CHAPTER ISUBJECT AND DEFINITIONS

Article 1

This Regulation sets up a F1United Kingdom regime for the control of exports, transfer, brokering and transit of dual-use items.

Article 2

For the purposes of this Regulation:

  1. 1.

    ‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include all goods which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

  2. 2.

    F2‘export’ shall be construed as follows—

    1. (1)

      it only includes removal from the United Kingdom to a destination outside of the United Kingdom and the Isle of Man;

    2. (2)

      it includes shipment as stores;

    3. (3)

      in relation to a vessel, vehicle, submersible vehicle or aircraft, it includes taking it out of the United Kingdom, notwithstanding that it is conveying goods or passengers and whether or not it is moving under its own power;

    4. (4)

      it includes transmission of software or technology by electronic media, including by fax, telephone, email or any other electronic means to a destination outside of the United Kingdom; it includes making available in an electronic form such software and technology to legal and natural persons and partnerships outside of the United Kingdom. Export also applies to oral transmission of technology when the technology is described over the telephone.

  3. 3.

    ‘exporter’ shall mean any natural or legal person or partnership F3resident or established in the United Kingdom:

    1. (i)

      on whose behalf an export declaration is made, that is to say the person who, at the time when the declaration is accepted, holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the F4United Kingdom to a destination outside of the United Kingdom and the Isle of Man. If no export declaration has been made, the exporter means the person who holds the contract with the consignee in the third country and has power for determining the sending of the item out of the United Kingdom to a destination outside of the United Kingdom and the Isle of Man. If no export contract has been concluded or if the holder of the contract does not act on its own behalf, the exporter shall mean the person who has the power for determining the sending of the item out of the F5United Kingdom to a destination outside of the United Kingdom and the Isle of Man;

    2. (ii)

      which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside F6of the United Kingdom.

    Where the benefit of a right to dispose of the dual-use item belongs to a person established outside the F7United Kingdom pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the F7United Kingdom;

  4. 4.

    ‘export declaration’ shall mean the act whereby a person indicates in the prescribed form and manner the wish to F8export dual-use items F9...;

  5. 5.

    ‘brokering services’ shall mean:

    • the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or

    • the selling or buying of dual-use items that are located in third countries for their transfer to another third country.

    For the purposes of this Regulation the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

  6. 6.

    F10‘broker’ means:

    1. (i)

      any person resident or established in the United Kingdom who carries out brokering services from the United Kingdom into the territory of a third country; or

    2. (ii)

      any United Kingdom national who carries out brokering services from the United Kingdom into the territory of a third country;

    3. (iii)

      any United Kingdom person who carries out brokering services from a country within the European Union into the territory of another third country;

    4. (iv)

      any person resident or established in the European Union who carries out brokering services from the United Kingdom into the territory of a third country; or

    5. (v)

      any European Union national who carries out brokering services from the United Kingdom into the territory of a third country;

  7. 6A.

    ‘European Union national’ means a natural person who is a national of a Member State of the European Union;

  8. 6B.

    ‘third country’ means any country or territory outside of the United Kingdom and the Isle of Man;

  9. 7.

    ‘transit’ shall mean a transport of F11non-United Kingdom dual-use items entering and passing through the F12United Kingdom with a destination outside of the United Kingdom and the Isle of Man;

  10. 7A.

    F13‘United Kingdom national’ means a British Citizen, a British overseas territories citizen, a British National (Overseas), a British Overseas citizen, or a person who, under the British Nationality Act 1981, is a British subject or a British protected person within the meaning of that Act;

  11. 7B.

    ‘United Kingdom person’ means a United Kingdom national or a legal person, entity or body incorporated or constituted under the law of the United Kingdom or any part of the United Kingdom;

  12. 8.

    ‘individual export authorisation’ shall mean an authorisation granted to one specific exporter for one end user or consignee in a third country and covering one or more dual-use items;

  13. 9.

    F14‘ F15assimilated general export authorisation’ shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions and requirements for use as listed in Annexes IIa to IIf;

  14. 10.

