To book an Export Control training course:

To book an Export Control training course: http://tiny.cc/4ve5w
The Export Control Organisation, part of the Department for Business, is the UK’s regulatory licensing authority for military and civilian (dual-use) items that have a military application or use. For further information: It is a CRIMINAL offence to export items without a licence if required. The ECO works with exporters to ensure that all “strategic” items are exported responsibly. To book an Export Control training course: ECO Helpline: and Apply for licence ECO web guidance Book ECO training Notices to Exporters Continue New to Exporting? Take time to watch ECO’s Responsible Exports film? It will provides an overview of the issues (Total time: 8 minutes 22 seconds) Read all Notes Disclaimer: This is a high level overview of export licensing. For further details of other aspects of export licensing, go to the ECO webpages on the Businesslink site at:

Why might a licence be required?
BE AWARE! Why might a licence be required? Are you aware of your export control status? How do you determine if a licence might be required? Dual-Use Controlled Goods Military Controlled Goods Other controlled goods on the Control Lists Goods listed on Sanctions Lists Need help understanding if your goods are listed on a Control List? My export is NOT listed on a Control List – What next? What licence can I use? Is an Open General Licence (OGL) applicable? Your responsibilities as an OGL holder What licence options are available if an OGL is not suitable? What are Standard Individual Export Licences (SIELs)? How do I apply for a SIEL? SIEL Application Checklist What happens to my submitted licence application? Your responsibilities as a SIEL holder What licences are available for those making a series of exports? Your responsibilities as an Open Individual Export Licence (OIEL) holder What are Transhipment Licences? What are Trade Control Licences? Licence not granted – Appeals Apply for licence ECO web guidance Book ECO training Notices to Exporters Read all Notes

Are you intending to: export or trade in goods or items that were originally designed or specially modified for military use? *Read Note 1b export or trade in goods or items that were designed for civilian use but could be used for military purposes (ie dual-use) *Read Note 1a export or trade in military or dual-use goods or items via ‘intangible transfer’? * Read Note 3 and Note 19 Note 1b – Military Items Note 1a – Dual-Use Items Note 2 – Other export controls If you answer yes to any of these questions then you need to be aware of your export licensing responsibilities. Note 3 – Intangible Transfers No Note 19 – UK universities and export control Yes Not sure

However you should also be aware of: End-Use Controls and sanctions
An export licence issued by the Export Control Organisation is required for certain specified items or activities as listed in the UK Strategic Export Control Lists. If your export definitely does not fall into the categories of licensable goods then in most circumstances you do not need to seek a licence from ECO. However you should also be aware of: End-Use Controls and sanctions Export Controls on other licensable goods issued by other government departments Export Controls and academic community Note 4 – What are the Control Lists? Note 20 – Penalties of non-compliance NOTE: If you are INFORMED by ECO that End-Use Controls are applicable then you need to make a licence application Note 5 – What are End-Use Controls? Note 8 – Sanctions Lists Note 10 – Suspicious Enquiries Note 2 – Other export controls Log into SPIRE to apply for licence Note 19 – UK universities and researchers and export controls

Why might a licence be required?
Export Controls are international laws that restrict the export or trading activities in certain specified items, software or technology due to national security or non-proliferation concerns. You might need an export licence issued by the ECO because: Export is listed on the UK Strategic Export Control Lists or is subject to sanctions Even if export is not listed, End-Use Controls might still apply *Read Note 5 Note: The controls apply to all – including companies, the academic community and individuals Note 0 – Why Export Controls? Note 4 – What are the Control Lists? Download the UK Strategic Export Control Lists and identify the ‘Control List Entry or Rating’ of your items Note 5 – What are End-Use Controls? Note 19 – UK universities and export control Continue

Are you aware of your export control status?
Is your export: listed on the UK Strategic Export Control Lists under a control entry (rating) heading? Alternatively: are you aware that sanctions are in place on your intended export destination? Note 4 – What are the Control Lists? Note 8 – Sanctions Lists I know that my items ARE listed under control entry or ‘rating’ I know that my goods are NOT listed I don’t know

How do you determine if a licence might be required?
You need to know: the category of your export eg whether military or dual-use whether arms embargoes are in force on destinations Remember: The main consideration in licensing is whether items are listed on a Control List or subject to embargoes. If listed, a licence will be required depending on the types of goods (military or otherwise). Some goods will need a licence if exported outside UK – others only if exported outside European Union (EU). Note 1a – Dual-Use Items Note 1b – Military Items Note 6 – ‘Control List’ entry codes Dual Use controlled goods (listed on EU Dual Use List) (See Note 1) Military controlled goods (listed on UK Military List) Other controlled goods on the Control Lists (See Note 8) Goods listed on Sanctions Lists (See Note 9) Note 8 – Sanctions Lists

