Intangible transfer of technology related to dual-use items
Last update
The intangible transfer of technology related to dual-use items is subject to a prior authorisation.
Any application for authorisation shall be submitted to OCEIT using an available application form (French, Pdf, 510 Kb). The application will be processed within 60 working days from the day the file is complete. The individual authorisation is valid for 1 year, the global authorisation is valid for 3 years, renewable.
Who is concerned?
Any operator who proceeds with an intangible transfer of technology related to dual-use items, including where such a transfer contributes or is likely to contribute to proliferation.
This includes:
- transmission, digitally or orally, of documents irrespective of the medium;
- management or remote maintenance of computer networks;
- monitoring of magisterial courses or training in any form whatsoever;
- study or scientific research activities; and
- transmission of knowledge, practical, technical or scientific knowledge and information in any form whatsoever.
Exemption: no authorisation shall be required where the intangible transfer of technology involves knowledge in the public domain, basic scientific research or the minimum necessary knowledge for patent applications.
Prerequisites
Preliminary steps
In order to be able to submit the application electronically, the operator must first make an express request (on free paper or by email) to OCEIT and get their approval.
Deadlines
The authorisation must be requested and be granted before the time at which intervenes the first act formalizes the entry into relation between the provider and the beneficiary of the know-how, the knowledge or the information transmitted.
Costs
Neither the application for authorisation (French, Pdf, 510 Kb) nor the issuance of the intangible transfer of technology authorisation by OCEIT shall give rise to the levying of any taxes or fees.
How to proceed
Submission of the application
The operator shall submit his/her application for an individual or global authorisation to OCEIT using the application form (French, Pdf, 510 Kb).
The application is made by mail or electronically (if the operator has previously obtained OCEIT’s approval).
The application (or the declaration) shall be signed by a person authorised to commit the applicant. By this signature, the applicant certifies the accuracy of the information provided in the application and that of the content of any documents attached to it. He/she undertakes as well to provide the goods concerned with a destination in accordance with his/her application.
Supporting documents
The supporting documents to be attached to the application for an individual or global authorisation are the following:
- detailed explanatory letter of the operation;
- end-use certificate (Pdf, 487 Kb) (or, after OCEIT’s approval, an exporter commitment (French, Pdf, 504 Kb));
- invoice / pro forma invoice;
- sales agreement;
- description of the means implemented or to be implemented in order to guarantee the security of information, at the level of the provider of knowledge and at the level of the relation between the provider and the beneficiary of the knowledge;
- detailed presentation of the intended transfer, of its content and all concerned actors;
- document related to the identification of risks associated to the transfer;
- detailed presentation of organisational, human and technical measures implemented to face risks;
- recent extract from RCS (less than 3 months).
Deadlines for reply
Any application for an individual or global authorisation shall be acknowledged by OCEIT.
In case of an incomplete application, the applicant shall be informed of the need to provide additional documents and any consequences for the period for processing the application.
The application for authorisation shall be processed within 60 working days of the day on which the file is complete.
This 60 day period may be extended for a maximum of 30 working days. The extension and its duration shall be duly reasoned and notified by OCEIT before the expiry of the initial period.
In the absence of a reply within the period provided for, the application for authorisation shall be considered as granted.
Duration of validity
Authorisations shall be valid:
- 1 year for individual authorisations, renewable for a period of 6 months;
- 3 years for global authorisations, renewable for a period of 18 months.
Authorisations shall be valid throughout the European Union.
Obligations
The operator shall transmit to OCEIT, at the latest 10 working days after the expiry date, the obsolete authorisation which is in his/her possession.
The operator shall report to OCEIT the loss of any authorisation document.
The operator must comply with the special conditions contained in the authorisation.
The operator shall keep detailed and complete registers of operations carried out pursuant to the authorisation. These registers shall contain the commercial documents, such as invoices, manifests, transport documents or other shipping documents, showing the following information:
- the description of the items and their references in the lists of Annex I and Annex IV of Regulation (EC) 2021/821;
- the quantity and value of the items;
- the period during which the items have been covered by the intangible transfer of technology;
- the name and address of the exporter and the consignee;
- the end-use and end-user of the items.
