Export Control
Information on Sanctions and Export Control Measures in Selected Countries
Restrictive measures against third countries have been used more frequently than ever since the end of the Cold War. Restrictive measures, or “sanctions,” remain an important component of the international community’s foreign and security policy toolkit. The European Union, for example, employs them as part of aholistic and comprehensive political approachthat also includes political dialogue, accompanying efforts, and the use of other available means.
In addition to the European Union, the sanctions and export control laws of the United States of America (U.S.), which often have extraterritorial effects, are also significant for companies that do business with the U.S. or have U.S.-origin products in their supply chain. The People’s Republic of China is now positioning itself as a new player in global politics with its own export control law and planned sanctions lists.
On this page, we provide an overview of the sanctions regimes relevant to the SPECTARIS industries, our position papers, and studies and publications on the topic of sanctions.
SPECTARIS recognizes the increasing complexity of international sanctions and export control legislation. Against this backdrop, we have established working groups on customs and export control. These serve not only as platforms for information exchange, but also as active networks where members, experts, and industry insiders share and discuss current developments, interpretations, and experiences related to the various sanctions regimes.
However, it goes beyond the mere exchange of information. In these working groups, participants benefit from a close-knit network of industry peers. Here, practical solutions to industry-specific challenges are developed collaboratively, and solution-oriented discussions take place. In addition , there is the opportunity to formulate statements and recommendations as a collective entity to represent the industry’s interests to policymakers.
Our doors are open to all companies affected by the ever-changing sanctions and export controls, as well as to experts who wish to share their knowledge. Our goal is to provide clear direction and guidance for our industry in an ever-changing geopolitical environment. Become an active part of this network and help make our industry future-proof.
If you have any specific questions, please feel free to contact us.
BAFA - Processing Times for Export Licenses
As a result of geopolitical developments, such as Russia’s war of aggression against Ukraine, companies in the high-tech sectors represented by SPECTARIS faced significant challenges in obtaining BAFA export licenses. Although certain sectors, such as medical technology, were protected by exemptions for medical and humanitarian purposes, the general uncertainty led to considerable unease among economic actors.
But it wasn't just exports to Russia and Ukraine that were affected. Companies seeking to export to various countries, including China, faced extremely long wait times for export licenses. These delays had a significant impact on business models, supply chains, and, ultimately, competitiveness in the global market.
In response to this development, SPECTARIS has drafted a position paper summarizing our members’ concerns and proposals regarding export procedures. To highlight the urgency of the situation and the industry’s specific concerns regarding export delays to China, SPECTARIS has also sent a letter to Federal Minister of Economic Affairs Habeck.
SPECTARIS’s initiative underscores our commitment to actively representing our members’ interests and seeking solutions that facilitate trade. While the announcement by the Federal Ministry for Economic Affairs and Climate Action regarding improved administrative processes at BAFA is a positive step, accelerating and simplifying export licensing across all states remains a key priority for SPECTARIS. Our goal is to effectively support and promote our members in this constantly changing export landscape.
Particularly encouraging was the announcement by the Federal Ministry for Economic Affairs and Climate Action (BMWK) regarding the upcoming measures to be taken by the Federal Office for Economic Affairs and Export Control (BAFA). These measures are intended to strengthen and significantly accelerate administrative processes in the area of export control. SPECTARIS has long been a strong advocate for simplifying and accelerating these processes, as evidenced by our roundtable discussions. This reflects our ongoing commitment to effectively representing and promoting the interests and needs of our members across all the high-tech industries we represent.
Link to the BAFA Special Newsletter - General Authorizations
A summary of the key points:
General Preliminary Remarks:
General licenses are special types of export licenses that do not require an application but have the same legal effect as all other export licenses.
They offer the advantage of immediate availability and planning certainty.
Please review any permit applications that have already been submitted to determine whether they are now covered by the general permits.
Developments in the field of defense equipment:
The validity period of all general permits has been extended through March 31, 2024.
Existing general authorizations have been revised, and two new ones have been announced:
General Authorization No. 33: For the export and transfer of other defense equipment to EU countries, certain NATO and NATO-equivalent countries, and the Republic of Korea.
General Authorization No. 34: For the export and transfer of software for goods that have already been authorized to EU countries, certain NATO and NATO-equivalent countries, as well as the Republic of Korea, Singapore, Chile, and Uruguay.