Dual-Use Controlled Goods
Licensing requirements vary depending on which section of the EU Dual-Use List the item is referenced – check if your goods are: listed on Annex I list only? if YES is the export for within or outside the European Union (EU)? listed in both Annex I and Annex IV lists? Note 1a – Dual-Use Items Listed on Annex I and exporting to EU No licence required, BUT exporter must state on export documents that goods require licence if exported outside of EU and must keep records Listed on Annex I and exporting outside EU Licence required Note 6 – ‘Control List’ entry codes Listed on Annex I and IV Licence required for export to any destination outside of UK (including within the EU) What type of Licence can I apply For? 8

Military Controlled Goods
If goods are listed on the UK Military List then: Licence required for export to ANY destination outside UK (including within the European Union) Note 1b – Military Items Note 6 – ‘Control List’ entry codes What type of Licence can I apply for?

listed on Annex I list only?
Licensing requirements vary depending on which section of the EU Dual-Use List the item is referenced – check if your goods are: listed on Annex I list only? if YES is the export for within or outside European Union (EU)? listed in both Annex I and Annex IV lists? Dual-Use Controlled Goods Note 1a – Dual-Use Items Listed on Annex I and exporting to EU No licence required, BUT exporter must state on export documents that items require licence if exported outside of EU and must keep records Map of dual-use licensing requirements Note 6 – ‘Control List’ entry codes Listed on Annex I and exporting outside EU Licence required What type of Licence can I apply For? Listed on Annex I and IV Licence required for export to any destination outside of UK (including within the EU) 10

Map of when licence is required (Dual-Use Items)
Note 1a – Dual-Use Items Note 6 – ‘Control List’ entry codes

Other controlled goods on the Control Lists
Licensing requirements vary depending on export type: Radioactive Sources UK List of Dual-Use Items (including explosives and paramilitary goods) Licence required either for destinations outside European Union and in some cases outside UK Note 7 – Items banned for export What type of licence can I apply for?

Goods listed on Sanctions Lists
Embargoes take precedence over other export control considerations. In most cases a licence is required for all military items (ie those listed on the UK Military List) or for other specific sanctioned items as indicated in sanctions orders and regulations. Note 8 – Sanctions Lists Be aware of sanctions on specific destinations. View list of Current Arms Embargoes and Other Restrictions What type of licence can I apply for? Exporting to Iran?

Keep up to date about Sanctions on Iran
Exporting to Iran? You should: Keep up to date about Sanctions on Iran Check the Iran List published by the Export Control Organisation If necessary you can make an End-User Advice Service request If you are formally INFORMED about end-use concerns, you need to apply for a licence Note 5 – What are End-Use Controls? Note 8 – Sanctions Lists Note 10 – Suspicious Enquiries Log into SPIRE to request End-User Advice

Depending on your research, you should be able to determine
Need help understanding if your goods are listed on a Control List? Read about how to determine if you need an export licence Use Control List Classification Search Tool to search previous ‘rating’ decisions made by ECO Double check Control List entries and descriptions - use Goods Checker Request advice from ECO’s Control List Classification Service Check the list of sanctioned destinations 6. Attend an ECO Training Course Depending on your research, you should be able to determine whether or not your goods are listed or subject to sanctions Note 4 – What are the Control Lists? Note 6 – ‘Control List’ entry codes Use Goods Checker to search Control Lists My goods are listed My goods are NOT listed

My export is NOT listed on a Control List – What next?
If you have made all appropriate checks and are confident that your goods are NOT listed on the UK Strategic Export Control Lists what should you do next? Consider the WMD and Military End -Use Controls Request advice from the ECO End-User Advice Service (NOTE: this is not a licence and is not a compulsory service) Keep updated on news about Sanctions and Embargoes. If you are formally INFORMED (ie formally advised by HM Government) about end-use concerns, you need to apply for a licence. Note 5 – What are End-Use Controls? Note 9 – What is WMD? Note 10 – Suspicious Enquiries End-Use Controls DO apply – You need to apply for a licence End Use Controls DO NOT apply

What licence can I use? Is an Open General Licence applicable?
The ECO issues different categories of licence depending on risk in relation to goods, destination and end-use. The most flexible type are Open General Licences (OGLs) which are pre-published by the ECO. You are recommended to check if there is a relevant OGL which permits export of your items to destination for stated use. Can you meet all the stated terms and conditions? Note 11 – What are OGLs? Note 12 – Why use OGLs? Use OGEL Checker to determine available OGLs Can meet all terms and conditions of relevant OGL Cannot meet all OGL conditions or no suitable OGL published

Your responsibilities as an OGL holder
You must: Fully read and understand the licence Meet ALL terms and conditions Register (once) on SPIRE for use of the licence (if required) Quote the unique licence number on all shipping documents and also in Box 44 on CHIEF (HM Revenue and Customs IT system) Keep records of all shipments and associated paperwork Keep updated of amendments via Notices to Exporters De-register from use of licence if no longer appropriate Note: You will be subject to regular ECO Compliance Audits Note 13 – OGEL record keeping Note 14 – What are Compliance Audits? Log into SPIRE to register to use OGELs

