30 and No. 31 will be re-announced with effect from April 1, 2024. These general permits are therefore valid until March 31, 2025.

In addition, Section 20a KrWaffKontrG will be added to the exclusions of the aforementioned general licenses.

New announcement of General License No. 42 for the provision of business software and services to non-sensitive recipients in accordance with Art. 5n para. 10 letters c) and h) of Regulation (EU) No. 833/2014

General Approval No. 42, which was published on February 20, 2024, will be re-published with effect from July 18, 2024 due to the 14th Sanctions Package of June 24, 2024.

Changes to the content:

With regard to the use referred to in Art. 5n (10) (h) of Regulation (EU) No. 833/2014, the General Approval shall apply from October 1, 2024. General Approval No. 42 shall now apply until December 31, 2025. There are no other changes to the content. The registrations and notifications made on the basis of the previous version of General Permit No. 42 continue to apply.

General information:

According to Art. 5n (1), (2), (2a) and (2b) of Regulation (EU) No. 833/2014, it is generally prohibited to directly or indirectly provide services in the areas specified therein to the Government of Russia or to legal persons, entities or bodies established in Russia.

In addition, the direct and indirect sale, supply, transfer, export or provision of software is generally prohibited in accordance with Annex XXXIX of Regulation (EU) No. 833/2014.

In addition, the provision of direct or indirect technical assistance, brokering services or other services in connection with the goods and services referred to in paragraphs 1, 2, 2a and 2b is also prohibited in accordance with Art. 5n para. 3a letter a) of Regulation (EU) No. 833/2014.

By way of derogation from this, the sale, supply, transfer, export or provision of the services referred to therein may be authorized in accordance with Art. 5n para. 10 of Regulation (EU) No. 833/2014.

There is currently no need to monitor the provision of these services for the purposes specified in Art. 5n (10) (c) and (h) of Regulation (EU) No. 833/2014 by means of individual authorization procedures without exception. The legal transactions and services described there can therefore be approved by way of a general authorization.

This includes the sale, delivery, transfer or export of goods listed in Annex XXXIX of the Russia Embargo Regulation as well as the provision of the services described in Art. 5n para. 1 to 3a of the Russia Embargo Regulation, provided that these are

is necessary for the activities of diplomatic and consular missions of the Union and the Member States or of partner countries in Russia, including delegations, embassies and missions, or of international organizations in Russia enjoying immunity under international law, or

where the transactions and services are necessary for the exclusive use of legal persons, entities or bodies established in Russia that are owned or controlled solely or jointly by a legal person, entity or body incorporated or registered under the law of a Member State, a country that is a member of the European Economic Area, Switzerland or a partner country listed in Annex VIII to the Russia Embargo Regulation.

This General License can only be used by nationals within the meaning of Section 2 (15) of the Foreign Trade and Payments Act and by German nationals who are resident outside the customs territory of the European Union and fall within the scope of this Regulation in accordance with Article 13 (c) of the Russia Embargo Regulation. German nationals who make use of the general authorization may use foreign companies for this purpose.

A general permit is a general ruling within the meaning of §35 S. 2 VwVfG. The use of this general authorization does not have to be applied for individually. Rather, the general authorization can be used directly if the requirements described there are met. However, users of this General Permit must register as a user before using it for the first time or within 30 days thereafter. The registration can be created electronically using the ELAN-K2 export system or sent by e-mail to allgemeine.genehmigungen.211@bafa.bund.de. It is sufficient to state that you intend to use or have used the General License from a certain point in time.

The actions or legal transactions carried out on the basis of this General Authorization must be reported by the user of this General Authorization by e-mail to allgemeine.genehmigungen.211@bafa.bund.de as follows

In the cases of points 3.1a) to 3.1c) of this General License, the notification must include the details of the service provider and the service recipient, whereby it is sufficient to report the first service provision in each case. Subsequent services provided to the same service recipient do not have to be reported even if they are different services.

In the cases of numbers 3.1d) to 3.1f) of the General Approval, the notification must include details of the service provider, the service recipient and the company that owns or controls the service recipient. It is sufficient to report the first provision of services. Subsequent supplies to the same recipient do not have to be reported even if they are different supplies.

The notifications must be submitted before or at the latest 30 days after the start of the service provision.