Once it is established that an item requires authorisation, the Federal Office for Economic Affairs and Export Control (BAFA) decides on the export. Whether an item is covered is dealt with in our article on dual-use items. This article is about the next step, namely the appropriate licence, the application and what must be observed afterwards. Planning early avoids finished goods waiting in the warehouse for the decision.
Which licence fits
- General authorisation: It has already been granted and can be used by any exporter who meets its conditions, without a separate application. Check this option first.
- Individual licence: It applies to one or more exports to a specific recipient in a third country.
- Global licence: It covers certain items for several recipients or countries and is called a global export authorisation in the Dual-Use Regulation. BAFA grants it to companies with an established internal compliance programme and regular exports.
Under Article 12 of the Dual-Use Regulation, individual and global licences are in principle valid for up to two years, unless BAFA specifies otherwise.
General authorisations of the EU and of BAFA
Annex II to the Dual-Use Regulation contains eight Union general export authorisations:
- EU001: export of most Annex I items to a small group of closely allied states, including the USA, Japan, Switzerland and the United Kingdom
- EU002: certain items to a number of further countries
- EU003: export after repair or replacement
- EU004: temporary export for fairs and exhibitions
- EU005: certain telecommunications items
- EU006: certain chemicals
- EU007: intra-group transfer of software and technology
- EU008: encryption items
In addition, there are national general authorisations issued by BAFA. For dual-use items, numbers 12, 13, 14, 16, 17, 37, 38, 41, 43 and 44 are the most relevant. If a transaction meets the conditions of a Union general export authorisation, this is usually the simpler route. It has no formal priority, however; the exporter may also apply for an individual licence. Each general authorisation has its own exclusions, for example for sensitive items, certain end uses or where the exporter is aware of a critical end use. The conditions must therefore be checked before each use.
Two changes in 2026 noticeably shift the scope of the national general authorisations. Since 1 April 2026, for the ten authorisations mentioned, a declaration of sanctions compliance must be submitted before first use in addition to registration. It is a condition of validity: anyone who fails to submit it and exports nonetheless is exporting without a licence. On the same date Kyrgyzstan was removed from authorisations 12, 13, 43 and 44, and India was added to authorisations 20 to 25 and 34. Then there is the time limit. Almost all national general authorisations expire on 31 March 2027, with the exception of number 30 for non-critical business with Iran. Number 48 for military goods to the Gulf states and Ukraine has its own term and is valid until 15 September 2027.
The application via ELAN-K2
Applications are submitted electronically via the ELAN-K2 portal. The prerequisite is that the company is registered there and has nominated an export control officer (Ausfuhrverantwortlicher) to BAFA. The application usually includes:
- details of the transaction: recipient, end user, country of destination, quantity, value and list number,
- technical description: data sheets or specifications showing the relevant parameters,
- end-use statement: a declaration by the end user stating for what purpose and where the item will be used and that it will not be passed on without consent,
- contract documents: order or order confirmation, and if necessary further evidence of the plausibility of the use.
Incomplete or contradictory information is the most common reason for queries. BAFA has published a practical guide on optimised applications for this purpose.
Processing time and preliminary enquiry
There is no fixed processing deadline. Unproblematic applications are often decided within a few weeks. For sensitive countries, items or end users, and whenever other ministries are involved, it can take several months. Therefore build the licence into your quotation and delivery date. If a larger transaction is only in prospect, you can submit a preliminary enquiry (Voranfrage). BAFA then states whether it would grant a licence under the circumstances described. A positive preliminary decision binds BAFA as long as the facts and the legal situation do not change. It does not, however, replace the licence itself.
Obligations after the licence is granted
- Observe the conditions: Quantity, value, recipient and term are binding. Deviations require an amendment or a new licence.
- Register: The use of a general authorisation must be notified via ELAN-K2, depending on the authorisation up to 30 days after the first export, and for EU007 and EU008 before it. For the national general authorisations concerned, the declaration of sanctions compliance is added.
- Report: BAFA abolished the reporting obligations for the Union general export authorisations with effect from 1 January 2024. The registration obligation continues unchanged. National general authorisations and individual decisions may still require reports.
- Keep records: Under Article 27 of the Dual-Use Regulation, commercial documents relating to exports must be kept for at least five years from the end of the calendar year.
- Customs declaration: The licence must be stated correctly in the export declaration.
Consequences of infringements
Anyone who exports without a required licence or breaches conditions commits an administrative offence or a criminal offence under the Foreign Trade and Payments Act (Außenwirtschaftsgesetz, AWG). Section 17 AWG concerns infringements of arms embargoes, section 18 the other criminal offences, section 19 the administrative offences.
The Act of 3 February 2026, in force since 6 February 2026, has made the framework considerably stricter. Under section 18(8a) AWG, reckless conduct is a criminal offence where an item-related prohibition or an authorisation requirement under a sanctions act is concerned and the offence relates to dual-use items listed in Annex I or IV to Regulation (EU) 2021/821. The penalty is imprisonment of up to three years. Under section 19(7) and (8) AWG, the corporate fine amounts to up to EUR 40 million for intentional criminal offences under section 18(1) AWG and for a related breach of supervisory duty.
Do not count on a voluntary disclosure averting proceedings. The waiver of prosecution under section 22(4) AWG applies only to negligent administrative offences under section 19(2) to (5). Negligent export without a licence falls under section 19(1) and is not covered. There is also the risk that BAFA calls the reliability of the company into question.
How to proceed
- Check general authorisations. Clarify whether a Union general export authorisation or a BAFA general authorisation applies, and register in good time. For the national authorisations concerned, remember the declaration of sanctions compliance.
- Prepare the documents. Obtain the end-use statement early and have a meaningful technical description ready.
- Allow time. Take the processing time into account in quotations and use the preliminary enquiry for larger projects.
- Monitor licences. Keep an overview of terms, quantities and conditions. Note the expiry of the national general authorisations on 31 March 2027.
- Document. Keep the application, the decision and the export evidence in an orderly manner.
For global licences, sensitive countries of destination or an infringement that has already occurred, advice on the individual case is advisable. More on our support in export control.