Standard Individual Export Licences Open Individual Export Licences
What licence options are available if an Open General Licence is not suitable? The following licences may be applicable if an Open General Licence (OGL) does not provide appropriate licence coverage for your intended export of ‘controlled’ goods or if you cannot meet all the open licence terms and conditions: Standard Individual Export Licences Open Individual Export Licences Other specialist licence types: Transhipment Licences Trade Control Licences Applications should be made via SPIRE Remember to apply for a licence in good time and build export licensing into your strategic planning processes. Read guidance on best practice in compliance Note 15 – Processing target times Note 17 – Types of licences Note 21 – Best Practice in compliance

What are Standard Individual Export Licences (SIELs)?
The main licence category issued by the ECO is a Standard Individual Export Licence (SIEL). They permit the export of : specific goods listed on the licence (multiple goods lines allowed) specific quantities and values goods to a single specified overseas end-user Note: Permanent SIELs are issued for use for up to 2 years Temporary SIELs are issued for use for under 1 year SIELs can be decremented Note 15 – Processing target times Note 17 – Types of licences Note 21 – Best Practice in compliance Continue

How do I apply for a Standard Individual Export Licence (SIEL)?
You need to apply via SPIRE Accurately complete all parts of the application form Do NOT forget to attach End-User Undertaking (completed legibly and in English by authorised official of overseas company together with covering letter) Do not assume that ECO automatically knows all the details of your export so complete your application carefully with full item and end-use details and technical specifications. If there any gaps or issues with your application you will receive a ‘Request for Information’ via SPIRE. Try to be accurate first time to avoid these delays in processing! Note 18 – What is an End User Undertaking? Note 21 – Best Practice in compliance Read website guidance on completing your application correctly View checklist of best practice advice in submitting your SIEL application

SIEL application checklist
Is a correct, legible End-User Undertaking attached? Is all technical information up to date? Have you included a full and detailed goods description and supporting specifications and technical documents? Be clear, concise and specific Include model or type number where appropriate Ensure that the goods description matches those on the Undertaking Use the same description in any export documentation submitted to HMRC Have you specified the quantities and values of your goods? Have you included comprehensive information about goods modifications – ECO needs details of original military use? Have you referenced details of previous or related licence application numbers made via SPIRE? Are your contact details up to date and correct? Have you completed all fields on the application? Have you given clear written instructions to freight forwarders or agents who complete customs declarations on your behalf? Note 18 – What is an End User Undertaking? Note 21 – Best Practice in compliance Read website guidance on completing your application correctly What happens to my submitted licence application? 22

What happens to my submitted licence application?
All applications received by the ECO are assessed on a case by case risk basis in relation to the Consolidated EU and National Arms Export Licensing Criteria. All cases are assessed with input from other government departments and pass through various stages, including: Technical (goods) assessment End-use and destination checks During processing, your main point of contact is the ECO Licensing Case Officer. Application decision timeframes vary depending on case complexity. ECO aim to process 70% of licences in 20 working days, although sensitive destinations will take longer. Note 15 – Processing target times Note 21 – Best Practice in compliance SIEL Not Granted SIEL Granted 23

Your responsibilities as a SIEL holder
Read and adhere to the terms and conditions of the final granted Standard Individual Export Licence (SIEL). Will your SIEL application be the first of a series of similar longer term exports? Note 20 – Penalties of non-compliance Note 21 – Best Practice in compliance Yes No

What licences are available for those making a series of exports?
Open Individual Export Licences (OIELs) are a concessionary licence issued for use for up to five years and give greater flexibility for your export needs. OIELs allow the export of items to multiple destinations and end-users. You can apply for an OIEL if you either have a track record in export licensing (ie make 20+ SIEL applications annually) or can make a business case for such a licence being granted. In making your application you should: Create a robust business case about why an OIEL is appropriate Apply for ‘realistic’ list of goods and destinations not a wish list (ie avoid applications for more than 20 destinations) Note 15 – Processing target times Note 17 – Types of licences Note 21 – Best Practice in compliance OIEL not Granted OIEL Granted

Licence not granted – Appeals
Export Control Organisation have the right to refuse to issue a licence if the export fails to meet the Consolidated EU and National Arms Export Licensing Criteria, the basis upon which all licence applications are assessed. Can I appeal a licence refusal? Note 15 – Processing target times SIEL Applications OIEL Applications You have the right to appeal a Standard Individual Export Licence (SIEL) licensing decision within 28 working days providing new evidence about the nature of the export. There is no right of appeal against refusal of an Open Individual Export Licence (OIEL) since this is a concessionary licence type. If refused you need to apply for SIELs. Note 16 – What are the Consolidated Criteria? Note 21 – Best Practice in compliance Download Appeals guidance from Businesslink website

Continuing to use and apply for SIELs as required
Remember you need: correct form of licence coverage if items are controlled to quote Standard Individual Export Licence (SIEL) reference numbers to HM Revenue and Customs (including in Box 44 of the declaration on CHIEF) and on shipping documentation (including if exporting within the European Union) inform ECO when the licence is exhausted by ing keep informed of licensing responsibilities and Control List changes See guidance on steps involved in applying for a licence. Note 20 – Penalties of non-compliance Note 21 – Best Practice in compliance Log into SPIRE to apply for a SIEL

