End-use documents: New requirements and templates

As part of its efforts to improve the efficiency of export controls, the Federal Office for Economic Affairs and Export Control (Bundesamt für Wirtschaft und Ausfuhrkontrolle – “BAFA”) has made relevant changes to the requirements for end-use documents and published new templates. The orders published in the Federal Gazette (Bundesanzeiger) on 9 December 2024 (BAnz AT 9 December 2024 B5 and B6) came into force on 10 December 2024.

Formal requirements for end-use certificates

BAFA has brought its formal requirements in line with technological developments by lifting the previous requirement of a handwritten signature in combination with a company stamp. As of now, BAFA also accepts an advanced electronic signature in accordance with Art. 26 of the eIDAS Regulation (EU) No. 910/2014 as an alternative to a handwritten signature.

If the signatory uses an advanced electronic signature, a company stamp is no longer required. The company stamp is also obsolete in the case of a handwritten signature, provided that the signatory and the signatory’s affiliation to a specific entity are clearly identifiable (e.g. through the letter header). It is however still not possible to insert a scanned signature.

A further improvement for companies is that the end-user can now provide the applicant with a digital copy of the end-use certificate, which the applicant must then forward to BAFA as part of their application for an export authorization. However, the five-year record keeping obligation remains in place and now applies to the digital document.

No BAFA re-export reservation for re-exports to approved countries

BAFA’s re-export reservation (requirement of prior BAFA approval for re-exports of exported items to third countries) provided for on the end-use certificate templates has now partially been eased. According toBAFA, re-exports from a third country to a country approved in a General Export Authorization (Allgemeine Genehmigung – “AGG”) no longer require BAFA’s approval, provided that the requirements of the respective AGG are met and no exemption applies.

New end-use certificate templates

Alongside the publication of the new notices, BAFA has published new, additional end-use certificate templates on its website.

The new templates C6 and C7 are to be used in future when applying for authorizations for the export of items subject to export control restrictions to Russia:

·        Template C6 must be used if export-restricted items listed in the relevant annexes to the Russia Embargo Regulation (EU) No. 833/2014 are to be exported to Russia.

 ·        When applying for an exemption for the export of dual-use items (Annex I of the Dual-Use Regulation (EU) 2021/821; Part I Section B of the Export List (Ausfuhrliste)) to Russia, template C7 must be used instead of template C1, which is otherwise used when applying for export authorizations regarding dual-use items.

The “EUC for the export to Russia of items related to Annex II of Reg. (EU) No. 833/2014” was the only available template for exports to Russia until now, but it was not exactly suitable for exports of items listed in the annexes of the consolidated Russia Embargo Regulation (EU) No. 833/2014, which are only permitted in exceptional cases. It is therefore no longer available on BAFA’s website.

The new templates C6 and C7 contain a declaration from the end-user under Section G that the items will be used exclusively for civilian purposes. Furthermore, the end-user declares that the items will neither be forwarded to the occupied Ukrainian territories nor used in connection with LNG projects or the trade or transportation of crude oil and petroleum products in third countries without prior BAFA approval.

Practical guidance

With regard to pending authorization applications, it is not necessary to submit a new end-use certificate. Even if an export authorization application has not been submitted yet, but the customer has already been asked to provide an end-use certificate according to the previous templates, it should suffice to use this end-use certificate. For all future exports to Russia, the new templates C6 and C7 must be used.

There are no separate templates for exports of dual-use items or export-restricted items listed in the relevant annexes to the Belarus Embargo Regulation (EC) No. 765/2006. BAFA recommends using Annexes C6 and C7 for exports to Belarus, too.

It is also advisable to obtain an end-use certificate on the basis of template C6 for exports of non-listed items to Russia or Belarus.

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