2008 No. 3231
The Export Control Order 2008
Made
Laid before Parliament
Coming into force
The Secretary of State is a Minister designated for the purposes of section 2(2) of the European Communities Act 1972 in relation to—
- a
measures relating to trade in dual-use items, including the transmission of software or technology in intangible form; and
- b
matters relating to trade in certain goods, including technical assistance, which could be used for capital punishment, torture or other cruel, inhuman or degrading treatment or punishment
It appears to the Secretary of State that it is expedient for the references in this Order to Council Regulation (EC) No 1334/2000M1, Council Regulation (EC) No 1236/2005M2, Article 3 of Council Regulation (EEC) No 2913/92M3 and Article 3 of Council Regulation (EC) No 450/2008M4 to be construed as references to those instruments and provisions as amended from time to time.
To the extent that this Order regulates any of the activities listed in section 8(1) of the Export Control Act 2002M5, the Secretary of State, having considered the reasons for the relevant controls and the need to respect the freedom to carry on the relevant activities, has determined that such regulation is necessary in the circumstances prevailing at the time of this Order.
The Secretary of State, in exercise of the powers conferred by section 2(2) of the European Communities Act 1972 M6, by paragraph 1A of Schedule 2 to that Act M7 and by sections 1, 2, 3, 4, 5 and 7 of the Export Control Act 2002 M8, makes the following Order:C4C5
Order excluded (30.11.2011) by The Export Control (Al-Qaida and Taliban Sanctions) Regulations 2011 (S.I. 2011/2649), reg. 6
OJ No L 159, 30.6.2000, p1; relevant amending instruments are Council Regulation (EC) No 2432/2001 (OJ No L 338, 20.12.2001, p1) and Council Regulation (EC) No 1167/2008 (OJ No L 325, 3.12.2008, p1).
OJ No L 200, 30.7.2005, p1, to which there are amendments not relevant to this Order.
OJ No L 302, 19.10.1992, p1; relevant amending instruments are the Act of Accession of Austria, Sweden and Finland (OJ No C 241, 29.8.1994, p21) adapted by Council Decision 95/1/EC, Euratom, ECSC (OJ No L 1, 1.1.2005, p1), Regulation (EC) No 82/97 of the European Parliament and of the Council (OJ No L 17, 21.1.1997, p1), the Act concerning the conditions of accession of the Czech Republic and others and Council Regulation (EC) No 1791/2006 (OJ No L 363, 20.12.2006, p1).
OJ No L 145, 4.6.2008, p1.
Paragraph 1A of Schedule 2 was inserted by the Legislative and Regulatory Reform Act 2006, section 28.
PART 1INTRODUCTORY
Citation and commencement1
This Order may be cited as the Export Control Order 2008 and shall come into force on 6th April 2009.
Interpretation2
1
In this Order, the following expressions have the meanings given below, save where an expression is also defined in a Schedule where it has, for the purposes of that Schedule, that meaning—
“aircraft” means a fixed wing, swivel wing, rotary wing, tilt rotor or tilt wing vehicle or helicopter;
“category A goods” means goods specified in Part 1 of Schedule 1;
“category B goods” means goods specified in Part 2 of Schedule 1;
“category C goods” means—
- a
military goods other than goods specified in Schedule 1;
- b
portable devices for the purpose of riot control or self-protection by the administration or dissemination of an incapacitating chemical substance;
- c
pelargonic acid vanillylamide (PAVA) (CAS 2444-46-4);
- d
oleoresin capsicum (OC) (CAS 8023-77-6);
- a
“CEMA” means the Customs and Excise Management Act 1979 M9;
F57“certificate” means a certificate referred to in article 28A(1);
“the Commissioners” means the Commissioners for Her Majesty's Revenue and Customs;
F58...
“competent authority” means the Secretary of State or any other authority that is from time to time empowered to grant authorisations under the dual-use Regulation;
“contract promotion activity” means any act calculated to promote the arrangement or negotiation of a contract for the acquisition, disposal or movement of goods or any agreement to do such an act;
“country” includes territory;
“the customs and excise Acts” has the same meaning as in section 1 of CEMA;
“the customs territory” means the customs territory described in Article 3 of Council Regulation (EEC) No 2913/92 as amended from time to time until its repeal by Council Regulation (EC) No 450/2008 and then the customs territory described in Article 3 of the latter Regulation as amended from time to time;
F59“the defence-related products Directive” means Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community;
“dual-use” in relation to goods, software or technology, means usable for both civil and military purposes;
F6“the dual-use Regulation” means Council Regulation (EC) No 428/2009 as amended from time to time;
“embargoed destination” means a country listed in Part 1 or 2 of Schedule 4;
F60“European military items” means goods, software or technology listed in Schedule 2 except in entry PL5017 or PL5001;
“exportation” shall be construed as follows—
- a
unless the context otherwise requires, it only includes removal from the United Kingdom to a destination outside the United Kingdom and the Isle of Man;
- b
it includes shipment as stores;
- c
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
and cognate expressions shall be construed accordingly;
- a
“the firearms Directive” means Council Directive 91/477/EECM10;
“general” in relation to a licence, means not granted to a particular person but available for use generally;
“goods subject to trade controls” means goods that are category A goods, category B goods or category C goods.
“importation” in relation to a vessel, vehicle, submersible vehicle or aircraft means taking it into the United Kingdom, notwithstanding that it is conveying goods or passengers and whether or not it is moving under its own power and cognate expressions shall be construed accordingly;
F61“individual” in relation to a licence, means granted to a particular person;
“information security items” means goods, software and technology specified in Part 2 of Category 5 in Annex I to the dual-use Regulation;
“licence” except in article 45(2), means a UK licence or an authorisation granted under the dual-use Regulation or the torture Regulation;
“licence user” means a person who is registered under article 28 to use a general licence or who is entitled to use a general licence without registration owing to the terms of that general licence;
“microprogramme” means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register;
“military” in relation to goods, software and technology, means listed in Schedule 2;
F7“non-community goods” means non-community goods described in Article 4(8) of Council Regulation (EEC) No 2913/1992 as amended from time to time until its repeal by Council Regulation (EC) No 450/2008 and then non-community goods described in Article 4(19) of the latter Regulation as amended from time to time,
“payment” includes a payment in money or money's worth or in kind whether referable to a particular act or made from time to time but does not include a payment made by way of wages or salary;
“programme” means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer;
“proper” has the same meaning as in CEMA;
“in the public domain” means available without restriction upon further dissemination (no account being taken of restrictions arising solely from copyright);
“scheduled journey” means one of a series of journeys which are undertaken between the same two places and which together amount to a systematic service operated in such a manner that its benefits are available to members of the public from time to time seeking to take advantage of it;
“shipment” (and cognate expressions) and “stores” have the same meanings as in CEMA;
“software” means one or more programmes or microprogrammes fixed in any tangible medium of expression;
“surface effect vehicle” means any air cushion vehicle (whether side wall or skirted) and any vehicle using the wing-in-ground effect for positive lift;
“technical assistance” means any technical support related to repairs, development, manufacture, assembly, testing, use, maintenance or any other technical service;
“technology” means information (including but not limited to information comprised in software and documents such as blueprints, manuals, diagrams and designs) that is capable of use in connection with the development, production or use of any goods;
“a third country” means any country that is not the United Kingdom or the Isle of Man except that, for the purposes of Part 4 of this Order, goods that are goods in transit are considered to be located in a third country;
“the torture Regulation” means Council Regulation (EC) No 1236/2005 as amended from time to time;
“transfer”, in relation to software or technology, means transfer by electronic or non-electronic means (or any combination of electronic and non-electronic means) from a person or place within the United Kingdom to a person or place outside the United Kingdom, except in articles 10 and 11 where the limitations as to the origin and destination of the transfer do not apply, and cognate expressions shall be construed accordingly;
F8“transfer by electronic means”, in relation to software and technology, means transmission by facsimile, telephone or other electronic media, and includes the transmission of technology by describing it orally over the telephone;
“transfer by non-electronic means”, in relation to software or technology, means disclosure of software or technology by any means (or combination of means), including oral communication, other than as the exportation of goods or the transfer by electronic means;
“in transit” means imported into the United Kingdom for transit or transhipment;
“transit or transhipment”, in relation to goods, means transit through the United Kingdom or transhipment with a view to re-exportation of the goods or transhipment of the goods for use as stores;
“UK controlled” in relation to dual-use goods, software and technology, means listed in Schedule 3;
“UK licence” means a licence in writing granted by the Secretary of State that authorises an act or acts that would otherwise be prohibited by this Order;
F62“the Union General Export Authorisation” has the same meaning as in Article 2(9) of the dual-use Regulation;
“vehicle” includes a railway carriage;
“vessel” includes any ship, surface effect vehicle, vessel of small waterplane area or hydrofoil, and the hull or part of the hull of a vessel;
“WMD purposes” means 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
Except in the definition of category C goods, tangible storage media on which military or dual-use software or technology is recorded are taken to be military or dual-use goods respectively.
3
Any reference in this Order to time after an event is a reference to a period of that length of time beginning on the day of that event.
F75Crown application2A
1
The following articles bind the Crown—
a
article 4 (movement of UK controlled dual-use goods, etc. to certain destinations);
b
article 6 (WMD purposes end-use control supplementing the dual-use Regulation);
c
article 7 (control on transfers within the customs territory supplementing the dual-use Regulation);
d
article 8 (transit controls supplementing the dual-use Regulation); and
e
article 9 (provisions supplementing the torture Regulation).
2
The Crown is not criminally liable as a result of a contravention of any of those articles.
3
Paragraph (2) does not affect the application of those articles to persons in the public service of the Crown.