Fully read and understand the licence Meet ALL terms and conditions
Your responsibilities as an Open Individual Export Licence (OIEL) holder You must: Fully read and understand the licence Meet ALL terms and conditions Quote the unique licence number on all shipping documents and also in Box 44 on CHIEF (HM Revenue and Customs IT system) Keep records of all shipments and associated paperwork Obtain full and accurate Consignee Undertakings Keep updated of amendments via Notices to Exporters Note: You will be subject to regular ECO Compliance Audits Note 14 – What are Compliance Audits? Note 18 – What is an End User Undertaking? Note 20 – Penalties of non-compliance Log into SPIRE to apply for a OIEL

What are Transhipment Licences?
A ‘transit’ or ‘transhipment’ is when goods travel through the UK en-route to another overseas destination. Transhipment controls work on an exemption and risk basis. Most controlled military and dual-use goods do not require a transhipment licence. However, depending on the risk nature of the goods and the destination country a Transhipment Licence might be required. Depending on the risk category, different licensing options are available including an Open General Transhipment Licence (OGTL) and a Standard Individual Transhipment Licence (SITL). You should apply via SPIRE. Note 15 – Processing target times Note 17 – Types of licences Note 21 – Best Practice in compliance Download Transhipment guidance from Businesslink website 29

What are Trade Control Licences?
‘Trade Controls’ concern the activities of ‘trafficking’ and ‘brokering’. In other words, if you or your business are involved in transferring controlled goods between an overseas country to another (ie where the deal is either brokered in the UK or by a UK person based overseas) then you will need a Trade Control Licence. Brokering includes a range of activities such as arranging supply from overseas factories, intra-company transfers or drop shipping. Trade Controls apply to: mlitary goods (on basis of goods risk categories – A, B or C) dual-use goods (on basis of being INFORMED by the ECO) Depending on the risk category, different licensing options including Open General Trade Control Licences (OGTCLs), Standard Individual Trade Control Licences (SITCL) or Open Individual Trade Control Licences (OITCL) You should apply for all licences via SPIRE. Note 15 – Processing target times Note 17 – Types of licences Note 21 – Best Practice in compliance Download Trade Control (military goods) guidance from Businesslink website Download Trade Control (dual-use goods) guidance from Businesslink website 30

Note 2 – Other export controls
Export Control laws are barriers to trade for very fundamental reasons, because of concerns about: Non-proliferation ie terrorists and others who want to develop nuclear, chemical or biological weapons (known collectively as Weapons of Mass Destruction or WMD National security The UK is not alone in controlling sensitive military and dual-use items – controls stem from regular international technical discussions (eg Wassenaar Arrangement, Nuclear Suppliers Group, Missile Technology Control Regime, Australia Group) and regulations are also imposed by either the United Nations or the European Union. The UK’s main strategic export control legislation is encapsulated in the Export Control Act 2002 and associated Export Control Order 2008, as amended. Other International Treaties that the UK has signed up to and which impact on the UK’s laws in this field include: Landmines Act 1998 Nuclear Non-Proliferation Treaty Biological and Chemical Weapons Convention See further guidance on export control legislation and Foreign and Commonwealth Office Annual Reports. Related Links Note 2 – Other export controls Note 9 – What is WMD? Note 4 All Notes

Note 1a Dual-Use items concern a wide range of products that could be used for either military purposes or in the design, production, manufacture or use of chemical, nuclear or biological weapons. Hence the term ‘dual-use’ which defines items that can be used in both civilian and other military or ‘strategic’ contexts. Dual-Use goods are controlled based on technical specifications The Dual-Use List covers items in 10 industry categories. Each listed item is defined by a specific ‘Control List entry Code’ Examples of some dual-use controlled products: Aluminium tubes Synthatic foam Mass Spectrometers Valves Related Links Note 2 – Other export controls Note 3 – Intangible Transfers Be mindful of potential proliferation and end-use of your items! For more information download the UK Strategic Control Lists. Why not consider attending an ECO course on classifying Dual-Use Goods? – See Note 2 All Notes

