Frequently Asked Questions

Q. What are export controls all about?

A. The Government imposes restrictions on exports for a number of reasons including:

the collective security of the UK and its allies in NATO;
national security;
foreign policy requirements;
international treaty obligations and commitments;
non-proliferation policy;
concerns about terrorism, internal repression and other human rights violations.
If goods or technologies are subject to UK export controls, you will need an export licence to give you legal authority to export them.

Q. In simple terms, what does this really mean?

A. There is a list of items which the UK Government has concerns about getting into the wrong hands. For example, it includes arms and industrial equipment and technologies, which could be used to produce arms, of both a conventional and non-conventional nature. If an exporter wishes to sell items that are on the lists to an overseas customer, the export of those items must be approved and covered by a valid export licence.

Q. Is this just a national, ie; UK requirement or do other countries impose similar restrictions?

A. The vast majority of the export controls implemented by the UK authorities are based on international agreements and so you will find very similar requirements in most other industrialised countries. For example, the lists of controlled items are almost entirely based on lists agreed internationally by organisations that include;

Treaty on the Non-Proliferation of Nuclear Weapons (NPT) Commits the five official nuclear weapons states:- USA, UK, France, Russia & China, to not transferring nuclear weapons or technology to others or assisting, encouraging or inducing their manufacture or acquisition. Other signatories, the non-nuclear weapon states, have undertaken not to acquire nuclear weapons and to accept monitoring of their civil nuclear programmes by the International Atomic Energy Agency (IAEA). Signatories to the NPT number over 180 countries.

Biological and Toxin Weapons Convention (BTWC) This convention bans the development, production, stockpiling, acquisition and use of bacteriological (biological) and toxin weapons, also provides for the destruction of existing weapons.

Chemical Weapons Convention (CWC) Bans the possession, development, stockpiling, transfer and use of chemical weapons, also provides for the destruction of existing weapons and the means to produce.

These treaties are legally binding, various countries have informal groups working together against the threat of Weapons of Mass Destruction (WMD) programmes in certain countries.
Including the Wassenaar Arrangement membership, some 40 countries are currently involved in these activities through the Nuclear Suppliers Group (NSG), the Zangger Committee, the Australia Group (AG), and the Missile Technology Control Regime (MTCR)

Q. If the controls are mainly associated with arms and their production, does this mean that only defence companies are affected?

A. No, because the list of controlled items is mainly made up of so-called 'dual-use' goods & technology, which means items which are usually, or predominantly, used in commercial or industrial applications but which have an additional application in a defence context. A 'loose' definition may be 'capable of but not specially designed for military purposes' Care is needed here because the link to a military application may be quite remote or tenuous and you might be surprised about what is actually on the list.

Q. Can you provide some examples of these dual-use items?

A. It is difficult to provide an exhaustive or representative statement because the list of dual-use controlled goods runs to many pages and arguably touches upon just about every area of technology that you are likely to find in a factory or research laboratory. The dual-use list covers nuclear equipment, machine tools, chemicals, materials, electronic components, instrumentation, computers, telecommunications equipment, aircraft, navigation, sensors, underwater technology, lasers, propulsion and many other areas, including associated software and technology.

Q. In summary, which goods need a licence?

A. The main types of Goods & Technologies that require a licence are:

goods capable of, but not specially designed for, military purposes; (examples in previous question).
military equipment such as arms, ammunition, bombs, tanks, imaging devices, military aircraft and warships.
nuclear-related goods including nuclear materials, nuclear reactors and nuclear processing plant.
chemical weapons precursors, and related equipment and technology.
certain micro-organisms, biological equipment and technology.
goods used in programmes involving weapons of mass destruction and missiles used for their delivery.
goods to be exported or supplied to destinations that are the subject of EU & United Nations trade sanctions.

Q. Do the controls apply just to finished goods?

A. No, components, spare parts and technology for controlled goods are also likely to require a licence. Generally speaking, if the systems equipment or finished item is subject to control then any item, be it a component part, test equipment, software or technical data, if specific to or specially designed for that controlled item is also likely to be controlled.