Additional amendments and additions to General Permits Nos. 18, 24, 25, 26, and 28.
Changes in the area of dual-use goods:
All general authorizations remain valid through March 31, 2024. Existing general authorizations have been revised, and three new ones have been announced:
General Authorization No. 37: For the export of dual-use goods to certain countries, such as Argentina, Chile, Mexico, the Republic of Korea, Singapore, and Uruguay.
General Authorization No. 38: For software for certain electronic components.
General Authorization No. 39: For the movement within the EU of goods listed in Annex IV, Part I.
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Processing Times and Fees at the BAFA: Inquiry by the CDU/CSU Parliamentary Group
In a minor interpellation (20/5135), the CDU/CSU parliamentary group raised the issue of the extended processing times for export applications at the Federal Office for Economic Affairs and Export Control (BAFA). The office’s new responsibilities in the context of the war in Ukraine are cited as the reason. The parliamentary group would like to know from the federal government why these processing times have increased and what measures are planned to improve the situation.
Furthermore, the inquiry also addresses the issue of the introduction of fees under the Foreign Trade Act. Specifically, the members of parliament would like to know whether, in light of the deteriorating economic situation for export-oriented companies caused by Russia’s war of aggression against Ukraine, an extension of the fee moratorium is being considered. It is emphasized that, from the perspective of those posing the question, such an extension appears to be urgently needed.
You can read the answer here.
China Publishes Its First White Paper on Export Controls
On December 29, 2021, the Information Office of the State Council of the People’s Republic of China (the Information Office) released China’s firstWhite Paper on Export Controls(unofficial English translation), which provides a comprehensive overview of China’s current legal and regulatory framework for export controls and potential future changes to export control policy. On the same day, the Ministry of Commerce of the People’s Republic of China (MOFCOM) also issued astatementproviding further information about the white paper.
The White Paper also summarizes China's fundamental position on the objectives of export controls, explains the Chinese authorities' goal of better coordinating the various export control laws, and discusses several strategies for modernizing China's export control system.
China Passes "Anti-Sanctions Law" Against Foreign Interference
China has fast-tracked the passage of a new law aimed at countering foreign sanctions, in response to efforts by the U.S. and Europe to pressure Beijing on human rights, trade, and technology.
On June 10, 2021, the Standing Committee of the National People's Congress of China passed the so-called Anti-Sanctions Law (ASL). The law was passed after only two readings—instead of the usual three—and without an opportunity for public comment. It took effect immediately.
You can access the Chinese text of the law here on the website of the National People's Congress of the People's Republic of China. SPECTARIS has an unofficial English translation, which we would be happy to provide upon request.
What is unusual is that the bill has been in the works for months under the utmost secrecy. State media did not announce the existence of a draft until Monday, June 7, 2021, stating that the bill would be submitted to the Standing Committee of the National People’s Congress the following week for a second reading and final adoption. High-ranking lawmakers had reviewed the bill for the first time in April. However, that reading was not publicly announced at the time.
Overall, the law grants Chinese authorities the authority to nullify the extraterritorial application of foreign laws and sanctions and to take retaliatory measures as appropriate. Among other things, the law requires the Chinese government to take countermeasures against foreign individuals and organizations believed to be pressuring China with “discriminatory restrictions.” These countermeasures include the denial and revocation of visas or deportation; the seizure and freezing of assets within China; the blocking of transactions and cooperation with Chinese individuals and organizations; and “other necessary measures,” which are not specified. Furthermore, under the law, Chinese companies and individuals may file lawsuits in Chinese courts to seek compensation for damages caused by foreign sanctions.
At this stage, it is unclear how the law will interact with similar existing regulations, such as the MOFCOM measures from January 2021. It is also unclear how China will apply its new anti-sanctions law and, if it does, to what extent.
However, the law could result in companies having to choose sides if China begins to enforce the anti-sanctions law. This could affect, for example, foreign companies that refuse to cooperate with Huawei or other companies on U.S. sanctions lists.