Note 1b For more information download the UK Strategic Control Lists.
The UK Military List licences ‘military, security and para-military goods, software and technology and arms, ammunition and related material’. Items are controlled if they are ‘specially designed or modified for military use’. Each item is defined by a specific ‘Control List Entry Code’: ML1 & ML2 – Rifled and smooth bore weapons & components ML3 - Ammunition and components for ML1, ML2 and ML12 ML4 - Bombs, grenades, rockets, missiles, components and accessories ML5 - Devices for fire control, components and accessories and their countermeasure equipment ML6 - Ground vehicles and components ML7 and ML8 - Explosives and chemicals ML9 - Vessels, special naval equipment, accessories and components ML10 - Aircraft, unmanned airborne vehicles, aeroengines ML11 – Guidance/Navigation equipment, electronic equipment ML12 - High velocity kinetic energy weapon systems ML13 - Armour plat, body armour, military helmets ML14 - Simulators and training equipment ML15 - Imaging equipment ML16 - Forging, castings and unfinished products ML17 - Miscellaneous goods including diving equipment, ferries, containers ML18 - Production equipment ML19 - Directed weapon systems ML21 - Software for listed goods ML22 - Technology for listed goods PL Equipment and test models PL Paramilitary goods NOTE: Most entries also include COMPONENTS Related Links Note 2 – Other export controls Note 3 – Intangible Transfers Be mindful of potential proliferation and end-use of your items! For more information download the UK Strategic Control Lists. Why not consider attending an ECO course on classifying Military Goods? – See Note 2 All Notes

Note 3 – Intangible Transfers
For other export licensing requirements eg food, cultural goods, medicines and animal products, see the guidance published on the Businesslink website about Do I need an export or import licence? Overview of other UK government departments responsible for export licensing: * Note: ECO controls some antiques (eg historic military goods), chemicals and drugs used in execution by lethal injection Related Links Export of live animals and animal products eg meat, diary goods, pet food, wool Department for Environment, Food and Rural Affairs (DEFRA) Export of objects of cultural interest eg antiques and art works Arts Council England Export of prescription drugs and medicines (including manufacturing materials) Medicines and Healthcare Products Regulatory Agency (MHRA) Export of controlled drugs Home Office Drugs Branch Export of flowers, wildlife, plants and seeds Food and Environment Research Agency (FERA) Export of chemicals and pesticides Health & Safety Executive (HSE) Export of vehicles Driver and Vehcicle Licensing Agency (DVLA) Note 1 – Dual-Use Items Note 3 – Intangible Transfers Note 3 All Notes

Note 2 – Other export controls
Export controls on controlled military and dual-use goods include not only controls on physical items, products and goods but also ‘technology’ not in the public domain that is necessary for the development, production or use of these controlled commodities. Controls on such ‘technology’ are referred to as “intangible transfers”. The definition of what this constitutes includes a ‘transfer by ANY electronic means’ including fax, , telephone, video-conferencing, text messaging or filming of documents or papers including by videophone from within the UK to a person or place abroad. For more information see the guidance on ‘Electronic transfer abroad of controlled military technology or software’ published on the Businesslink website. Related Links Note 1 – Dual-Use Items Note 2 – Other export controls Note 4 All Notes

Note 4 The Control Lists comprise several parts eg UK Military List, EU Dual-Use List. The Lists go into more detail than the UK Trade Tariff which is used for other customs purposes. The UK Strategic Export Control Lists form the detailed basis of what types of items are controlled. They form the core of the UK’s export control legislation. The lists comprise the following: UK Military List (Schedule 2 of the Export Control Order 2008) UK Dual-Use List (Schedule 3 of the Export Control Order 2008) European Union (EU) Human Rights List (Annexes II and III of EC Regulation 1236/2005) UK National Security and Paramilitary List (Article 9 of Export Control Order 2008) UK National Radioactive Sources List (Schedule referred to in Article 2 of Export of Radioactive Sources (Control) Order 2006) EU Dual-Use List (Annex I of the EU Dual-Use Regulation 428/2009) EU General Export Authorisations (Annex II of the EU Dual-Use Regulation 428/2009 and amending Council Regulation (EU) No 1232/2011) Annex IV to the EU Dual-Use Regulation 428/2009 Related Links Note 0 – Why Export Controls? Note 1 – Dual-Use Items Note 4 – What are the Control Lists? Note 5 All Notes

Note 5 The End-Use Control is the power granted in the UK’s Export Control Order 2008 to make certain products licensable even if the items are not listed on the published UK Strategic Export Control Lists. The End-Use Controls are also referred to as “catch-all” controls since they have the potential depending on the circumstances to make a wider range of goods licensable on a one-off basis. The main reason for End-Use Controls is where there might be suspicions that products might be obtained or used for Weapons of Mass Destruction purposes by proliferators (for instance specific dual-use items that are just below the Control List threshold description). End-Use controls are also applied where there are military end-use concerns. For more information see guidance on End-Use Controls published on the Businesslink website. The ECO publishes an indicative guide to the types of goods previously refused export licence on WMD end-use grounds. Related Links Note 8 – Suspicious Enquiries Note 10 – Suspicious Enquiries Note 6 All Notes

Note 4 – What are the Control Lists?
Example Control List ‘rating’ entries are ‘ML6, ‘PL8001’ and ‘2B350.g’ You need to know the Control List Entry reference before you can use an Open General Export Licence (OGEL) since all OGELs refer to specific ‘rating’ or ‘Control List entry classification categories’ in the Schedules to the licence. Related Links Note 1 – Dual-Use Items Note 4 – What are the Control Lists? Note 7 All Notes