Q. How do we work out whether our goods are on the list?

A. There is no easy solution to this problem and may require you to obtain legal advice prior to intending to effect an export, regardless of overseas destination. You must compare the product specifications with descriptions shown in the appropriate legislation control lists to make this determination. But you must be very careful as some controls are only destination specific, also be mindful of sentences in italics and the words having All of…. Any of….. Capable of…. Or & And….' Further complications arise where items are not actually listed but you may be aware or have suspicions or be informed that they are intended to be used in connection with 'weapons of mass destruction' (WMD) or missiles for their delivery - in which case you must apply for an export licence under the 'end-use control' which will be covered in the next edition. The Export Control Organisation at BERR offer a rating advisory service, you can complete the Export Rating Request Form from the ECO SPIRE website and send to the Technologies Unit along with suitable specifications and technical details, you will then receive advice as to whether or not, in their view on the information given the items are controlled or non-controlled subject to the end-use control & sanctions etc.

Q. Can you summarise the legalities of Export Controls applicable to UK Exporters ?

A. For Military equipment, dual-use items and other items whose export is subject to control for strategic reasons, legislation is updated by introduction of The Export Control Act with effect from 1st May 2004:

The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) Order 2003 as amended..This is the 'main order' and includes:

Schedule 1 Part I - Military, Security & Para-military Goods, Software & Technology and Arms, Ammunition and Related Materiel (UK National Military List)
Schedule 1 Part II - Explosive-Related Goods and Technology (UK National Explosive -Related List)
Schedule 2 - The UK National Dual-Use List
Council Regulation (EC) 1334/2000 (The EC Regulation) as amended..
Trade in Goods (Control) Order 2003 (Trafficking & Brokering)
Trade In Controlled Goods (Embargoed Destinations) Order 2004 as amended.

Additionally End Use Controls on Weapons of Mass Destruction, Military Items under certain circumstances, plus Trade Sanctions & Arms Embargoes.

Other related legislation covers the export of Radioactive Sources. Trade in goods which could be used for Capital Punishment, torture or other cruel, inhuman or degrading treatment or punishment and import of related technical assistance.

The EC Regulation contains provision for the following:

Annex I - The EU Common Control List of Dual -Use Items in Categories 0 - 9, General Notes, Definitions, Acronyms & abbreviations.
Annex II - Details eligibility & conditions of use of the Community General Export Authorisation (CGEA EU001) for shipments of eligible Annex I items from the EC to: Australia, Canada, Japan, New Zealand, Norway, Switzerland & United States of America. Contains special registration & reporting requirements for the exportation of Cryptographic products.
Annex III - Provides licencing guidelines for application across the Community.
Annex IV - A list of most sensitive Annex I items that require special conditions, even for intra EC transfers.

As with all legislation, you are advised to take legal advice where necessary and to ensure that you are referring to the latest version. All legislation noted can be viewed directly or through links on the ECO web site at www.berr.gov.uk.

Q. What actually constitutes an Export ?

A. According to an extract from HM Customs & Excise 'Implementing Provisions Relating to Export Chapter 1 Permanent Exportation Article 788' "The exporter, within the meaning of Article 161 (5) of the Code, shall be considered to be the person on whose behalf the export declaration is made and who is the owner of the goods or has a similar right of disposal over them at the time when the declaration is accepted. Where ownership or a similar right of disposal over the goods belongs to a person established outside the Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the Community."

In Export Control terms, apart from what may be called normal shipments by sea, air & road, this will also include Mail (also electronic mail and voice in some cases - known as 'intangible'). Also includes shipments by courier and in personal luggage (hand-carry). An export in this sense may also include provision of services such as installation, maintenance and technical assistance. Therefore regardless of method, if an Export Licence is required then the full & proper procedures must be adhered to.

Editorial Note: Thank you for your support. Further Questions & Answers will be added to this page in due course. Please also visit the 'Help-Desk' page to make any enquiries.