C1PART 2EXPORT AND TRANSFER CONTROLS
Pt. 2 excluded (20.2.2010) by The Export Control (Guinea) Order 2010 (S.I. 2010/364), arts. 1(1), 5
Military goods, etc.3
Subject to articles 13 to 18 and 26, no person shall—
a
export military goods; or
b
transfer military software or technology by electronic means.
F26Movement of UK controlled dual-use goods, etc. to certain destinations4
1
Subject to articles 13, 14, 17, 18 and 26, no person shall—
a
export UK controlled dual-use goods; or
b
transfer UK controlled dual-use software or technology by electronic means
if paragraph (2) or (3) applies.
2
This paragraph applies where the destination is one specified in Schedule 3 as a prohibited destination in relation to the goods, software or technology in question (“a prohibited destination”).
3
This paragraph applies where the destination is not a prohibited destination but the exporter or transferor knows—
a
that the final destination of the goods, software or technology in question is a prohibited destination; and
b
that no processing or working is to be performed on the goods, software or technology in question before they are exported or transferred to that final destination.
F53Movement of certain medicinal products to the United States of America4A
1
Subject to articles 17 and 26, no person shall export a human or veterinary medicinal product containing the active ingredient pancuronium bromide F63or propofol where—
a
the product is in a form suitable for injection or for preparation of an injection; and
b
paragraph (2) or (3) applies.
2
This paragraph applies where the destination of the product is the United States of America.
3
This paragraph applies where the destination is not the United States of America but the exporter knows that the final destination of the product is the United States of America.
F42Movement of Libyan bank notes and coins4B
Subject to article 26, no person shall export unissued Libyan bank notes or unissued Libyan coins.
Movement of UK controlled dual-use goods, etc. within the customs territoryF265
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
WMD purposes end-use control supplementing the dual-use Regulation6
1
This article applies where—
a
a person (“the enquirer”) has grounds for suspecting that dual-use goods, software or technology are or may be intended, in their entirety or in part, for WMD purposes; and
b
the goods, software or technology in question are not specified in Annex I to the dual-use Regulation.
2
Subject to article 26, the enquirer shall not—
a
export the goods in question; or
b
transfer the software or technology in question by electronic means
to a destination outside the customs territory unless, having made all reasonable enquiries as to the proposed use of the goods, software or technology in question, the enquirer is satisfied that they will not be used for WMD purposes.
Control on transfers within the customs territory supplementing the dual-use Regulation7
1
This article applies where—
a
a person (“the relevant person”) knows—
i
that the final destination of dual-use goods, software or technology is outside the customs territory; and
ii
that no processing or working is to be performed on the goods, software or technology in question within the customs territory;
b
the relevant person would only be permitted to export or transfer the goods, software or technology in question to a destination outside the customs territory to the extent authorised to do so under Article 3 (controls on listed goods) or 4 (end-use controls) of the dual-use Regulation; and
c
the goods, software or technology in question are not specified in Annex IV to the dual-use Regulation.
2
Subject to articles 17 and 26, the relevant person shall not—
a
export the goods in question; or
b
transfer the software or technology in question by electronic means
to a destination within the customs territory.
Transit controls supplementing the dual-use RegulationF58
1
Subject to articles 17 and 26, no person shall export goods listed in Annex I to the dual-use Regulation where the goods in question are non-community goods which are entering and passing through the customs territory with a final destination outside the customs territory.
2
Paragraph (3) applies where a person (“the exporter”)—
a
has been informed by a competent authority that dual-use goods are or may be intended, in their entirety or in part, for purposes referred to in Article 4(1) of that Regulation (WMD purposes end-use control); or
b
is aware that dual-use goods specified are or may be intended, in their entirety or in part, for purposes referred to in Article 4(1) of that Regulation (WMD purposes end-use control);
and the dual-use goods in question are non-community goods which are not listed in Annex I to the dual-use Regulation and which are entering and passing through the customs territory with a final destination outside the customs territory.
3
Subject to article 26, the exporter shall not export the goods in question.
Provisions supplementing the torture Regulation9
1
This article applies to—
a
gangchains and leg-irons specially designed for restraining human beings;
b
goods within item 2.1 in Annex II to the torture Regulation (electric-shock belts); and
c
goods within item 2.1 in Annex III to the torture Regulation (portable electric shock devices).
2
Subject to article 26, no person shall export goods to which this article applies to a destination within the customs territory.
3
Subject to article 26, no person shall export goods within paragraph (1)(a) or (c) in relation to which there is no export authorisation requirement under Article 5 (export authorisation requirement) of the torture Regulation because the goods are in transit.
F4General prohibition9A
To the extent that, pursuant to any of articles 3 to 9 of this Order, a person may not export goods, the exportation of the goods in question is prohibited.
Transfers within the United Kingdom for WMD purposes10
1
This article applies where a person (“the transferor”)—
a
has been informed by the Secretary of State that software or technology is or may be intended, in its entirety or in part, for WMD purposes; or
b
is aware that software or technology is intended, in its entirety or in part, for WMD purposes
and knows that it may be or is intended to be used outside the customs territory or has been informed by the Secretary of State that it may be or is intended to be so used.
2
Subject to articles 18 and 26, the transferor shall not transfer the software or technology in question to a person or place within the United Kingdom.
Transfers from outside the customs territory for WMD purposes11
1
This article applies where a United Kingdom person (“the transferor”)—
a
has been informed by a competent authority that software or technology is or may be intended, in its entirety or in part, for WMD purposes; or
b
is aware that software or technology is intended, in its entirety or in part, for WMD purposes.
2
Subject to articles 18 and 26, the transferor shall not transfer the software or technology in question from a place outside the customs territory to—
a
a destination outside the customs territory; or
b
a destination within the customs territory if the transferor—
i
knows that the final destination of the software or technology is outside the customs territory; and
ii
knows that no processing or working is to be performed on the software or technology within the customs territory,
or, if the destination is the United Kingdom, knows that the software or technology may be or is intended to be used outside the customs territory or has been informed by the Secretary of State that it may be or is intended to be so used.
Transfers by non-electronic means from the United Kingdom for WMD purposes12
1
This article applies where a person (“the transferor”)—
a
has been informed by the Secretary of State that software or technology is or may be intended, in its entirety or part, for WMD purposes; or
b
is aware that software or technology is intended, in its entirety or in part, for WMD purposes.
2
Subject to articles 18 and 26, the transferor shall not transfer the software or technology in question by non-electronic means to—
a
a destination outside the customs territory; or
b
a destination within the customs territory if the transferor—
i
knows that the final destination of the software or technology is outside the customs territory; and
ii
knows that no processing or working is to be performed on the software or technology within the customs territory.
Exceptions for aircraft13
1
Nothing in article 4 F27... shall be taken to prohibit the exportation of any aircraft the immediately preceding importation of which was on a scheduled journey and which is intended for further scheduled journeys.
2
Nothing in article 3 shall be taken to prohibit the exportation of any aircraft which is being exported (except to a country or destination specified in Part 1, 2 or 3 of Schedule 4) after temporary importation into the United Kingdom provided that—
a
there has been no change of ownership or registration since such importation; and
b
no military goods have been incorporated into the aircraft since such importation other than by way of replacement for a component essential for the departure of the aircraft.
3
Nothing in article 4 F28... shall be taken to prohibit the exportation of any aircraft on a scheduled journey.
4
Nothing in article 3 F29or 4 shall be taken to prohibit the exportation of any aircraft which is departing temporarily from the United Kingdom on trials.
Exceptions for vessels14
1
Nothing in article 3 shall be taken to prohibit the exportation of any vessel registered or constructed outside the United Kingdom which is being exported (except to a country or destination specified in Part 1, 2 or 3 of Schedule 4) after temporary importation into the United Kingdom provided that no military goods have been incorporated into the vessel since such importation other than by way of replacement for a component essential for the departure of the vessel.
2
Nothing in article 4 F30... shall be taken to prohibit the exportation of any vessel proceeding on a journey providing transport services in the ordinary course of business.
3
Nothing in article 3 F31or 4 shall be taken to prohibit the exportation of any vessel which is departing temporarily from the United Kingdom on trials.
F76Exception for historic military vehicles14A
1
The prohibition on the export of military goods in article 3 does not apply to the export of a vehicle or component falling within entry ML6 in Schedule 2 provided that the following conditions are met.
2
The conditions are that—
a
the vehicle or component was manufactured more than 50 years before the date of exportation;
b
the exportation is to a destination in Belgium, France or Germany;
c
the exportation is for the purposes of a military re-enactment, commemorative event or recreational activity; and
d
the vehicle or component is to be returned to the United Kingdom within 3 months of the date of exportation.
Exception for firearms – European firearms pass15
1
Nothing in article 3 shall be taken to prohibit the exportation of any firearm falling within category B, C or D of Annex I to the firearms Directive, related ammunition and sight using non-electronic image enhancement for use with such a firearm to any destination in a member State if paragraphs (2) and (3) apply.
2
This paragraph applies if the firearm, ammunition and sight using non-electronic image enhancement form part of the personal effects of a person (“the holder”) who is in possession of—
a
a European firearms pass which has been issued to the holder under section 32A of the Firearms Act 1968 M11; or
b
a document which has been issued to the holder under the provisions of the law of a member State corresponding to the provisions of that section,
which, in either case, relates to the firearm.
