The brokering of dual-use items is subject to a prior ministerial authorisation.
Restrictive measures (either a prohibition, or a prior authorisation) have as well been put in place for the brokering of dual-use items from certain countries.
Any application for authorisation shall be submitted to OCEIT using an available application form. 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
1: Any broker who:
- negotiates or arranges transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or;
- sells or buys dual-use items that are located in third countries for their transfer to another third country.
This concerns the brokering of:
- dual-use items listed in Annex I of Regulation 428/2009, if the competent authorities of the Member State in which the broker is resident or established that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4 (1);
- dual-use items not listed in Annexe I, for uses referred to in Article 4 (1) of Regulation (EC) 428/2009;
- dual-use items for military end-use and destinations referred to in Article 4(2) of Regulation (EC) 428/2009;
- dual-use items not listed in Annex I of Regulation 428/2009 if the broker has grounds for suspecting that these items are or may be intended for any of the uses referred to in Article 4 (1) of Regulation (EC) 428/2009.
Exemption: The sole provision of ancillary services is not subject to any authorisation, for example:
- financial services;
- insurance or re-insurance;
- general advertisement;
If a broker is aware that the dual-use items listed in Annex I of Regulation 428/2009 for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4 (1), he must notify the competent authorities which will decide whether or not it is expedient to make such brokering services subject to authorisation.
In order to be able to submit the application electronically, the exporter must first make an express request (on free paper or by email) to OCEIT and get their approval.
Neither the application for authorisation nor the issuance of the brokering authorisation by OCEIT shall give rise to the levying of any taxes or fees.
How to proceed
Filing an application
The application is made by mail or electronically (if the broker has previously obtained OCEIT’s approval).
The application (or the declaration) shall be signed by a person authorized 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.
The supporting documents to be attached to the application for an individual or global authorisation are the following:
- detailed explanatory letter of the operation;
- invoice / proforma invoice;
- services / sales agreement;
- 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.
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 are granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified.
Authorisations shall be valid throughout the European Union.
The broker shall transmit to OCEIT, at the latest 10 working days after the expiry date, the obsolete authorisation which is in his / her possession.
The broker shall report to OCEIT any loss of an authorisation document.
The broker must comply with the special conditions contained in the authorisation.
The broker 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 or Annex IV of Regulation (EC) 428/2009;
- the quantity and value of the goods;
- the dates of export and/or the period during which the items have been covered by the brokering services;
- the name and address of the exporter, the provider and the consignee;
- the destination and the countries concerned by the brokering services;
- the end-use and end-user of the goods.
The broker 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 broker 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.
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.
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 providing brokering services 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.
Forms / Online services
Annexe 19 - Produits liés à la défense - Biens susceptibles d'être utilisés en vue d'infliger la peine capitale, la torture ou d'autres peines ou traitements cruels, inhumains ou dégradants - Biens à double usage - Courtage - Demande d'autorisation
Who to contact
General Directorate for the Promotion of Foreign Trade and Investments (Office for Export, Import and Transit Controls - formerly the Licensing Office)19-21, boulevard Royal
Postal address :
BP 113 / L-2011 Luxembourg
Phone : (+352) 22 61 62Fax : (+352) 46 61 38(+352) 22 61 62 firstname.lastname@example.org General Directorate for the Promotion of Foreign Trade and Investments (Office for Export, Import and Transit Controls - formerly the Licensing Office) Path to General Directorate for the Promotion of Foreign Trade and Investments (Office for Export, Import and Transit Controls - formerly the Licensing Office)