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Home Company information Health check Training Helpdesk FAQ Contact us	Frequently Asked Questions Q. What are export controls all about? A. The Government imposes restrictions on exports for a number of reasons including: the collective security of the UK and its allies in NATO; national security; foreign policy requirements; international treaty obligations and commitments; non-proliferation policy; concerns about terrorism, internal repression and other human rights violations. If goods or technologies are subject to UK export controls, you will need an export licence to give you legal authority to export them. Q. In simple terms, what does this really mean? A. There is a list of items which the UK Government has concerns about getting into the wrong hands. For example, it includes arms and industrial equipment and technologies, which could be used to produce arms, of both a conventional and non-conventional nature. If an exporter wishes to sell items that are on the lists to an overseas customer, the export of those items must be approved and covered by a valid export licence. Q. Is this just a national, ie; UK requirement or do other countries impose similar restrictions? A. The vast majority of the export controls implemented by the UK authorities are based on international agreements and so you will find very similar requirements in most other industrialised countries. For example, the lists of controlled items are almost entirely based on lists agreed internationally by organisations that include; Treaty on the Non-Proliferation of Nuclear Weapons (NPT) Commits the five official nuclear weapons states:- USA, UK, France, Russia & China, to not transferring nuclear weapons or technology to others or assisting, encouraging or inducing their manufacture or acquisition. Other signatories, the non-nuclear weapon states, have undertaken not to acquire nuclear weapons and to accept monitoring of their civil nuclear programmes by the International Atomic Energy Agency (IAEA). Signatories to the NPT number over 180 countries. Biological and Toxin Weapons Convention (BTWC) This convention bans the development, production, stockpiling, acquisition and use of bacteriological (biological) and toxin weapons, also provides for the destruction of existing weapons. Chemical Weapons Convention (CWC) Bans the possession, development, stockpiling, transfer and use of chemical weapons, also provides for the destruction of existing weapons and the means to produce. These treaties are legally binding, various countries have informal groups working together against the threat of Weapons of Mass Destruction (WMD) programmes in certain countries. Including the Wassenaar Arrangement membership, some 40 countries are currently involved in these activities through the Nuclear Suppliers Group (NSG), the Zangger Committee, the Australia Group (AG), and the Missile Technology Control Regime (MTCR) Q. If the controls are mainly associated with arms and their production, does this mean that only defence companies are affected? A. No, because the list of controlled items is mainly made up of so-called 'dual-use' goods & technology, which means items which are usually, or predominantly, used in commercial or industrial applications but which have an additional application in a defence context. A 'loose' definition may be 'capable of but not specially designed for military purposes' Care is needed here because the link to a military application may be quite remote or tenuous and you might be surprised about what is actually on the list. Q. Can you provide some examples of these dual-use items? A. It is difficult to provide an exhaustive or representative statement because the list of dual-use controlled goods runs to many pages and arguably touches upon just about every area of technology that you are likely to find in a factory or research laboratory. The dual-use list covers nuclear equipment, machine tools, chemicals, materials, electronic components, instrumentation, computers, telecommunications equipment, aircraft, navigation, sensors, underwater technology, lasers, propulsion and many other areas, including associated software and technology. Q. In summary, which goods need a licence? A. The main types of Goods & Technologies that require a licence are: goods capable of, but not specially designed for, military purposes; (examples in previous question). military equipment such as arms, ammunition, bombs, tanks, imaging devices, military aircraft and warships. nuclear-related goods including nuclear materials, nuclear reactors and nuclear processing plant. chemical weapons precursors, and related equipment and technology. certain micro-organisms, biological equipment and technology. goods used in programmes involving weapons of mass destruction and missiles used for their delivery. goods to be exported or supplied to destinations that are the subject of EU & United Nations trade sanctions. Q. Do the controls apply just to finished goods? A. No, components, spare parts and technology for controlled goods are also likely to require a licence. Generally speaking, if the systems