China Passes Export Control Law and Establishes a Unified Export Control Regime
On October 17, 2020, the Standing Committee of the National People’s Congress of the People’s Republic of China approved the adoption of the Chinese Export Control Law. It will take effect on December 1, 2020. Thenew Export Control Law is China’s first comprehensive and unified export control law. It will regulate the export of Chinese dual-use goods, military goods, and nuclear goods, as well as—as a new provision—the export of other goods, technologies, services, and goods for their maintenance that affect China’s national security or national interests. In addition, the Chinese Export Control Law introduces various provisions that resemble certain aspects of the U.S. export control regime. The provisions of the Export Control Law are also intended to apply to acts committed outside of China, suggesting that the law has extraterritorial effect.
Previously, on August 28, 2020, the Chinese Ministry of Commerce (MOFCOM) and the Ministry of Science and Technology (MOST) had already imposed new export restrictions on 23 Chinese goods and revised the “Catalog of Goods and Technologies Subject to Export Prohibition and Restriction” for the first time since 2008. In September, the Chinese authorities activated the legal framework for the “List of Unreliable Entities,” which had been announced back in 2019.
Further information: SPECTARIS Guide to Changes in Chinese Export Controls (as of October 23, 2020)English translations of the Chinese export control regulations
European Union Sanctions
So-called targeted sanctions are intended to ensure that no funds or economic resources are made available to listed individuals, organizations, or entities.
Companies should ensure that business partners and other parties involved (including, among others, suppliers and banks) are vetted at the time of acquisition. This applies not only to international transactions but also to domestic ones.
European Council Overview Page on Sanctions
European External Action Service
Federal and State Justice Portal
Customs
Information Sheets from the Federal Office of Economics and Export Control
BAFA Fact Sheet - Export Controls and the BAFA (as of 2020)BAFA Fact Sheet on Foreign Trade with the Russian Federation (as of 2019)BAFA Fact Sheet on Developments Regarding the Iran Embargo (as of 2017)
BAFA Fact Sheet - Foreign Trade with “Embargo Countries”BAFA Fact Sheet - Country-Neutral Embargo Measures to Combat Terrorism (as of 2009)
EU Restrictive Measures Against Russia
- COUNCIL DECISION 2014/512/CFSP of July 31, 2014, on restrictive measures in response to Russia’s actions destabilizing the situation in Ukraine
- COUNCIL DECISION 2014/386/CFSP of June 23, 2014, on restrictive measures in response to the unlawful incorporation of Crimea and Sevastopol through annexation
- European Council website on sanctions against Russia
- European Union Newsroom on Restrictive Measures Against Russia
Russian counter-sanctions
On June 4, 2018, Russian President Vladimir Putin signed Law No. 441399-7, which had previously been passed by the State Duma in its third reading on May 22, 2018. The law allows for the imposition of sanctions against companies, organizations, and citizens from countries that behave in an “unfriendly” manner toward Russia. This refers in particular to the United States.
However, due to the vague wording of the law, there is a risk that other countries could also be designated as “unfriendly states.”
Under the law, for example, companies may be excluded from privatization or government contracts, or restrictions may be imposed on the import and export of goods or on the issuance of visas. Exceptions are made for the import of essential goods and goods for personal use. Who exactly is subject to sanctions is at the discretion of the government and/or the president. The implementation of sanctions is mandatory for state bodies, local governments, citizens of the Russian Federation, and legal entities subject to the jurisdiction of the Russian Federation. The law entered into force on the day of its publication (June 4, 2018). No decision has yet been made on Bill No. 464757-7, which would make compliance with foreign sanctions in Russia a criminal offense.
On May 25, 2018, SPECTARIS published a background paper on draft bill 464757-7 and forwarded it to the relevant country desks at the Federal Foreign Office and the Federal Ministry for Economic Affairs and Energy, as well as to the German-Russian Chamber of Foreign Trade.
SPECTARIS Background Paper: Russia’s Countermeasures to Sanctions Imposed by Foreign States
U.S. Sanctions Legislation
In August 2017, U.S. President Donald Trump signed a law to implement and expand sanctions, known as the “Countering America’s Adversaries Act” (CAATSA). The law
The U.S. has tightened sanctions against Iran, Russia, and North Korea. Attached is SPECTARIS’s statement on CAATSA. This legislation is of extraordinary importance to many SPECTARIS member companies, as Russia in particular is a key export market and the law also applies to German companies that conduct business with designated individuals or their family members.