3
This paragraph applies if either—
a
the pass or document referred to in paragraph (2) contains authorisation for the possession of the firearm from the member State of destination and any other member State through which the holder intends that the firearm will pass on its way to that destination; or
b
the holder on request satisfies the proper officer of Her Majesty's Revenue and Customs at the place of exportation that—
i
the exportation of the firearm is necessary to enable the holder to participate in one of the activities specified in Article 12(2) (hunters and marksmen) of the firearms Directive;
ii
the firearm falls within the category appropriate to that activity in accordance with that Article; and
iii
the exportation or passage of the firearm is not to or through a member State which prohibits or requires an authorisation for the acquisition or possession of the firearm.
Exception for firearms – firearm or shot gun certificate or permit16
1
This article applies to firearms authorised to be possessed or, as the case may be, purchased or acquired by—
a
a firearm certificate or shot gun certificate granted under the Firearms Act 1968;
b
a visitor's firearm or shot gun permit granted under section 17 of the Firearms (Amendment) Act 1988 M12;
c
a firearm certificate granted under the Firearms (Northern Ireland) Order 1981 M13; or
2
Subject to paragraph (3), nothing in article 3 shall be taken to prohibit the exportation of any firearm to which this article applies, related ammunition and sight using non-electronic image enhancement for use with such a firearm to—
a
any destination in a member State by—
i
any person or body specified in Article 2(2) (Directive not to apply in relation to armed forces, police, public authorities, collectors, etc.) of the firearms Directive; or
ii
the holder of a firearm certificate within paragraph (1)(d); or
b
any other destination other than a country or destination specified in Part 1, 2 or 3 of Schedule 4.
3
The exception in this article only applies if the firearm, related ammunition and sight using non-electronic image enhancement form part of the personal effects of the holder of the relevant certificate or permit and, in a case to which paragraph (2)(b) applies, the certificate or permit is produced by the holder, or the holder's duly authorised agent, with the firearm and, if carried, ammunition and sight to the proper officer of Her Majesty's Revenue and Customs at the place of exportation.
Transit or transhipment exception17
1
2
Paragraph (1) does not apply to—
a
anti-personnel landmines and components specially designed for them;
b
category A goods;
c
equipment, software or technology falling within entry ML18, ML21 or ML22 in Schedule 2, specifically related to anti-personnel landmines or Category A goods;
d
goods being exported to a destination specified in Part 1 of Schedule 4;
e
military goods being exported to any country or destination specified in Part 2 or 3 of Schedule 4;
f
category B goods being exported to any country or destination specified in Part 4 of Schedule 4.
3
Paragraph (1) does not apply to the extent that—
a
the exporter (or, if the exporter is not within the United Kingdom, any agent of the exporter within the United Kingdom concerned in the exportation or intended exportation) has been informed by a competent authority that the goods are or may be intended, in their entirety or in part, for WMD purposes;
b
the exporter is aware that the goods are intended, in their entirety or in part, for WMD purposes; or
c
the exporter has grounds for suspecting that the goods are or may be intended, in their entirety or in part, for WMD purposes, unless the exporter has made all reasonable enquiries as to their proposed use and is satisfied that they will not be so used.
4
The conditions are that—
F64a
the goods in question either—
i
remain on board a vessel, aircraft or vehicle for the entire period that they remain in the United Kingdom or are goods on a through bill of lading, through air waybill or single transport contract and in any event are exported before the end of the period of 30 days beginning with the date of their importation; or
ii
are European military items which were originally exported from a member State and the destination of the goods following exportation from the United Kingdom is within the EU;
b
the destination of the goods in question following exportation from the United Kingdom has been determined in the country from which they were originally exported prior to their original exportation in connection with the transaction which has given rise to transit or transhipment and has not been changed prior to their exportation from the United Kingdom, or the goods are being returned to that country; and
c
the goods in question were exported from that country in accordance with any laws or regulations relating to the exportation of goods applying there at the time of exportation of the goods.
Software and technology exceptions18
1
Nothing in article 3 F33or 4 shall be taken to prohibit the transfer of technology—
a
that is in the public domain;
b
that is the minimum technology required for—
i
the installation, operation, maintenance or repair of goods or software that are not military goods or software or UK controlled dual-use goods or software; or
ii
a patent application; or
c
in the course of basic scientific research.
2
Nothing in article 10, 11 or 12 shall be taken to prohibit the transfer of software or technology in the public domain.
3
In this article, “basic scientific research” means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts and not primarily directed towards a specific practical aim or objective.
C2PART 3TECHNICAL ASSISTANCE CONTROLS
Pt. 3 excluded (20.2.2010) by The Export Control (Guinea) Order 2010 (S.I. 2010/364), arts. 1(1), 5
End-use control on technical assistance19
1
Subject to article 26, no person shall directly or indirectly provide to a person or place outside the customs territory any technical assistance related to the supply, delivery, manufacture, maintenance or use of anything which—
a
that person has been informed by the Secretary of State is or may be intended, in its entirety or in part, for WMD purposes; or
b
that person is aware is intended, in its entirety or in part, for WMD purposes.
2
Subject to article 26, no United Kingdom person shall directly or indirectly provide from a place outside the customs territory to any person or place outside the customs territory any technical assistance related to the supply, delivery, manufacture, maintenance or use of anything which—
a
that person has been informed by the Secretary of State is or may be intended, in its entirety or in part, for WMD purposes; or
b
that person is aware is intended, in its entirety or in part, for WMD purposes.
3
For the purposes of paragraphs (1) and (2)—
a
directly providing technical assistance includes providing technical assistance or agreeing to do so; and
b
indirectly providing technical assistance includes making arrangements under which another person provides technical assistance or agrees to do so.
C3PART 4TRADE CONTROLS
Pt. 4 excluded (20.2.2010) by The Export Control (Guinea) Order 2010 (S.I. 2010/364), arts. 1(1), 5
Embargoed destinations20
1
This article applies to—
a
persons carrying out activities in the United Kingdom; and
b
United Kingdom persons.
2
Subject to articles 25 and 26, no person to whom this article applies shall directly or indirectly—
a
supply or deliver;
b
agree to supply or deliver; or
c
do any act calculated to promote the supply or delivery of
any goods subject to trade controls from one third country to another third country that is an embargoed destination.
Category A goods21
1
This article applies to—
a
persons carrying out activities in the United Kingdom; and
b
United Kingdom persons.
2
Subject to articles 24, 25 and 26, no person to whom this article applies shall directly or indirectly—
a
supply or deliver;
b
agree to supply or deliver; or
c
do any act calculated to promote the supply or delivery of
any category A goods, where that person knows or has reason to believe that such action or actions will, or may, result in the removal of those goods from one third country to another third country.
Category B goods22
1
This article applies to—
a
persons carrying out activities in the United Kingdom; and
b
United Kingdom persons.
2
Subject to paragraphs (3), (4) and (7) and to articles 25 and 26, no person to whom this article applies shall directly or indirectly—
a
supply or deliver;
b
agree to supply or deliver; or
c
do any act calculated to promote the supply or delivery of
any category B goods, where that person knows or has reason to believe that such action or actions will, or may, result in the removal of those goods from one third country to another third country.
3
Nothing in this article shall be taken to prohibit the provision of—
a
financing or financial services;
b
insurance or reinsurance services; or
c
general advertising or promotion services
by a person whose only involvement in the activities described in paragraph (2) is to provide or agree to provide such services.
4
A person (“the transporter”) whose only involvement in the activities described in paragraph (2) is to provide or agree to provide transportation services in relation to category B goods (“the relevant goods”) only contravenes the prohibition in this article if paragraph (5) or (6) applies.
5
This paragraph applies if the transporter arranges the removal of the relevant goods from one third country to another third country.
6
This paragraph applies if the transporter, otherwise than in the course of providing services to another person—
a
to whom this article applies; and
b
who has agreed to provide transportation services in relation to the relevant goods,
removes or agrees to remove the relevant goods from one third country to another third country.
7
Nothing in this article shall be taken to prohibit any contract promotion activity that is carried out otherwise than for payment.
Category C goods23
1
Subject to paragraphs (2) and (3) and to articles 24, 25 and 26, no person shall directly or indirectly—
a
agree to supply or deliver; or
b
do any act calculated to promote the supply or delivery of
any category C goods, where that person knows or has reason to believe that such action or actions will, or may, result in the removal of those goods from one third country to another third country.
2
Nothing in this article shall be taken to prohibit the provision of—
a
transportation services;
b
financing or financial services;
c
insurance or reinsurance services; or
d
general advertising or promotion services
by a person whose only involvement in the activities described in paragraph (1) is to provide or agree to provide such services.
3
Nothing in this article shall be taken to prohibit any contract promotion activity that is carried out otherwise than for payment.
Exception for movement of goods within the customs territory24
Nothing in article 21 or 23 shall be taken to prohibit activities related to the movement of the following goods within the customs territory—
a
the goods listed in paragraph 1 of Schedule 1;
b
individual cuffs;
c
shackles except those shackles which have an overall dimension including chain, when measured from the outer edge of one cuff to the outer edge of the other cuff, of between 240mm and 280mm when locked and have not been modified to cause physical pain or suffering;
d
the goods listed in paragraphs 2(b), (c) and (d) and 4 of Schedule 1;
e
portable devices for the purpose of riot control or self-protection by the administration or dissemination of an incapacitating chemical substance;
f
pelargonic acid vanillylamide (PAVA) (CAS 2444-46-4);
g
oleoresin capsicum (OC) (CAS 8023-77-6).
Exception for activities carried out in the Isle of Man25
Nothing in this Part shall be taken to prohibit activities carried out in the Isle of Man.
PART 5LICENCES, ETC.
Licences26
1
Nothing in Part 2, 3 or 4 prohibits an activity that is carried out under the authority of a UK licence.
2
Unless it provides otherwise, a UK licence to export military goods also authorises the export or transfer of the minimum technology required for the installation, operation, maintenance and repair of the goods to the same destination as the goods.