Note 7 The export of specific goods PROHIBITED to any country is, as follows: torture goods (such as gallows, guillotines, electric chairs, airtight vaults, automatic drug injection systems and electric shock belts) portable devices – components for devices designed or modified for riot control purposes or self-protection, to administer an electric shock anti-personnel landmines and their component parts blinding laser weapons significant new nuclear supplies or materials to countries other than recognised nuclear weapons states, where there are unsafeguarded nuclear installations Man-Portable Air Defence Systems (MANPADs) to non-state end-users More information on export of MANPADs and controls on torture goods is published on the Businesslink website. Note 8 All Notes

Note 8 In some cases, an additional listing of specific controlled items is detailed in country specific sanctions regulations. For example, list of luxury goods items exported to North Korea or oil and gas list items going to Iran: Cote d’Ivoire (Ivory Coast) - Council Regulation (EC) No 174/2005, as amended (Annex I list of goods) Republic of Guinea - Council Regulation (EU) No 1284/2009 (Annex I list of goods) Iran - Council Regulation (EU) No 267/2012 (Lists of Goods: Annex I, II, III, IV and VI) and Annex III of Council Regulation (EU) No 359/2011 (List of goods used for internal repression) Democratic People’s Republic of Korea (North Korea) - Council Regulation (EC) No 329/2007, as amended (Annex III list of luxury goods items referred to in Article 4), Commission Regulation (EC) No 117/2008 (Annex I list of goods not referred to in Annex III – basically the EU Dual-Use List) and Council Regulation (EU) No 567/2010 (Annex IA list of goods ie additional list of goods and technology subject to ban on exports and imports, other than luxury goods) Myanmar/Burma - Council Regulation (EC) No 194/2008 (List of Goods – Annex I list of import restricted items, Annex II list of equipment which might be used for internal repression as referred to in Articles 4 and 7; Annex III list of goods) Syria - Council Regulation (EU) No 36/2012 (Annex I, IV, V, VI, VII) as amended by Council Regulation (EU) No 168/2012 (Annex VIII) Zimbabwe - Council Regulation (EC) No 314/2004 (Annex I list of equipment) Other countries subject to embargoes are: Armenia, Azerbaijan, Belarus, China, Democratic Republic of Congo, Eritrea, Iraq, Lebanon, Somalia, South Sudan, Sudan, West African States (ECOWAS Convention), nuclear controls on India and Pakistan For more information see guidance on Sanctions and Embargoes on the Businesslink website. (This Note was last checked and updated 10 April 2012) Related Links Note 5 – What are End-Use Controls? Note 10 – Suspicious Enquiries Note 9 All Notes

Note 9 What are Weapons of Mass Destruction (WMD)? Definition
WMD refers to a weapon that is capable of inflicting mass human casualties or huge destruction to infrastructure. The term typically denotes chemical, biological or nuclear weapons. In the context of the threat they pose, strict licensing controls are in force on such weapons worldwide. This extends to preventing the illegal export of components which can potentially be used in manufacturing, producing or distributing WMD. Your product might seem innocuous but ask yourself what it could potentially be used for! Related Links Note 5 – What are End-Use Controls? Note 10 – Suspicious Enquiries Note 10 All Notes

Note 10 If you know or suspect that your export will be used for military or Weapons of Mass Destruction * See Note 9 proliferation purposes then you have a legal obligation to contact the Export Control Organisation and apply for an export licence. There are a number of ‘red flags’ that might alert you to being suspicious: your customer is reluctant to offer information about end-use the customer asks that goods be transferred to a forwarding address in the UK unusual shipping, packaging or labelling arrangements are made customer is new to you and your knowledge of them is incomplete unusually favourable payment terms such as a higher price and/or lump-sum cash payment are offered requests for excessive spare parts or lack of interest unusual requirements for excessive confidentiality about final destinations, customers or item specifications order is unusual in any way eg quantity or performance capabilities of goods ordered Related Links Note 5 – What are End-Use Controls? Note 8 – Sanctions Lists Note 10 – Suspicious Enquiries Note 11 All Notes

Note 11 Open General Licences (OGLs) are publically available licences pre-published by the ECO. These licences are generally designed for less restricted controlled goods or for exports to less sensitive destinations. For instance, they CANNOT be used when exporting to a sanctioned destination (such as Iran) or if the items are on Annex IV * of the EU Dual-Use List. For information see: and see also Note 12 * Note: Annex IV – this is a listing of the most sensitive dual-use items eg space rocket launchers. Annex IV is one of several sections of the EU Dual-Use List (published as Council Regulation (EC) 428/2009. This list forms a part of the UK Strategic Export Control Lists. Note 12 All Notes

Note 12 If possible you should always try to check if an OGL is available for your export needs first. Using Open General Licences (OGLs) saves time and money….but you need to use them responsibly. This means that you need to read and ensure that you can comply with all the licence terms and conditions. If you do not use them responsibly, you risk having the use of an OGL revoked, which has consequences for your export costs and reputation. It is a requirement of using certain OGLs (or before applying for some other licences eg Standard Individual Export Licences for military goods) to make an F680 application *. * Note: F680s are a Ministry of Defence procedure advising on marketing of military goods. You can apply for F680s via SPIRE. Read more advice about MOD F680 applications. Note 13 All Notes

