Surveillance document
The surveillance document by § 36 of the Foreign Trade Regulation (AWV) in connection with the import list is an instrument of the European Union to the flow of goods in certain categories to capture and monitor quantitatively.
If an importer wants to import goods that are subject to surveillance documents, he (only the importer himself is entitled to apply) must submit an application for the issuance of a surveillance document to the Federal Office of Economics and Export Control (BAFA) or the Federal Office for Agriculture and Nutrition (BLE) provide. If the application requirements are met, this will be granted. The surveillance document must be presented upon import and the imported quantity is written off on the back of the surveillance document until the quantity noted on the ÜD is exhausted. It is therefore entirely possible for the importer to apply for a surveillance document for several deliveries within the period of validity of the ÜD instead of a single one for each import.
In contrast to the granting of import permits, the issuing of surveillance documents is not tied to quantity restrictions or import quotas . The surveillance document serves purely statistical purposes and is intended to give the EU the opportunity to obtain an overview of critical flows of goods prior to import so that it can react accordingly in the event of disruptions to the economic structure. In this respect, the surveillance document is a kind of preliminary stage to import authorization.
Monitoring documents are issued for quantities of goods in customary units (e.g. T-shirts in pieces, socks and shoes in pairs). The maximum CIF price that the goods may cost is also noted on the surveillance document . So it is not an anti-dumping measure, but a maximum price that must not be exceeded . The sense of this regulation is controversial among experts and is generally considered to be nonexistent. Nevertheless, the CIF price may normally only be exceeded by a maximum of 5% upon import. If the excess is higher, the importer must apply for a new one with a higher CIF price, returning the old surveillance document. These requests are usually met unbureaucratically. The CIF price regulation was incorporated into European law at the instigation of the southern European member states when the surveillance document was introduced.
Monitoring documents are used for the importation of textiles, iron and steel and shoes.
Failure to present a surveillance document during import clearance is an administrative offense according to Section 81 (2) No. 17 AWV i. V. m. Section 19 (3) No. 1 Foreign Trade Act (AWG) and can be punished with a fine of up to 30,000 euros in accordance with Section 19 (6) AWG .