3
A UK licence to supply or deliver goods subject to trade controls also authorises—
a
agreeing to supply or deliver; or
b
doing any act calculated to promote the supply or delivery of
the goods.
4
For the purposes of F9Article 9 (rules about authorisations) of the dual-use Regulation, the Secretary of State is empowered to grant authorisations.
5
The authorisation required by F10Article 22(1) (exportation or transfer of sensitive items within the customs territory) of the dual-use Regulation for exportation or transfer of goods, software or technology from the United Kingdom is a licence granted by the Secretary of State.
6
A licence granted by the Secretary of State may be—
a
either general or granted to a particular person (except that a licence granted under the torture Regulation may not be a general licence);
b
limited so as to expire on a specified date unless renewed;
c
subject to, or without, conditions and any such condition may require any act or omission before or after the doing of the act authorised by the licence.
Person authorised by UK licence to export goods27
1
For the purpose of article 26(1), but subject to paragraph (2) below, the exportation of goods to any destination outside the customs territory shall be regarded as being under the authority of a UK licence to, or for the benefit of, a particular person (“the licence holder”) only if—
a
the licence holder is the person on whose behalf the exportation declaration is made; and
b
the licence holder is established within the customs territory and either—
i
the licence holder is the owner of the goods or has a similar right of disposal over them; or
ii
if no person who is the owner of the goods or has a similar right of disposal over them is established within the customs territory, the licence holder is a party to one or more contracts under which the ownership of the goods or a similar right of disposal over them has passed to a person not established within the customs territory and pursuant to which the goods are to be, are being or have been exported from the customs territory.
2
Paragraph (1) does not apply if no person falls within sub-paragraph (b) of that paragraph or if the exportation is of goods imported into the United Kingdom for transit or transhipment.
Registration with the Secretary of State28
1
Not later than 30 days after—
a
any person first does any act under the authority of a general licence granted by the Secretary of State that does not provide otherwise;
b
any person established in the United Kingdom first does any act under the authority of the F65Union General Export Authorisation,
the person in question shall give to the Secretary of State written notice of their name and the address at which copies of the records referred to in article 29(1) or 30(3) of this Order or F11Article 20(1) (record-keeping) of the dual-use Regulation may be inspected by any person authorised by the Secretary of State or the Commissioners under article 31.
2
A person who has given to the Secretary of State written notice of particulars under paragraph (1) shall, not later than 30 days after any change in those particulars, give to the Secretary of State notice of the changed particulars.
F77Certificates (European military items)28A
1
For the purposes of Article 9(1) of the defence-related products Directive, the Secretary of State is empowered to grant certificates to recipients established in the United Kingdom of European military items under authorisations granted by competent authorities in other member States.
2
Before granting a certificate, the Secretary of State must establish the reliability of the recipient undertaking and in particular its capacity to observe limitations on the export of European military items which are received under an authorisation granted by a competent authority in another member State. The recipient’s reliability must be assessed according to the following criteria—
a
proven experience in defence activities, taking into account in particular—
i
the undertaking’s record of compliance with export restrictions including any relevant court decisions;
ii
any authorisation held by the undertaking to produce or market European military items;
iii
the employment of experienced management staff by the recipient;
b
relevant industrial activity in European military items within the EU and in particular capacity for system or sub-system integration;
c
the appointment of a senior executive as the dedicated officer personally responsible for exports and transfers;
d
the provision of a written undertaking, signed by the senior executive referred to in sub-paragraph (c), that the undertaking will take all necessary steps to observe and enforce any specific condition of an authorisation granted by a competent authority in another member State relating to end-use and re-export of any specific component or product received;
e
the provision of a written undertaking, signed by the senior executive referred to in sub-paragraph (c), that the undertaking will provide to the Secretary of State upon request detailed information concerning the end-users or end-use of all European military items exported, transferred or received under an authorisation granted by a competent authority in another member State; and
f
the provision of a written description, signed by the senior executive referred to in sub-paragraph (c), of the undertaking’s internal compliance programme or export and transfer management systems. This description must provide details of the organisational, human and technical resources allocated to the management of exports and transfers, the chain of responsibility within the undertaking, internal audit procedures, awareness-raising and staff-training, physical and technical security arrangements, record-keeping and traceability of exports and transfers.
3
A certificate granted by the Secretary of State must contain the following—
a
the name of the competent authority issuing the certificate;
b
the name and address of the recipient;
c
a statement of the recipient’s conformity with the criteria referred to in paragraph 2;
d
the date of issue and the period of validity of the certificate.
4
The period of validity of a certificate granted by the Secretary of State must not exceed five years.
5
A certificate granted by the Secretary of State may be subject to conditions relating to—
a
the provision of information necessary to verify compliance with the criteria set out in paragraph (2);
b
its suspension or revocation.
6
The Secretary of State may by notice amend, suspend or revoke a certificate.
Record keeping – general29
F661
The following must keep detailed registers or records—
a
a person who acts under the authority of a general licence granted by the Secretary of State;
b
a person who acts under the authority of the Union General Export Authorisation whilst established in the United Kingdom; and
c
a person who acts under the authority of an individual licence to export or transfer European military items within the EU.
2
The registers or records shall contain sufficient detail as may be necessary to allow the following information, where appropriate, to be identified in relation to each act carried out under the authority referred to in paragraph (1)—
a
a description of the act;
b
a description of the goods, software or technology to which the act relates;
c
the date of the act or the dates between which the act took place;
d
the quantity of the goods (if any) to which the act relates;
e
the name and address of the person referred to in paragraph (1);
f
the name and address of any consignee of the goods to which the act relates or any recipient of the software or technology to which the act relates;
g
in so far as it is known to the person referred to in paragraph (1), the name and address of the end-user of the goods, software or technology to which the act relates;
h
if different from the person referred to in paragraph (1), the name and address of the supplier of the goods (if any) to which the act relates;
i
any further information required by the licence or authorisation referred to in paragraph (1).
3
The registers or records referred to in paragraph (1) shall be kept—
a
in the case of a general licence authorising an activity that would otherwise be prohibited by Part 4 of this Order, for at least four years from the end of the calendar year in which the authorised act took place;
b
in any other case, for at least three years from the end of the calendar year in which the authorised act took place
or for such longer period as may be specified in the licence or authorisation referred to in paragraph (1).
4
The documents and records to be kept in accordance with F12Article 22(8) (records of exportation and transfer of listed items within the customs territory) of the dual-use Regulation are the registers or records referred to in paragraph (2)(a) to (i).
Registration and record keeping – information security items30
1
Not later than 30 days after the first exportation or transfer of information security items not specified in Schedule 5 to this Order from the United Kingdom under the authority of the F67Union General Export Authorisation by any person, that person shall (in addition to any notice given under article 28(1)) give to the Secretary of State in relation to those goods or that software or technology written notice of such of the information specified in Schedule 5 to this Order as is in their possession and such other of that information as they can reasonably be expected to obtain within that time.
2
A person who has given to the Secretary of State written notice of information under paragraph (1) shall, not later than 30 days after any change in that information, give to the Secretary of State written notice of the changed information.
3
A person who exports or transfers information security items not specified in Annex IV to the dual-use Regulation to a destination within the customs territory shall maintain registers or records in relation to each such exportation or transfer that contain such of the information specified in Schedule 5 to this Order as they can reasonably be expected to obtain and such other of that information as comes into their possession.
4
The registers or records referred to in paragraph (3) shall be kept for at least three years from the end of the calendar year in which the exportation or transfer took place.
Inspection of records31
1
A person (“a relevant person”) who is required under article 29 or 30 of this Order or F13under Article 20 (record-keeping) or 22(8) (records of exportation and transfer of listed items within the customs territory) of the dual-use Regulation to keep registers, records or documents (“compulsory records”) shall permit those compulsory records to be inspected and copied by a person authorised by the Secretary of State or the Commissioners.
2
A person authorised by the Secretary of State or the Commissioners who produces, if required to do so, a duly authenticated document showing their authority, shall have the right at any reasonable hour to enter for the purpose of paragraph (1)—
a
in the case of compulsory records required to be kept under article 29 or 30 of this Order, the premises the address of which has been most recently notified to the Secretary of State under article 28 in relation to the records; or
b
in the case of compulsory records required to be kept F14under Article 20 or 22(8) of the dual-use Regulation, the premises the address of which has been most recently notified to the Secretary of State under article 28 in relation to the records or, if none, such other premises the address of which has been notified for this purpose.
3
Where a relevant person keeps compulsory records in a form which is not legible, the relevant person shall at the request of a person authorised by the Secretary of State or the Commissioners reproduce the relevant records in a legible form.
Amendment, suspension and revocation of licences32
1
The Secretary of State may by notice—
a
amend, suspend or revoke a licence granted by the Secretary of State;
b
suspend or revoke a general licence granted by the Secretary of State as it applies to a particular licence user.
2
A notice by the Secretary of State under paragraph (1), F15under Article 13(1) (suspension, revocation, etc. of export authorisations) or (4) (suspension, revocation, etc. of authorisations for brokering services) of the dual-use Regulation or under Article 9(4) (suspension, revocation, etc. of authorisations) of the torture Regulation shall not take effect until—
a
in the case of a notice affecting all users of a general licence, it has been published in a manner appearing to the Secretary of State to be suitable for securing that the notice is seen by persons likely to be affected by it;
b
in any other case, it has been served on the holder of the licence or on the licence user affected.
Licence refusals, etc. and appeals33
1
In the event that the Secretary of State decides not to grant a licence to any person who has applied for one, the applicant shall be provided with a written notification setting out the reason or reasons for the decision.