Several discussions are currently taking place on this topic—for example, the issue was presented in detail at the SPECTARIS Customs and Export Control Working Group. In addition, a roundtable discussion was held at the Federal Foreign Office, at which SPECTARIS was represented. The discussion is part of a series of events related to CAATSA. In November 2017, an event was held at the German Committee on Eastern European Economic Relations, attended by three representatives from the U.S. Department of State, where SPECTARIS was also able to present its position. Both discussions made it clear that CAATSA will have a massive impact on the German export industry, particularly with regard to business dealings with Russia or Russian companies. Unfortunately, German government representatives see no chance of overturning the legislation itself. It is evident that a change in these regulations is not feasible and that the U.S. will continue its policy of tightening sanctions. However, we are strongly advocating for a simplification of the sanctions and clear guidelines regarding their scope of application, and we will continue to raise these points with the authorities. Regardless, we will continue to highlight in our discussions our fundamentally critical assessment of the “secondary sanctions,” which are controversial under international law.
SPECTARIS has discussed several points on this topic, focusing on how best to address the challenges and support members in this regard. At this point, we believe it makes sense to address the issue through European partner associations in Brussels. As soon as the new federal government is formed, we will also contact the new officials in the relevant ministries (Foreign Office, Federal Ministry for Economic Affairs and Energy) directly. In the meantime, we will present our position to our contacts in the relevant ministry departments and engage in dialogue. In addition to actively advocating for our members’ interests in Berlin and Brussels, information on new developments and issues related to U.S. sanctions legislation will be posted on the SPECTARIS website starting around mid-December. SPECTARIS will also draw on the expertise of external consultants to further analyze and evaluate the issue on behalf of our member companies. We will keep you regularly informed of further developments!
For an initial overview, please refer to the attached statement.
Your Contact Person
SPECTARIS Statement on CAATSA
EU Sanctions Map
What Our Members Say
SPECTARIS acts as a strong association that vigorously represents the interests of its members in the political, business, and social spheres.
“SPECTARIS acts as a strong association that vigorously represents its members’ interests in the political, business, and social spheres. As members, we have the opportunity to actively raise our concerns and help shape the agenda to ensure that our voice is heard in relevant political and social discussions. In addition, through SPECTARIS, we have access to a broad network of companies, experts, and decision-makers from the high-tech industry. This allows us to forge valuable contacts and leverage synergies. Through this exchange, we and other members can benefit from each other’s experiences and expertise.”
Frank-Martin Rammelt, Managing Director of seleon GmbH
Together, we are strong.
Together we are strong—That is why we value the strong network and the open and excellent collaboration within the association, which allows us, as one of the leading manufacturers, to work together on solutions to the modern challenges in the contact lens industry, to collaborate on joint campaigns, and to capitalize on identified trends.
Johannes Zupfer, General Manager for Germany, Austria, and Switzerland, CooperVision GmbH
Advancing Photonics
Photonics is one of the most innovative key industries and places high demands on the organizations that represent its interests. SPECTARIS meets these demands in a compelling manner. As a strong industry association, SPECTARIS effectively represents the interests of its members in the political, business, and social spheres, while also promoting exchange and networking within the industry. We thank SPECTARIS for this commitment and greatly value our trusting collaboration.
Dr. Ralf Kuschnereit, JENOPTIK AG
OBE relies on high-quality products “Made in Germany.”
OBE relies on high-quality products “Made in Germany.” Thanks to innovation and automation, spring hinges and security screws can be manufactured in large quantities at the Ispringen facility. This goes hand in hand with increased productivity and a division of labor for simple products at our facility in China. In this way, we secure jobs in Germany.
Peter Specht / Erik Schäfer - Managing Directors, OBE
Community makes us strong!
For us as medium-sized companies, the SPECTARIS association serves as a bridge between the government and our interests—our collective strength makes us stronger! We appreciate the very helpful continuing education program in the field of medical technology and benefit from the organization of a wide variety of delegation trips. Our membership in SPECTARIS also ensures that we receive regular updates on new regulatory requirements.
Maik Greiser, Managing Partner / CEO, ATMOS MedizinTechnik GmbH & Co. KG
The association offers services that are perfectly tailored to our needs.
Our industry association, SPECTARIS, is a strong advocate for the interests of medium-sized, owner-managed companies like ours. It is just as important to us that the association provides a platform for open dialogue among member companies and offers services—such as industry reports and events focused on specific topics—that are perfectly tailored to our needs.