equipment or finished item is subject to control then any item, be it a component part, test equipment, software or technical data, if specific to or specially designed for that controlled item is also likely to be controlled. Q. How do we work out whether our goods are on the list? A. There is no easy solution to this problem and may require you to obtain legal advice prior to intending to effect an export, regardless of overseas destination. You must compare the product specifications with descriptions shown in the appropriate legislation control lists to make this determination. But you must be very careful as some controls are only destination specific, also be mindful of sentences in italics and the words having All of…. Any of….. Capable of…. Or & And….' Further complications arise where items are not actually listed but you may be aware or have suspicions or be informed that they are intended to be used in connection with 'weapons of mass destruction' (WMD) or missiles for their delivery - in which case you must apply for an export licence under the 'end-use control' which will be covered in the next edition. The Export Control Organisation at BERR offer a rating advisory service, you can complete the Export Rating Request Form from the ECO SPIRE website and send to the Technologies Unit along with suitable specifications and technical details, you will then receive advice as to whether or not, in their view on the information given the items are controlled or non-controlled subject to the end-use control & sanctions etc. Q. Can you summarise the legalities of Export Controls applicable to UK Exporters ? A. For Military equipment, dual-use items and other items whose export is subject to control for strategic reasons, legislation is updated by introduction of The Export Control Act with effect from 1st May 2004: The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) Order 2003 as amended..This is the 'main order' and includes: Schedule 1 Part I - Military, Security & Para-military Goods, Software & Technology and Arms, Ammunition and Related Materiel (UK National Military List) Schedule 1 Part II - Explosive-Related Goods and Technology (UK National Explosive -Related List) Schedule 2 - The UK National Dual-Use List Council Regulation (EC) 1334/2000 (The EC Regulation) as amended.. Trade in Goods (Control) Order 2003 (Trafficking & Brokering) Trade In Controlled Goods (Embargoed Destinations) Order 2004 as amended. Additionally End Use Controls on Weapons of Mass Destruction, Military Items under certain circumstances, plus Trade Sanctions & Arms Embargoes. Other related legislation covers the export of Radioactive Sources. Trade in goods which could be used for Capital Punishment, torture or other cruel, inhuman or degrading treatment or punishment and import of related technical assistance. The EC Regulation contains provision for the following: Annex I - The EU Common Control List of Dual -Use Items in Categories 0 - 9, General Notes, Definitions, Acronyms & abbreviations. Annex II - Details eligibility & conditions of use of the Community General Export Authorisation (CGEA EU001) for shipments of eligible Annex I items from the EC to: Australia, Canada, Japan, New Zealand, Norway, Switzerland & United States of America. Contains special registration & reporting requirements for the exportation of Cryptographic products. Annex III - Provides licencing guidelines for application across the Community. Annex IV - A list of most sensitive Annex I items that require special conditions, even for intra EC transfers. As with all legislation, you are advised to take legal advice where necessary and to ensure that you are referring to the latest version. All legislation noted can be viewed directly or through links on the ECO web site at www.berr.gov.uk. Q. What actually constitutes an Export ? A. According to an extract from HM Customs & Excise 'Implementing Provisions Relating to Export Chapter 1 Permanent Exportation Article 788' "The exporter, within the meaning of Article 161 (5) of the Code, shall be considered to be the person on whose behalf the export declaration is made and who is the owner of the goods or has a similar right of disposal over them at the time when the declaration is accepted. Where ownership or a similar right of disposal over the goods belongs to a person established outside the Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the Community." In Export Control terms, apart from what may be called normal shipments by sea, air & road, this will also include Mail (also electronic mail and voice in some cases - known as 'intangible'). Also includes shipments by courier and in personal luggage (hand-carry). An export in this sense may also include provision of services such as installation, maintenance and technical assistance. Therefore regardless of method, if an Export Licence is required then the full & proper procedures must be adhered to. Editorial Note: Thank you for your support. Further Questions & Answers will be added to this page in due course. Please also visit the 'Help-Desk' page to make any enquiries.
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