2
In the event that the Secretary of State decides to suspend a licence other than a general licence, or to suspend a general licence as it applies to a particular licence user, the licence holder or licence user shall be provided with a written notification setting out the terms of the suspension and the reason or reasons for the decision.
3
In the event that the Secretary of State decides to revoke a licence other than a general licence, or to revoke a general licence as it applies to a particular licence user, the licence holder or licence user shall be provided with a written notification setting out the reason or reasons for the decision.
4
In the event that the Secretary of State decides to amend a licence other than a general licence, and does not do so at the request of the licence holder, the licence holder shall be provided with a written notification setting out the reason or reasons for the decision.
5
Any person who has a right under any of paragraphs (1) to (4) to a written notification in respect of a decision made by the Secretary of State shall have 28 days beginning with the date of the written notification in which to submit an appeal against the decision in writing to the Secretary of State, Export Control Organisation, F24Department for Business, Innovation and Skills.
6
Any appeal submitted under paragraph (5) shall specify the grounds on which that appeal is made and may provide further information or arguments in support of the appeal.
7
Pending determination of any appeal submitted under paragraph (5), any decision taken by the Secretary of State shall continue to have effect.
F78Certificates: refusals, etc. and appeals33A
1
If the Secretary of State decides not to grant a certificate to an applicant, that person must be provided with a written notification setting out the reason for the decision.
2
If the Secretary of State decides to suspend, revoke or amend a certificate, the certificate holder must be provided with a written notification setting out the reason for the decision.
3
A person who has a right under paragraph (1) or (2) to a written notification may within 28 days beginning with the date of the written notification submit an appeal against the decision by notice in writing to the Secretary of State, Export Control Organisation, Department for Business, Innovation and Skills.
4
A notice of appeal must specify the grounds on which it is made and may provide further information or arguments in support of the appeal.
5
Pending determination of an appeal the Secretary of State’s decision continues to have effect.
PART 6OFFENCES, ENFORCEMENT AND PENALTIES
Offences relating to prohibitions in Parts 2, 3 and 434
1
Subject to paragraphs (2) and (7), a person who contravenes a prohibition in Part 2 or 4 of this Order commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
2
A person who—
a
did not know, and had no reason to suppose, that the goods referred to in article 20 were destined for an embargoed destination; and
b
is able to show the matters stated in sub-paragraph (a)
shall not be guilty of an offence under paragraph (1) by reason of a contravention of the prohibition in article 20.
3
A person who contravenes a prohibition in Part 2 or 3 of this Order that is engaged because the person—
a
has been informed;
b
is aware; or
c
has grounds for suspecting
that goods, software or technology are or may be intended, in their entirety or in part, for WMD purposes commits an offence and may be arrested.
4
A person guilty of an offence under paragraph (3) shall be liable—
a
on summary conviction—
i
in England and Wales or Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both;
ii
in Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding six months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.
5
Subject to paragraph (7), a person knowingly concerned in activity prohibited by Part 2, 3 or 4 of this Order with intent to evade the relevant prohibition commits an offence and may be arrested.
6
A person guilty of an offence under paragraph (5) shall be liable—
a
on summary conviction—
i
in England and Wales or Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both;
ii
in Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding six months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding ten years, or to both.
7
Paragraphs (1) and (5) do not create offences related to prohibitions on the exportation of goods (as to which see CEMA).
8
In paragraphs (4)(a)(i) and (6)(a)(i) as they apply to England and Wales in the case of an offence committed before section 154(1) of the Criminal Justice Act 2003 M17 comes into force, for “twelve months” substitute “six months”.
Offences relating to prohibitions and restrictions in the dual-use Regulation35
1
Subject to paragraph (8), a person who contravenes a prohibition or restriction in Article 3(1) (controls on listed goods), 4(2) (military end-use control), 4(3) (end-use control relating to use in items exported or transferred without authorisation) or F1722(1) (exportation or transfer of sensitive items within the customs territory) of the dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
2
A person who—
a
contravenes a prohibition or restriction in Article 4(1) (WMD purposes end-use control) F16or Article 5(1) (brokering services) of the dual-use Regulation; or
b
fails to comply with the requirement in Article 4(4) (requirement to notify competent authority in the case of awareness of end-use for F3certain military or WMD purposes) of the dual-use Regulation
commits an offence and may be arrested.
3
A person guilty of an offence under paragraph (2) shall be liable—
a
on summary conviction—
i
in England and Wales or Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both;
ii
in Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding six months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.
4
Subject to paragraph (8), a person knowingly concerned in an activity prohibited or restricted by Article 3(1), 4(1), 4(2), 4(3) F18, 5(1) or 22(1) of the dual-use Regulation with intent to evade the relevant prohibition or restriction commits an offence and may be arrested.
5
A person guilty of an offence under paragraph (4) shall be liable—
a
on summary conviction—
i
in England and Wales or Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both;
ii
in Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding six months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding ten years, or to both.
6
A person who fails to comply with F19Article 9(2) (provision of relevant information for export authorisation applications) or 10(2) (provision of relevant information for authorisation applications for brokering services) of the dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale and any licence which may have been granted in connection with the application shall be void as from the time it was granted.
F207
A person who fails to comply with Article 20 (record-keeping), 22(8) (records of exportation and transfer of listed items within the customs territory) or 22(10) (requirement in relation to commercial documents for exportation and transfer of listed items within the customs territory) of the dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
8
Paragraphs (1) and (4) do not create offences related to prohibitions or restrictions on the exportation of goods from the United Kingdom (as to which see CEMA).
9
In paragraphs (3)(a)(i) and (5)(a)(i) as they apply to England and Wales in the case of an offence committed before section 154(1) of the Criminal Justice Act 2003 comes into force, for “twelve months” substitute “
six months
”
.
Offences relating to prohibitions and restrictions in the torture Regulation36
1
A person who contravenes a prohibition or restriction in Article 3(1) (export prohibition) of the torture Regulation in respect of the supply of technical assistance as defined in the torture regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
2
A person knowingly concerned in the provision of technical assistance as defined in the torture Regulation with intent to evade the prohibition on the provision of technical assistance in article 3(1) of the torture Regulation commits an offence and may be arrested.
3
A person guilty of an offence under paragraph (2) shall be liable—
a
on summary conviction—
i
in England and Wales or Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both;
ii
in Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding six months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding ten years, or to both.
4
A person who contravenes a prohibition or restriction in Article 4(1) (import prohibition) of the torture Regulation in respect of the acceptance of technical assistance as defined in the torture Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
5
A person knowingly concerned in the acceptance of technical assistance as defined in the torture Regulation with intent to evade the prohibition on the acceptance of technical assistance in article 4(1) of the torture Regulation commits an offence and may be arrested.
6
A person guilty of an offence under paragraph (5) shall be liable—
a
on summary conviction—
i
in England and Wales or Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding three months, or to both; or
ii
in Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.
7
A person who fails to comply with Article 8(2) (provision of relevant information for licence applications) of the torture Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale and any licence which may have been granted in connection with the application shall be void as from the time it was granted.
8
In paragraph (3)(a)(i) as it applies to England and Wales in the case of an offence committed before section 154(1) of the Criminal Justice Act 2003 comes into force, for “twelve months” substitute “
six months
”
.
F69Misleading applications for licences or certificates37
1
Where for the purpose of obtaining a licence F68or certificate a person (“the applicant”) either—
a
makes a statement or furnishes a document or information which to the applicant's knowledge is false in a material particular; or
b
recklessly makes a statement or furnishes a document or information which is false in a material particular
the applicant commits an offence and any licence F68or certificate that has been granted in connection with the application for which the false statement was made or the false document or information was furnished is void as from the time it was granted.
2
A person guilty of an offence under paragraph (1) shall be liable—
a
on summary conviction—
i
in England and Wales or Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding three months, or to both;
ii
in Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.
Failure to comply with licence conditions38
1
A person who, having acted under the authority of a licence or the F70Union General Export Authorisation, fails to comply with—
a
any of the requirements or conditions to which the licence or the F70Union General Export Authorisation is subject; or
b
any obligation under article 28, 29, 30 or 31
commits an offence unless paragraph (2) applies.
2
This paragraph applies if—
a
the licence was modified after the completion of the act authorised; and
b
the alleged failure to comply would not have been a failure had the licence not been so modified.
3
A person guilty of an offence under paragraph (1) shall be liable—
a
on summary conviction—
i
in England and Wales or Northern Ireland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding three months, or to both;
ii
in Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both; or
b
on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.
Customs powers to require evidence of destination39
1
This article applies where a person (“the exporter”) has exported goods and required a licence to do so.
2
The Commissioners may require the exporter to provide within such time as the Commissioners may determine evidence of the destination to which the goods in question were delivered.
3
A person who fails to comply with a requirement imposed by the Commissioners under paragraph (2) commits an offence and shall be liable on summary conviction to a fine not exceeding level 4 on the standard scale.
Customs powers relating to dual-use goods40
1
Goods in relation to which a licence has not been granted and which are brought to any place in the United Kingdom for the purpose of being exported may be detained by the proper officer of Her Majesty's Revenue and Customs as if they were liable to forfeiture, if and so long as that officer has reason to believe that a competent authority (after, if necessary, having had the impending exportation brought to its attention) might inform the exporter—
a
that the goods are or may be intended, in their entirety or in part, for WMD purposes; or
b
as provided in Article 4(2) (military end-use control) or 4(3) (end-use control relating to use in items exported or transferred without authorisation) of the dual-use Regulation.