Managing Partners of Jüke Systemtechnik GmbH, Martin Hovestadt (left) and Heinrich Jürgens (right)
A Voice for Medical Technology
For us as a medical technology manufacturer, SPECTARIS serves as an important voice in our dealings with policymakers. Especially in light of the current MDR, it is immensely important to have a strong and effective association to represent our interests. We are very satisfied with our collaboration and feel well represented.
Regina Kirchner-Gottschalk, Managing Director of KaWe – KIRCHNER & WILHELM GmbH + Co. KG
Innovation drives us forward
Demands are growing, markets are changing—but innovation opens up new paths for us. With digital progress, bold ideas, and modern processes, we are shaping the standards of tomorrow. As a SPECTARIS member, we leverage the strength of the network to actively shape the future in this dynamic environment.
Fabian Bohnen, COO / Stephan Börner, CEO, Ofa Bamberg GmbH
What we particularly appreciate about SPECTARIS is its technical expertise.
As a medium-sized medical technology company, Richard Wolf benefits greatly from SPECTARIS’s extensive network. We particularly value their technical expertise.
Management of Richard Wolf GmbH: Mr. Pfab, Mr. Steinbeck
It's worth getting involved!
In times of rapid and far-reaching changes in the medtech industry and a challenging regulatory environment, SPECTARIS is an important partner for our company and plays an indispensable role as an advocate for our interests in Berlin and Brussels. It’s worth getting involved!
Bert Sutter, Managing Director, Sutter Medizintechnik GmbH
We want to be a trusted partner for our laboratory customers, both today and in the future.
SPECTARIS’s in-depth information on industry and technology trends, as well as the regulatory landscape, is just as important to us as its advocacy work in Berlin and Brussels. The dedicated SPECTARIS team is always a great point of contact for us.
Dr. Christoph Schöler, Managing Partner, BRAND GMBH + CO KG, VACUUBRAND GMBH + CO KG
A voice for the industry
In a diverse and specialized industry such as analytical technology—which is highly technical and subject to numerous regulatory requirements—small specialists compete with large technology conglomerates. SPECTARIS succeeds in uniting the interests of all its members and serves as the industry’s collective voice and advocate.
Albrecht Sieper, Managing Director of Elementar Analysensysteme GmbH
SPECTARIS is the ideal platform.
SPECTARIS provides us with the ideal platform for constructive dialogue with member companies and serves as a reliable voice for the laboratory industry in the realms of politics and science.
Dr. Gunther Wobser, Managing Partner of LAUDA DR. R. WOBSER GMBH & CO. KG
SPECTARIS fosters collaboration in our industry.
“The very informative discussions at SPECTARIS in Berlin and here at our office convinced me of SPECTARIS’s commitment and the quality of its work. In particular, the opportunity to combine topics from analytical, biotechnology, and laboratory technology with the field of medical technology is very interesting for Sigma,” I wrote upon joining in 2011. This has been confirmed, and today we are actively involved in several working groups.
Dr. Michael Sander, Managing Director of Sigma Laborzentrifugen GmbH
National advocacy group puts the spotlight on the industry
Laser Components benefits from the industry association in a variety of ways. As a company, we value the broad exchange of information within the working groups—whether in human resources, marketing, or export control, customs, and foreign trade practices. For our industry, Spectaris also serves as a political voice—the Photonics Trade Association not only maintains constant communication with the BMWi and BMBF ministries but also provides information on European initiatives.
Patrick Paul, Managing Director of LASER COMPONENTS GmbH
A Voice for Innovative Small and Medium-Sized Businesses
In the century of the photon, we need an advocacy group that is both strong and responsive. For us, as providers and consultants for the most innovative products on the global photonics market, this institution is particularly important. We know our interests (e.g., in the area of foreign trade) are in good hands, and we can focus on what matters most: satisfying our customers.
Andreas Börner, Managing Director of Laser 2000 GmbH
Our membership in the SPECTARIS industry association is of great value to us.
It not only gives us access to a strong network of leading companies across various high-tech industries, but also provides an important platform for professional exchange and continuing education. In addition, we benefit from the association’s strong advocacy with policymakers, the business community, and society at large, which plays a crucial role in creating a sustainable framework for the future. Through our membership in SPECTARIS, we can contribute our expertise, address current developments at an early stage, and jointly drive innovation and sustainable growth.
Frank Billhardt, Laser Protection Division EMEA, LASERVISION GmbH & Co. KG