The operator shall keep the registers for a period of 10 years from the end of the calendar year in which the transaction took place. He/she shall present them to the ministers at their request during that period.
The operator shall provide, without delay, at the first request of the ministers or OCEIT, the elements and documents necessary to verify the conformity of the operation carried out or foreseen.
Litigation
In the event the authorisation is denied, a legal action may be lodged, by an Avocat à la Cour, against the administrative decision within the period of 3 months from the date of the notification of the administrative decision to the concerned person.
Sanctions
A prohibition (limited to 6 months or definite) or another restriction to carry out one or more activities, and/or the suspension for a maximum period of 6 months from the use of a general European Union or national authorisation, or a global authorisation, and/or a penalty payment (which cannot be higher than EUR 1,250 per day, but cannot exceed EUR 25,000) may be pronounced against anyone who:
- refuses to provide the documents or other information requested of them by the ministers or OCEIT;
- provides the ministers or OCEIT with documents or other information that is found to be incomplete or false;
- impedes the exercise of the powers of the ministers or OCEIT;
- does not follow the orders of the ministers or OCEIT.
May be punished by an imprisonment of 5 to 10 years and/or a fine of an amount of EUR 25,000 to EUR 1,000,000, anyone who is operating an intangible transfer of technology related to dual-use items without having been granted the required authorisation or without respecting the prohibition applicable to the operation.
May be punished by an imprisonment of 6 months to 5 years and/or a fine of EUR 7,500 to EUR 75,000, anyone who:
- fails to keep the registers or does not keep them during the period of 10 years (starting with the end of the calendar ear during which the operation took place);
- fails to present the registers at the first request of the ministers;
- omits, repeatedly or significantly, to fill in one or more of the mandatory information in the registers;
- provides, in the context of an application for authorisation, information that is false or incomplete;
- does not fulfil the commitments made in the declarations of use and applications for authorisation submitted to the ministers;
- fails to provide information within the time limits and in the manner set out.
Review of the file
The ministers may, at any time, withdraw, suspend for a period not exceeding 90 days or restrict the use of the authorisations they have issued.
Such a review may happen in exceptional circumstances justifying urgent measures, for reasons of protection of the essential security interests of the State, for reasons of public order or national or eternal security, such as transport safety, storage safety, the risk of diversion, the prevention of crime, or for non-compliance with the conditions specified in the authorisation.
Online services and forms
Who to contact
General Directorate for the Promotion of Foreign Trade and Investments (Office for Export, Import and Transit Controls - formerly the Licensing Office)
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Ministry of the Economy Office for Export, Import and Transit Control (OCEIT)
- Address:
- Bâtiment "Mansfeld", 9, rue du Palais de Justice L-1841 Luxembourg Luxembourg
Related procedures and links
Procedures
Links
Legal references
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Règlement (UE) 2021/821 du Parlement européen et du Conseil du 20 mai 2021
instituant un régime de l’Union de contrôle des exportations, du courtage, de l’assistance technique, du transit et des transferts en ce qui concerne les biens à double usage (refonte)
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Règlement délégué (UE) 2022/1 de la Commission du 20 octobre 2021
modifiant le règlement (UE) 2021/821 du Parlement européen et du Conseil en ce qui concerne la liste des biens à double usage
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Loi modifiée du 27 juin 2018
relative au contrôle des exportations
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Règlement grand-ducal modifié du 14 décembre 2018 relatif au contrôle des exportations
Les modifications de ce règlement sont consultables sur Legilux en cliquant sur le symbole "modifié par" dans la page de publication du règlement grand-ducal du 14 décembre 2018
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Avis officiel
conformément à l'article 38, alinéa 2, de la loi modifiée du 27 juin 2018 relative au contrôle des exportations
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