2
Any goods listed in Annex I to the dual-use Regulation in relation to which a licence has been granted which are brought to any place in the United Kingdom for the purpose of being exported to a destination outside the customs territory may be detained by a proper officer of Her Majesty's Revenue and Customs for a period of ten working days as if they were liable to forfeiture where that officer or the Secretary of State has grounds for suspicion that—
a
relevant information was not taken into account when the licence was granted; or
b
circumstances have materially changed since the issue of the licence,
provided that the period shall be extended to 30 working days where the Secretary of State certifies that a request for such an extension in accordance with F21Article 16(4) (customs procedures) of the dual-use Regulation has been received from the member State which granted the licence.
3
In this article, “working day” means a day that is not a Saturday or Sunday, Christmas Day, Good Friday or any day that is a bank holiday under the Banking and Financial Dealings Act 1971 M18 in the part of the United Kingdom where the goods referred to in paragraph (2) have been detained.
Application of CEMA in respect of offences41
1
Where the Commissioners for Her Majesty's Revenue and Customs investigate or propose to investigate any matter with a view to determining—
a
whether there are grounds for believing that an offence has been committed by reason of a contravention of—
i
ii
article 31 of this Order so far as it relates to the powers of the Commissioners;
iii
the dual-use Regulation; or
iv
the torture Regulation; or
b
whether a person should be prosecuted for such an offence,
the matter shall be treated as an assigned matter.
2
Section 77A of CEMA (provision as to information powers) M19 shall apply to a person concerned in an activity which, if not authorised by a licence, would contravene—
b
the dual-use Regulation; or
c
the torture Regulation,
and accordingly references in section 77A of CEMA to exportation shall be read as including any such activity.
3
Section 138 of CEMA (provision as to arrest of persons) M20 shall apply to the arrest of a person for an offence under this Order as it applies to the arrest of a person for an offence under the customs and excise Acts.
4
Sections 145 M21, 146 M22, 146A M23, 147 M24, 148, 150 M25, 151 M26, 152 M27, 154 M28, and 155 M29 of CEMA (proceedings for offences, mitigation of penalties, proof and other matters) shall apply in relation to offences and penalties under this Order as they apply in relation to offences and penalties under the customs and excise Acts.
5
For the purposes of the application of section 145 of CEMA to this Order, only offences related to contraventions of the provisions referred to in paragraph (1)(a) are offences under the customs and excise Acts.
Increase of maximum penalty for prohibited exportation provided for in CEMA42
In the case of an offence committed in connection with a prohibition or restriction on exportation in Part 2 of this Order, the dual-use Regulation or the torture Regulation, sections 68(3)(b) and 170(3)(b) M30 of CEMA shall have effect as if for the words “7 years” there were substituted the words “
10 years
”
.
PART 7GENERAL
Use and disclosure of information43
1
This article applies to information which is held from time to time by the Secretary of State or the Commissioners in connection with the operation of controls imposed by
a
this Order; or
b
any directly applicable F47EU provision on the export of goods, the transfer of software or technology, participation in the provision of technical assistance, or activities which facilitate, or are otherwise connected with, the acquisition, disposal or movement of goods.
2
Information to which this article applies may be used for the purposes of, or for any purposes connected with—
a
the exercise of functions in relation to any control imposed by this Order or by any other order made under the Export Control Act 2002;
b
giving effect to any F47EU provision or other international obligation of the United Kingdom;
c
facilitating the exercise by an authority or international organisation outside the United Kingdom of functions which correspond to functions conferred by or in connection with any activity subject to control by this Order or any other order made under the Export Control Act 2002,
and may be disclosed to any person for use for these purposes.
3
No disclosure of information shall be made by virtue of this article unless the making of the disclosure is proportionate to the object of the disclosure.
4
For the purposes of this article, “information” is any information that relates to a particular business or other activity carried on by a person.
5
Nothing in this article shall affect any power to disclose information that exists apart from this article.
6
The information that may be disclosed by virtue of this article includes information obtained before this Order came into force.
Service of notices44
Any notice to be given to the Secretary of State by a person under this Order may be given by an agent of that person; and shall be sent by post or delivered to the Secretary of State at the Export Control Organisation, F25Department for Business, Innovation and Skills.
Revocations and transitional arrangements45
1
Subject to paragraphs (2) and (3), the legislation specified in column (1) of Schedule 6 is revoked to the extent specified in column (3) of that Schedule.
2
This Order does not apply to—
a
any export of goods, transfer of technology or participation in the provision of technical assistance; or
b
any activity which facilitates, or is otherwise connected with, the acquisition, disposal or movement of goods
that takes place in accordance with the terms of a licence granted before 6th April 2009 under the legislation referred to in paragraph (1), the dual-use Regulation or the torture Regulation or to any such licence.
3
To the extent that, owing to paragraph (2), this Order does not apply, the legislation referred to in paragraph (1) continues to apply.
F79Review of the implementation of the defence-related products Directive46
1
The Secretary of State must from time to time—
a
carry out a review of articles 3, 17, 26, 28, 28A, 29, 31, 33A, 34, 37, 38 and 41 of this Order to the extent that those provisions implement the defence-related products Directive,
b
set out the conclusions of the review in a report, and
c
publish the report.
2
In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the defence-related products Directive is implemented in other member States.
3
The report must in particular—
a
set out the objectives intended to be achieved by the regulatory system established by the articles referred to in sub-paragraph 1(a) to the extent that those provisions implement the defence-related products Directive;
b
assess the extent to which those objectives are achieved; and
c
assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.
4
The first report under this regulation must be published before the end of the period of five years beginning with 30th June 2012.
5
Reports under this regulation are afterwards to be published at intervals not exceeding five years.
F38SCHEDULE 1Goods Subject to Stricter Export and Trade Controls
Sch. 1 substituted (31.8.2010) by The Export Control (Amendment) (No. 2) Order 2010 (S.I. 2010/2007), arts. 1(1), 2, Sch.
Note: In this Schedule, defined terms are printed in quotation marks.
Definitions | |||||||
In this Schedule: | |||||||
“cluster munitions” means conventional munitions designed to disperse or release “explosive submunitions” and includes those “explosive submunitions”, but does not include: | |||||||
a. | munitions or submunitions designed to dispense flares, smoke, pyrotechnics or chaff; or munitions designed exclusively for an air defence role, | ||||||
b. | munitions or submunitions designed to produce electrical or electronic effects, | ||||||
c. | munitions that have all of the following characteristics: | ||||||
(i) | each munition contains fewer than ten “explosive submunitions”, | ||||||
(ii) | each “explosive submunition” weighs more than four kilograms, | ||||||
(iii) | each “explosive submunition” is designed to detect and engage a single target object, | ||||||
(iv) | each “explosive submunition” is equipped with an electronic “self-destruction mechanism”, | ||||||
(v) | each “explosive submunition” is equipped with an electronic “self-deactivating feature”; | ||||||
“explosive bomblets” means conventional munitions, weighing less than 20 kilograms each, which are not self propelled and which, in order to perform their task, are designed to be dispersed or released by a dispenser affixed to an aircraft, and are designed to function by detonating an explosive charge prior to, on or after impact; | |||||||
“explosive submunitions” means conventional munitions, weighing less than 20 kilograms each, which, in order to perform their task, are dispersed or released by a cluster munition and are designed to function by detonating an explosive charge prior to, on or after impact; | |||||||
“ordinary handcuffs” means handcuffs which have an overall dimension including chain, measured from the outer edge of one cuff to the outer edge of the other cuff, between 150 and 240mm when locked and have not been modified to cause physical pain or suffering; | |||||||
“production” has the same meaning as in Schedule 2; | |||||||
“self-deactivating feature” means one which automatically renders a munition inoperable by means of the irreversible exhaustion of a component (eg, a battery) that is essential to the operation of the munition; | |||||||
“self-destruction mechanism” means an incorporated, automatically-functioning mechanism which is in addition to the primary initiating mechanism of a munition and which secures the destruction of the munition into which it is incorporated. | |||||||
PART 1Category A Goods
Certain Security and Para-Military Police Equipment | |||
1. | Goods designed for the execution of human beings, as follows— | ||
a. | Gallows and guillotines; | ||
b. | Electric chairs; | ||
c. | Air-tight vaults made of eg, steel and glass, designed for the purpose of execution of human beings by the administration of lethal gas or substance; | ||
d. | Automatic drug injection systems designed for the purpose of execution of human beings by the administration of a lethal chemical substance. | ||
2. | Restraints specially designed for restraining human beings, as follows— | ||
a. | Leg-irons, gangchains, shackles and individual cuffs or shackle bracelets except those that are “ordinary handcuffs”; | ||
b. | Restraint chairs unless designed for disabled persons; | ||
c. | Shackle boards; | ||
d. | Thumb-cuffs and thumb-screws, including serrated thumb-cuffs; | ||
e. | Electric shock belts. | ||
3. | Portable devices designed or modified for the purpose of riot control or self-protection by the administration of an electric shock (eg, electric-shock batons, electric-shock shields, stun-guns and electric-shock dart-guns). | ||
4. | Components specially designed or modified for the devices in paragraph 3. | ||
5. | Hand-held, spiked batons. | ||
Cluster munitions, explosive submunitions and explosive bomblets | |||
6. | a. | “Cluster munitions”; | |
b. | “Explosive bomblets” which are specifically designed to be dispersed or released from dispensers affixed to aircraft. | ||
7. | “Explosive submunitions” | ||
8. | Components specially designed for “cluster munitions”, “explosive submunitions” or “explosive bomblets”. | ||
PART 2Category B Goods
Words in Sch. 1 para. 10(a) substituted (10.8.2012) by The Export Control (Amendment) (No. 2) Order 2012 (S.I. 2012/1910), arts. 1, 2, Sch. para. 14(a)
Words in Sch. 1 para. 10(aa) substituted (10.8.2012) by The Export Control (Amendment) (No. 2) Order 2012 (S.I. 2012/1910), arts. 1, 2, Sch. para. 14(b)