Note 13 The purpose of keeping records of all your controlled export activities is essential in demonstrating that you are using either Open General Licences (OGLs) or Open Individual Export Licences (OIELs) responsibly. Your records should show a logical and traceable audit trail and should include: name and address of end-user or consignee a description of the items exported export dates export licence used any other information required eg Ministry of Defence (MOD) F680s The record types that you should keep for OGEL purposes include shipping logs and commercial invoices. For more information on Compliance requirements, download our guidance on “Compliance Visits Explained” published on the ECO webpages at Compliance and Enforcement of export controls. Note 14 All Notes

Note 14 Compliance audits for ECO open licensing purposes are different from separate HM Revenue and Customs (HMRC) customs compliance audits conducted for other purposes. ECO audits are a key component of making sure that export controls are effective and therefore companies should prepare for them with appropriate care and attention. ECO can take a range of active steps if a company fails to demonstrate a sufficient level of compliance at an ECO Compliance Audit. This includes: issuing a warning letter with details of action to take to improve procedures and policies suspending use of a licence referring a specific case to colleagues in HMRC who may decide to issue a compound penalty or to prosecute You can find out more about what to expect at an ECO Compliance Audit by watching the Open Licence Audits Explained Film. Note 15 All Notes

ECO Reports and Stats website
Note 15 Be aware of licence application targets and timescales – licences to sanctioned countries might take longer before a final licensing decision. ECO’s current export licensing targets are to: process 70% of Standard Individual Export Licences (SIEL) and Standard Individual Trade Control Licences (SITCL) in 20 working days process 95% of SIEL and SITCL applications in 60 working days (There is no defined target for Open Individual Export Licences due to the wide variation in goods and destination coverage). You can reduce the chances of a delay in processing your application by ensuring you follow the ECO’s advice on Common pitfalls to avoid in export licence applications. * Note: If you need to query progress of an application, your first point of contact should be the ECO licensing officer responsible for your case. See a list of case officer contact details. A case officer is usually assigned in 3-4 days after submitting your application after basic background checks. Please remember not to chase applications within the 20 working day target. ECO Reports and Stats website Note 16 All Notes

Note 16 Each export licence application is assessed on a case by case basis in relation to a set of 8 published criteria. These are the “Consolidated EU and National Arms Export Licensing Criteria”. Could the export: Contravene the UK’s international commitments? Be used for internal repression? Provoke or prolong armed conflicts or aggravate existing tensions in the destination country? Be used aggressively against another country? Adversely affect the national security of the UK or allies? Be diverted or re-exported under undesirable conditions? Seriously undermine the economy? Seriously hamper the sustainable development of the recipient country? If an application is judged to contravene any of these criteria then a licence is NOT issued. Note 17 All Notes

Note 17 A summary of all the licence types issued by the Export Control Organisation Open General Licences (OGL) Over 50 pre-published licences permitting exports of specified controlled goods to listed destinations You need to meet all licence terms and conditions to use Register to use via SPIRE OGL holders are subject to ECO Compliance Audits OGLs include the European Union General Export Authorisations (EU GEAs), Open General Trade Control Licences (OGTCL) and Open General Transhipment Licences (OGTL) Standard Individual Export Licence (SIEL) Single destination, one end-user, multiple goods lines, default validity is 2 years. Temporary SIELs are also issued valid for up to 1 year Open Individual Export Licence (OIEL). Concessionary licence type for exporters who have either made a business case or have applied for 20 SIELs in past year Multiple destinations and goods lines, valid for up to 5 years. Global Project Licence (GPL) Specialist licence for export of military goods/technologies to Framework Agreement partner states (ie France, Germany, Italy, Spain and Sweden) Standard Individual Trade Control Licence (SITCL) Open Individual Trade Control Licence (OITCL) Standard Individual Transhipment Licence (SITL) The 3 licences listed above are the equivalent of either SIELs or OIELs for trade control or transhipment purposes See more details about types of licences on the Businesslink website and apply via SPIRE Note 18 All Notes

Note 18 An Undertaking is required when applying for either a Standard Individual Export Licence (SIEL) or an Open Individual Export Licence (OIEL) . It is required as supporting documentation for End-Use Control purposes. The undertaking should be completed by the overseas company (either an end-user or consignee* depending on the end-use of the items). It is the UK exporters responsibility to ensure that: copy of correct undertaking is attached to licence application all sections of the undertaking are completed legibly and in English. is signed and dated by authorised person (and that this same person completes a Covering Letter on overseas company’s official headed paper). original document is retained in UK company records. Read guidance and download templates from End-User and Consignee Undertakings for SIELs and OIELs. * Explanation of terminology: A Consignee is the initial recipient of the items outside the UK (and who may not be the customer or bill payer). The consignee may also be the end-user but it is not the freight forwarder. An End-User is the entity that uses the items or processes them in some way. If a Consignee incorporates the items into a product or a higher level system they are normally regarded as the End-User since the goods lose their identity when incorporated. However, if the goods are not incorporated but re-exported as received to another entity then they are regarded as the Consignee only. See also Glossary page. Note 19 All Notes