    ‘global export authorisation’ shall mean an authorisation granted to one specific exporter in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users and/or in one or more specified third countries;

  15. 11.

    ‘national general export authorisation’ shall mean an export authorisation granted in accordance with Article 9(2) and defined by national legislation in conformity with Article 9 and Annex IIIc;

  16. 12.

    F16. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  17. 13.

    F17. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHAPTER IISCOPE

Article 3

1.

An authorisation shall be required for the export of the dual-use items listed in Annex I.

2.

Pursuant to Article 4 F18..., an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

Article 4

1.

An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the F19Secretary of State that the items in question are or may be intended, in their entirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons.

2.

An authorisation shall also be required for the export of dual-use items not listed in Annex I if the purchasing country or country of destination is subject to an arms embargo F14imposed F20through its listing as an embargoed destination in Part 1 or 2 of Schedule 4 to the Export Control Order 2008, as amended from time to time, or by a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations and if the exporter has been informed by the F21Secretary of State that the items in question are or may be intended, in their entirety or in part, for a military end-use. For the purposes of this paragraph, ‘military end-use’ shall mean:

(a)

incorporation into military items listed in F22Schedule 2 to the Export Control Order 2008;

(b)

use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the abovementioned list;

(c)

use of any unfinished products in a plant for the production of military items listed in the abovementioned list.

3.

An authorisation shall also be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the F23Secretary of State that the items in question are or may be intended, in their entirety or in part, for use as parts or components of military items listed in F24Schedule 2 to the Export Control Order 2008, as amended from time to time, that have been exported F25without authorisation or in violation of an authorisation granted by the Secretary of State.

4.

If an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3, he must notify the F26Secretary of State, which will decide whether or not it is expedient to make the export concerned subject to authorisation.

F275.

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F276.

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F277.

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8.

This Regulation is without prejudice to F28Article 10 of Regulation (EU) 2015/479.

Article 5

1.

An authorisation shall be required for brokering services of dual-use items listed in Annex I if the broker has been informed by the F29Secretary of State that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If a broker is aware that the dual-use items listed in Annex I for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the F30Secretary of State, who will decide whether or not it is expedient to make such brokering services subject to authorisation.

F312.

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F313.

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F314.

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F32Article 6

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Article 7

This Regulation does not apply to the supply of services or the transmission of technology if that supply or transmission involves cross-border movement of persons.

F33Article 8

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CHAPTER IIIEXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

F141.

F34Assimilated General Export Authorisations for certain exports as set out in Annexes IIa to IIf are established by this Regulation.

The F35Secretary of State can prohibit the exporter from using these authorisations if there is reasonable suspicion about his ability to comply with such authorisation or with a provision of F36United Kingdom export control legislation.

F37...

F38In order to ensure that only low-risk transactions are covered by the F34Assimilated General Export Authorisations included in Annexes IIa to IIf, the F39Secretary of State may by regulations remove destinations from the scope of those F34Assimilated General Export Authorisations, if such destinations become subject to an arms embargo as referred to in Article 4(2).

F40...

2.

For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the F41Secretary of State. Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.

F42...

Exporters shall supply the F43Secretary of State with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the F44... F43Secretary of State in particular on the end user, the country of destination and the end use of the item exported. The authorisation may be subject, if appropriate, to an end-use statement.

F453.

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4.

F46A national general export authorisation shall:

F14(a)

F47shall exclude from their scope items listed in Annex IIg;

F48(b)

may be used by all exporters, established or resident in the United Kingdom, if they meet the requirements set out in this Regulation. It must be issued in accordance with the indications set out in Annex IIIc;

F49(c)

must not be used if the exporter has been informed by the Secretary of State that the items in question are, or may be intended, in their entirety or in part, for any of the uses referred to in paragraphs 1 and 3 of Article 4 or in paragraph 2 of Article 4 in a country subject to an arms embargo imposed through its listing as an embargoed destination in Part 1 or 2 of Schedule 4 to the Export Control Order 2008, as amended from time to time, or by a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items are intended for the abovementioned uses.

5.