Words in Sch. 1 para. 12 substituted (10.8.2012) by The Export Control (Amendment) (No. 2) Order 2012 (S.I. 2012/1910), arts. 1, 2, Sch. para. 14(c)
Words in Sch. 1 para. 14 substituted (10.8.2012) by The Export Control (Amendment) (No. 2) Order 2012 (S.I. 2012/1910), arts. 1, 2, Sch. para. 14(d)
Small arms and light weapons within ML1 and ML2 | |||||
9. | Goods specified in entry ML1.a, ML1.b, ML1.c or ML2.a in Schedule 2 that are designed to be carried, operated and fired by an individual or by three or fewer individuals acting together, other than mortars with a calibre of 100mm or more. | ||||
Accessories and ammunition for small arms and light weapons within ML1 and ML2 | |||||
10. | The following goods— | ||||
a. | accessories specified in entry ML1.d or ML2.c. in Schedule 2 that are capable of being used in connection with weapons falling within F71paragraph 9; | ||||
aa. | weapon sights specified in entry ML5.a in Schedule 2 that are designed for use with weapons falling within F72paragraph 9; and | ||||
b. | ammunition that is capable of being fired or launched by weapons falling within paragraph 9. | ||||
Light weapons within ML4 | |||||
11. | Equipment specified in entry ML4.b in Schedule 2 that is— | ||||
a. | specially designed for firing or launching rockets, grenades, missiles or other explosive devices; and | ||||
b. | designed to be carried, operated and fired by an individual or by three or fewer individuals acting together. | ||||
Ammunition for light weapons within ML4 | |||||
12. | Rockets, grenades, missiles and other explosive devices that are— | ||||
a. | specified in entry ML4 in Schedule 2; and | ||||
b. | capable of being fired or launched from equipment falling within F73paragraph 11. | ||||
Hand Grenades | |||||
13. | Grenades specified in entry ML4 in Schedule 2 that are designed to be thrown. | ||||
MANPADS, missiles for them, associated equipment and their specially designed components | |||||
14. | To the extent they do not fall within F74paragraphs 11 or 12, the following goods— | ||||
a. | Man-portable air defence systems (MANPADS), as follows: | ||||
(i) | surface-to-air missile systems designed to be man-portable and operated and fired by a single individual; | ||||
(ii) | surface-to-air missile systems designed to be operated and fired by more than one individual acting as a crew and portable by several individuals; | ||||
b. | missiles for MANPADS; | ||||
c. | “production” equipment specially designed for MANPADS; | ||||
d. | Field test equipment specially designed for MANPADS; | ||||
e. | specialised training equipment and simulators for MANPADS. | ||||
Long-range missiles | |||||
15. | Missiles capable of a range of 300km or more that fall within Schedule 2. | ||||
Anti-vehicle landmines | |||||
16. | Land mines designed to be placed under, on or near the ground or other surface area and to be exploded by the presence, proximity or contact of a vehicle. | ||||
Components for goods within this Part | |||||
17. | Components specially designed for goods falling within any of paragraphs 9 to 16. | ||||
F81SCHEDULE 2MILITARY GOODS, SOFTWARE AND TECHNOLOGY
Sch. 2 substituted (20.3.2013) by The Export Control (Amendment) Order 2013 (S.I. 2013/428), arts. 1, 2(2), Sch.
Note: In this Schedule, defined terms are printed in quotation marks.
Definitions | |||||||||||||
In this Schedule: | |||||||||||||
“adapted for use in war” means any modification or selection (e.g. altering purity, shelf life, virulence, dissemination characteristics, or resistance to ultra violet (UV) radiation) designed to increase the effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment; “biocatalyst” means enzymes for specific chemical or biochemical reactions and other biological compounds which bind to and accelerate the degradation of chemical warfare (CW) agents; “biopolymer” means the following biological macromolecules: | |||||||||||||
a. | enzymes for specific chemical or biochemical reactions; | ||||||||||||
b. | ‘monoclonal antibodies’, ‘polyclonal antibodies’ or ‘anti-idiotypic antibodies’; | ||||||||||||
c. | specially designed or specially processed ‘receptors’; | ||||||||||||
Technical Note: ‘Monoclonal antibodies’ means proteins which bind to a specific antigenic site and are produced by a single clone of cells; ‘Polyclonal antibodies’ means a mixture of proteins which bind to a specific antigen and are produced by more than one clone of cells; ‘Anti-idiotypic antibodies’ means antibodies which bind to the specific antigen binding sites of other antibodies; ‘Receptors’ means biological macromolecular structures capable of binding ligands, the binding of which affects physiological functions. | |||||||||||||
“development” means all stages prior to “production” (e.g. design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into goods or “software”, configuration design, integration design, layouts); “end-effectors” means grippers, active tooling units (i.e. devices for applying motive power, process energy or sensing to the workpiece) and any other tooling that is attached to the baseplate on the end of a “robot” manipulator arm; “energetic materials” means substances or mixtures that react chemically to release energy required for their intended application; “explosives”, “pyrotechnics” and “propellants” are sub-classes of energetic materials; “explosive signatures” are features which are characteristic of explosives in any form prior to their initiation, as detected using technology including, but not limited to, ion mobility spectrometry, chemiluminescence, fluorescence, nuclear, acoustic or electromagnetic techniques; “explosives” means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate; “expression vectors” means carriers (e.g. plasmid or virus) used to introduce genetic material into host cells; “first generation image intensifier tubes” means electrostatically focused tubes, employing input and output fibre optic or glass face plates, multi-alkali photocathodes (S-20 or S-25), but not microchannel plate amplifiers; “fuel cell” means an electrochemical device that converts chemical energy directly into Direct Current (DC) electricity by consuming fuel from an external source; “improvised explosive devices” means devices fabricated or intended to be placed in an improvised manner incorporating destructive, lethal, noxious, “pyrotechnic” or incendiary chemicals designed to destroy, disfigure or harass; they may incorporate military stores, but are normally devised from non-military components; “laser” means an assembly of components which produce both spatially and temporally coherent light which is amplified by stimulated emission of radiation; “lighter-than-air vehicles” means balloons and airships that rely on hot air or on lighter-than-air gases such as helium or hydrogen for their lift; “nuclear reactor” means the goods within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core; “production” means all production stages (e.g. product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance); “propellants” means substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work; “pyrotechnic(s)” means mixtures of solid or liquid fuels and oxidisers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation; pyrophorics are a subclass of “pyrotechnics”, which contain no oxidisers but ignite spontaneously on contact with air; “required” as applied to “technology”, refers to only that portion of “technology” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions. Such “required” “technology” may be shared by different goods and the intended use of “technology” is irrelevant to whether it is “required”; “riot control agents” means substances which under the expected conditions of use for riot control purposes, produce rapidly in humans sensory irritation or disabling physical effects which disappear within a short time following termination of exposure; | |||||||||||||
Technical Note: | |||||||||||||
Tear gases are a subset of “riot control agents”. | |||||||||||||
“robot” means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use sensors, and which: | |||||||||||||
a. | is multifunctional; | ||||||||||||
b. | is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space; | ||||||||||||
c. | incorporates three or more closed or open loop servo-devices which may include stepping motors; and | ||||||||||||
d. | has “user-accessible programmability” by means of the teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e. without mechanical intervention; | ||||||||||||
Note: | This definition does not include: | ||||||||||||
a. | manipulation mechanisms which are only manually/teleoperator controllable; | ||||||||||||
b. | fixed sequence manipulation mechanisms, which are automated moving devices, operating according to “programmes” where the motions are limited by fixed stops, such as pins or cams and the sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means; | ||||||||||||
c. | mechanically controlled variable sequence manipulation mechanisms, which are automated moving devices, operating according to “programmes” where the motions are limited by fixed, but adjustable stops, such as pins or cams and the sequence of motions and the selection of paths or angles are variable within the fixed programme pattern; variations or modifications of the programme pattern (such as changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations; | ||||||||||||
d. | non-servo-controlled variable sequence manipulation mechanisms, which are automated moving devices, operating according to mechanically fixed programmed motions; the “programme” is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops; | ||||||||||||
e. | stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval. | ||||||||||||
“special gun-mounting” means any fixture designed to mount a gun; “superconductive” in relation to materials (e.g. metals, alloys or compounds) means those which can lose all electrical resistance (i.e. which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating); the superconductive state of a material is individually characterised by a ‘critical temperature’, a critical magnetic field, which is a function of temperature, and a critical current density which is a function of both magnetic field and temperature; | |||||||||||||
Technical Note: | |||||||||||||
‘Critical temperature’ (also known as the transition temperature) of a specific “superconductive” material means the temperature at which the specific material loses all resistance to the flow of direct electrical current. | |||||||||||||
“technology” means specific ‘information’ necessary for the “development”; “production” or “use” of goods or “software”; Technical Note: ‘Information’ may take forms including, not limited to: blueprints, plans, diagrams, models, formulae, tables, ‘source code’, engineering designs and specifications, manuals and instructions written or recorded on other media or devices (e.g. disk, tape, read-only memories); ‘source code’ (or source language) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form. | |||||||||||||
“Unmanned Aerial Vehicle” (“UAV”) means any “aircraft” capable of initiating flight and sustaining controlled flight and navigation without any human presence on board; | |||||||||||||
“use” means operation, installation (e.g. on-site installation), maintenance, checking, repair, overhaul and refurbishing; | |||||||||||||
“user-accessible programmability” means the facility allowing a user to insert, modify or replace “programmes” by means other than: | |||||||||||||
a. | a physical change in writing or interconnections; or | ||||||||||||
b. | the setting of function controls including entry of parameters. | ||||||||||||
F39SCHEDULE 3UK CONTROLLED DUAL-USE GOODS, SOFTWARE AND TECHNOLOGY
Sch. 3 substituted (31.8.2010) by The Export Control (Amendment) (No. 2) Order 2010 (S.I. 2010/2007), arts. 1(1), 2, Sch.
