Research contracts / cooperation agreements
If you intend concluding a research / cooperation agreement with a partner outside the EU, you must first submit the export controls checklist for research contracts to the export control team.
Sanctions list check
Natural or legal persons listed on sanctions lists (including financial sanctions or lists of suspected terrorists) may not receive any direct or indirect funding or assets (economic resources). For FAU this means that you should first check whether prospective cooperation partners are listed on one of the current sanctions lists.
If the person is listed, you must inform the FAU export control team immediately. The contractual relationship cannot be entered into.
The following websites can be referred to for checking the sanctions list:
Index of goods number
Sanctions restricting the capital movements and payments of a state or individual persons.
You can use the list of financial sanctions to check whether an individual is on the terror/sanctions list.
A delivery or transfer of items (goods, software and technology) into a third country (see Section 2 (3) of the German Foreign Trade and Payments Act (AWG) and Article 2 (2) of the EU Dual-Use Regulation).
Arms Trade Treaty (ATT)
The German Federal Government submitted the ratification document concerning the Arms Trade Treaty (UN treaty) to the United Nations on 2 April 2014. The treaty is the first of its kind to stipulate binding rules for arms exports. The heart of the treaty is contained in articles 6 and 7. They specify the criteria for checking applications for export licenses. With the submission of the ratification document, the Federal Government declared that it would provisionally implement articles 6 and 7 of the treaty. The treaty entered into force on 25 December 2014 and from this date onwards the treaty has been implemented in full.
General Technology Note (GTN)
The General Technology Note precedes the control lists in Annex I to the EC Dual-Use Regulation and in Part I of the Application Notes to the Export List. It regulates the conditions under which technology is covered by the control lists (including the need to be “required” for development, production or use.).
Exporter is any natural or legal person or partnership who/which holds the contract with the consignee in the third country and has the power to decide on delivery or transfer of the items to a third country (see Section 2 (2) AWG, Art. 2 No. 3 EC Dual-Use Regulation).
The Export List is located in Annex 1 of the German Foreign Trade and Payments Act (AWV).
- Part 1 Section A lists military items (weapons, ammunition and armaments) and classifies these into 22 categories (No. 0001 to no. 0022). Export and/or intra-EU transfer of these items always requires authorisation.
- Part 1 Section B contains a national list with dual-use items (the customs tariff number for these items begins with 900) which must be authorised before they can be exported to certain countries.
In general, all persons who do not have their place of residence or habitual abode in Germany (Section 2 (5) in conjunction with (15) AWG). In the context of Sections 49 et seq. AWV (technical assistance), those persons are also deemed to be foreigners whose place of residence or habitual abode in Germany is restricted to 5 years (Section 51 AWV).