F50The Secretary of State shall maintain F51in national legislation the possibility of granting a global export authorisation.

F526.

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Article 10

1.

Authorisations for brokering services under this Regulation shall be granted by the F53Secretary of State. These authorisations shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. F54...

2.

Brokers shall supply the F55Secretary of State with all relevant information required for their application for authorisation under this Regulation for brokering services, in particular details of the location of the dual-use items in the originating third country, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.

F563.

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F564.

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F57Article 11

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Article 12

1.

In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services under this Regulation, the F58Secretary of State shall take into account all relevant considerations including:

(a)

the obligations and commitments F59the United Kingdom has accepted as a member of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b)

F60the obligations under sanctions imposed by F61... a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

(c)

considerations of national foreign and security policy, including those F62contained within guidance made under section 9 of the Export Control Act 2002;

(d)

considerations about intended end use and the risk of diversion.

2.

In addition to the criteria set in paragraph 1, when assessing an application for a global export authorisation F63the Secretary of State shall take into consideration the application by the exporter of proportionate and adequate means and procedures to ensure compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisation.

F64Article 13

(1.

The Secretary of State, acting in accordance with this Regulation, may refuse to grant an export authorisation, and may annul, suspend, modify or revoke an export authorisation which the Secretary of State has already granted.

(2.

Paragraph 1 shall also apply to authorisations for brokering services.

Article 14

1.

All individual and global export authorisations and authorisations for brokering services shall be issued in writing or by electronic means on forms containing at least all the elements and in the order set out in the models which appear in Annexes IIIa and IIIb.

F652.

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CHAPTER IVUPDATING OF LIST OF DUAL-USE ITEMS

F66Article 15

1.

The Secretary of State may by regulations update the list of dual-use items set out in Annex I in conformity with the relevant obligations and commitments, and any modification thereof, that the United Kingdom has accepted as a member of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

2.

Where the updating of Annex I under paragraph 1 concerns dual-use items which are also listed in Annexes IIa to IIg or IV, regulations under paragraph 1 may also make provision for updating Annexes IIa to IIg or IV.

CHAPTER VCUSTOMS PROCEDURES

Article 16

1.

When completing the formalities for the export of dual-use items at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.

F672.

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F673.

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F674.

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F68Article 17

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F69Article 18

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CHAPTER VIADMINISTRATIVE COOPERATION

F70Article 19

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CHAPTER VIICONTROL MEASURES

Article 20

1.

Exporters of dual-use items shall keep detailed registers or records of their exports F71.... Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

(a)

the description of the dual-use items;

(b)

the quantity of the dual-use items;

(c)

the name and address of the exporter and of the consignee;

(d)

where known, the end-use and end-user of the dual-use items.

2.

F72... Brokers shall keep registers or records for brokering services which fall under the scope of Article 5 so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering services, the period during which the items were the subject of such services and their destination, and the countries concerned by those brokering services.

3.

The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least three years from the end of the calendar year in which the export took place or the brokering services were provided. They shall be produced, on request, to F73a person authorised by the Secretary of State or the Commissioners for Her Majesty's Revenue and Customs.

F74Article 21

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CHAPTER VIIIOTHER PROVISIONS

F75Article 22

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F76Article 23

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F77Article 23a

1.

Regulations under Article 9(1) or Article 15(1) are to be made by statutory instrument

2.

Such regulations may:

(a)

make different provision with respect to different cases or different descriptions of case;

(b)

include—

(i)

incidental, supplementary or consequential provision;

(ii)

transitional, transitory or saving provision.

3.

A statutory instrument containing regulations under Article 9(1) or Article 15(1) is subject to annulment in pursuance of a resolution in either House of Parliament.

F78Article 23b

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F79Article 24

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F80Article 25

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F81Article 25a

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F82Article 26

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Article 27

Regulation (EC) No 1334/2000 is repealed with effect from 27 August 2009.

However, for export authorisation applications made before 27 August 2009, the relevant provisions of Regulation (EC) No 1334/2000 shall continue to apply.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex VI.

F83Article 28

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F84...