Note 19 Export controls apply to the academic community in the same way as to any other person or organisation involved in activities subject to the controls. However, export controls are not intended to restrict or vet publication of scientific papers or research but to prevent misuse. Exemptions are in place for academic activities which relate to public domain information or basic scientific research. Initial checklist of questions for academics to ask: You are working in an academic discipline that could be targeted by would-be proliferators? Is the technology or software in the public domain? Note: If yes, then only check is in relation to WMD end-use controls in Article 4 of the Regulation and articles 6, 7 and 8 of the 2008 Order; these controls only apply to physical or electronic transfer from the UK to an overseas destination. Does the technology or software fall under a definition given in one of the UK Strategic Export Control Lists? Could the technology or software be used for “WMD purposes”? Are you aware that the recipient of the technology or software intends to use it for “WMD purposes”? Do you have suspicions? Note: The controls in article 6 on export and electronic transfer to a destination outside the European Union are triggered by “grounds for suspecting”. Do you know if the recipient intends to use or send the information outside the EU? For more information read the guidance about export control legislation for UK academics and researchers. Related Links Note 5 – What are End-Use Controls? Note 9 – What is WMD? Note 10 – Suspicious Enquiries Note 20 All Notes

Note 20 The consequences of non-compliance are serious. Breaching export controls is a criminal offence and can cost your company in terms of money and reputation. Her Majesty’s Revenue and Customs (HMRC) are the UK enforcement agency. Court cases are prosecuted by the Crown Prosecution Service (CPS). Penalties vary depending on the type of offence and can range from issuing a warning letter (by ECO) revoking use of a licence (by ECO) seizing items (HMRC) issuing a compound penalty fine (HMRC) The most serious offences can result in a prison sentence of up to 10 years. Read details of export control prosecutions. Note 21 All Notes

ECO Reports and Stats website
Note 21 Ensuring your company successfully complies with export controls is not rocket science. It comes down to good planning and administrative procedures. Effective export control compliance involves the following best practice elements: Commitment to compliance – policy statement Identifying responsible personnel Clear training and information procedures Develop internal company compliance procedures Awareness of suspicious enquiries or orders Maintain clear audit trial and records Establish programme of regular internal self-audit Integrate procedures with quality management practices For more information on compliance requirements, download our guidance on “Compliance Visits Explained” published on the ECO webpages at Compliance and Enforcement of export controls. ECO Reports and Stats website Try to avoid applying for licences at last minute – build export licensing into your business planning processes as early as possible in product lifecycle – Use the ECO stats website to determine speed of processing by destination Note 22 All Notes

Glossary Consignee – initial recipient of items outside UK (ie entity or person to whom exporter is first delivering items – may or may not be customer or bill payer). May also be End-User but it is NOT the freight forwarder. Consignee Undertaking – required in accordance with Open Individual Export Licence (OIEL) conditions Dual-Use Items – Items that can be used for both civilian and military purposes (including software and technology) End-Use – the final use of exported items End-User – entity that uses or processes goods in some way which could be a consignee or another third party. If a consignee incorporates the items into a product then they are normally regarded as the end-user. If they only re-export items as received without further processing then they are regarded as a consignee. End-User Undertaking – or EUU – required in accordance with Standard Individual Export Licence (SIEL) conditions Open General Licence – or OGL – pre-published export licences which are designed to provide licensing coverage for less restricted controlled items and less restricted destinations. Exporters must register before use and adher to all terms and conditions of use Proliferation – term used in reference to unwelcome spread of nuclear, chemical or biological weapons or missiles Strategic – relating to security, defence or proliferation interests as compared to items subject to controls administered by other Government Departments eg cultural goods or animals or horticultural products All Notes

All Notes Note 0 – Why Export Controls? Note 1a – Dual-Use Items
Note 1b – Military Items Note 2 – Other export controls Note 3 – Intangible Transfers Note 4 – What are the Control Lists? Note 5 – What are End-Use Controls? Note 6 – ‘Control List’ entry codes Note 7 – Items banned for export Note 8 – Sanctions Lists Note 9 – What are Weapons of Mass Destruction Note 10 – Suspicious Enquiries Note 11 – What are Open General Licences (OGLs)? Note 12 – Why use OGLs? Note 13 – OGL record keeping Note 14 – What are compliance audits? Note 15 – Processing target times Note 16 – What are the Consolidated Criteria? Note 17 – Types of Licences Note 18 – What is an End-User Undertaking? Note 19 – UK universities and researchers and export control Note 20 – Penalties of non-compliance Note 21 – Best Practice in compliance Glossary of Terms

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