Words in Sch. 3 substituted (10.8.2012) by The Export Control (Amendment) (No. 2) Order 2012 (S.I. 2012/1910), arts. 1, 2, Sch. para. 16
Note: In this Schedule, defined terms are printed in quotation marks.
Definitions | |||
In this Schedule: | |||
“development” means all stages prior to “production” (eg, design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into goods or “software”, configuration design, integration design, layouts); “energetic materials” means substances or mixtures that react chemically to release energy required for their intended application; “explosives”, “pyrotechnics” and “propellants” are sub-classes of energetic materials; “explosive signatures” are features which are characteristic of explosives in any form prior to their initiation, as detected using technology including, but not limited to, ion mobility spectrometry, chemiluminescence, fluorescence, nuclear, acoustic or electromagnetic techniques; “explosives” means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate; “improvised explosive devices” means devices fabricated or intended to be placed in an improvised manner incorporating destructive, lethal, noxious, “pyrotechnic” or incendiary chemicals designed to destroy, disfigure or harass; they may incorporate military stores, but are normally devised from non-military components; “lighter-than-air vehicles” means balloons and airships that rely on hot air or on lighter-than-air gases such as helium or hydrogen for their lift; “previously separated” in relation to a controlled isotope in any form, means after the application of any process intended to increase the concentration of the controlled isotope; “production” means all production stages (eg, product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance); “propellants” means substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work; “pyrotechnic(s)” means mixtures of solid or liquid fuels and oxidisers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation; pyrophorics are a subclass of pyrotechnics, which contain no oxidisers but ignite spontaneously on contact with air; “required” as applied to “technology”, refers to only that portion of “technology” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions. Such “required” “technology” may be shared by different goods and the intended use of “technology” is irrelevant to whether it is “required”; “technology” means specific ‘information’ necessary for the “development”, “production” or “use” of goods or “software”; | |||
Technical Note: | |||
‘Information’ may take forms including, not limited to: blueprints, plans, diagrams, models, formulae, tables, ‘source code’, engineering designs and specifications, manuals and instructions written or recorded on other media or devices (eg, disk, tape, read-only memories); | |||
‘source code’ (or source language) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form. | |||
“use” means operation, installation (eg, on-site installation), maintenance, checking, repair, overhaul and refurbishing; “vaccines” are medical products in a pharmaceutical formulation licensed by, or having marketing or clinical trial authorisation from, the regulatory authorities of either the country of manufacture or of use, which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered. | |||
Explosive-related goods and technology | ||||
PL8001 | The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination outside all of the following: “the customs territory”, Australia, New Zealand, Canada, Norway, Switzerland, United States of America and Japan: | |||
a. | Equipment and devices, other than those in Schedule 2 or in 1A004.d., 1A005, 1A006, 1A007, 1A008, 3A229, 3A232 or 5A001.h. in Annex I to “the dual-use Regulation”, for detection of or use with “explosives” or for dealing with or protecting against “improvised explosive devices”, as follows, and specially designed components therefor: | |||
1. | Electronic equipment designed to detect “explosives” or “explosive signatures”; | |||
N.B.: | See also 1A004.d. in Annex I to “the dual-use Regulation”. | |||
Note: | PL8001.a.1. does not control equipment requiring operator judgment to establish the presence of “explosives” or “explosive signatures”. | |||
2. | Electronic jamming equipment specially designed to prevent the detonation by radio remote control of “improvised explosive devices”; | |||
N.B.: | See also 5A001.h. in Annex I to “the dual-use Regulation”. | |||
3. | Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, (eg, firing sets, detonators and igniters); | |||
N.B.: | See also 1A007, 1A008, 3A229 and 3A232 in Annex I to “the dual-use Regulation”. | |||
Note: | PL8001.a.3. does not control: | |||
a. | Equipment and devices specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the initiation or creation of explosions; | |||
b. | Pressure controlled equipment specially designed for down-hole oilfield equipment applications and which are incapable of use at atmospheric pressure; and | |||
c. | Detonating cord. | |||
4. | Equipment and devices, including, but not limited to: shields and helmets, specially designed for the disposal of “improvised explosive devices”; | |||
N.B.: | See also 1A005, 1A006 and 5A001.h. in Annex I to “the dual-use Regulation”. | |||
Note: | PL8001.a.4. does not control bomb blankets, mechanical handling equipment for manoeuvring or exposing “improvised explosive devices”, containers designed for holding “improvised explosive devices” or objects suspected of being such devices or other equipment specially designed to temporarily protect against “improvised explosive devices” or objects suspected of being such devices. | |||
b. | Linear cutting explosive charges other than those listed at entry 1A008 of Annex I to “the dual-use Regulation”; | |||
c. | “Technology” “required” for the “use” of goods in PL8001.a. and PL8001.b.” | |||
N.B. | See article 18 of this Order for exceptions from the controls on “technology”. | |||
Materials, chemicals, micro-organisms and toxins | |||||
PL9002 | The export of the following goods is prohibited to any destination: | ||||
“Energetic materials”, as follows, and mixtures containing one or more thereof: | |||||
a. | Nitrocellulose (containing more than 12.5% nitrogen); | ||||
b. | Nitroglycerol; | ||||
c. | Pentaerythritol tetranitrate (PETN); | ||||
d. | Picryl chloride; | ||||
e. | Trinitrophenylmethylnitramine (tetryl); | ||||
f. | 2,4,6-Trinitrotoluene (TNT). | ||||
Note: | PL9002 does not control single, double and triple base “propellants”. | ||||
PL9003 | The export of the following goods is prohibited to any destination: | ||||
“Vaccines” for protection against: | |||||
a. | bacillus anthracis; | ||||
b. | botulinum toxin. | ||||
PL9004 | The export of the following goods is prohibited to any destination: | ||||
“Previously separated” americium-241, -242m or -243 in any form. | |||||
Note: | PL9004 does not control goods with an americium content of 10 grams or less. | ||||
Telecommunications and related technology | |||||
PL9005 | The export or “transfer by electronic means” of the following goods, or “technology” is prohibited to any destination in Iran: | ||||
a. | Tropospheric scatter communication equipment using analogue or digital modulation techniques and specially designed components therefor; | ||||
b. | “Technology” for the “development”, “production” or “use” of goods specified in PL9005.a. | ||||
N.B. | See article 18 of this Order for exceptions from the controls on “technology”. | ||||
Detection equipment | |||||
PL9006 | The export of ‘electro-statically powered’ equipment for detecting “explosives”, other than detection equipment specified in Schedule 2, PL8001.a.1. or in 1A004.d. in Annex I to “the dual-use Regulation”, is prohibited to any destination in Afghanistan or Iraq. | ||||
Technical note ‘Electro-statically powered’ means using electro-statically generated charge. | |||||
Vessels and related software and technology | |||||
PL9008 | The export or “transfer by electronic means” of the following goods, “software” or “technology” is prohibited to any destination in Iran: | ||||
a. | “Vessels”, inflatable craft and ‘submersible vehicles’, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”: | ||||
1. | Marine “vessels” (surface or underwater), inflatable craft and ‘submersible vehicles’; | ||||
2. | Equipment and components, designed for “vessels”, inflatable craft and ‘submersible vehicles’, as follows: | ||||
a. | Hull and keel structures and components; | ||||
b. | Propulsive engines designed or modified for marine use and specially designed components therefor; | ||||
c. | Marine radar, sonar and speed log equipment, and specially designed components therefor; | ||||
b. | “Software” designed for the “development”, “production” or “use” of goods specified in PL9008.a.. | ||||
c. | “Technology” for the “development”, “production”, or “use” of goods or “software” specified in PL9008.a. or PL9008.b. | ||||
N.B. | See article 18 of this Order for exceptions from the controls on “technology”. | ||||
Technical note: ‘Submersible vehicles’ include manned, unmanned, tethered or untethered vehicles. | |||||
Aircraft and related technology | |||||
PL9009 | The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination in Iran: | ||||
a. | “Aircraft”, “lighter-than-air vehicles” and steerable parachutes, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”: | ||||
1. | “Aircraft”, “lighter-than-air vehicles” and steerable parachutes; | ||||
2. | Equipment and components, designed for “aircraft” and “lighter-than-air vehicles”, as follows: | ||||
a. | Airframe structures and components; | ||||
b. | Aero-engines and auxiliary power units (APU)s and specially designed components therefor; | ||||
c. | Avionics and navigation equipment and specially designed components therefor; | ||||
d. | Landing gear and specially designed components therefor, and aircraft tyres; | ||||
e. | Propellers and rotors; | ||||
f. | Transmissions and gearboxes, and specially designed components therefor; | ||||
g. | Unmanned aerial vehicle (UAV) recovery systems; | ||||
b. | F80This entry is not used; | ||||
c. | “Technology” for the “development”, “production” or “use” of goods specified in PL9009.a. | ||||
N.B. | See article 18 of this Order for exceptions from the controls on “technology”. | ||||
Note: PL9009.c. does not control technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable goods that are necessary for the continuing airworthiness and safe operation of civil “aircraft” | |||||
SCHEDULE 4COUNTRIES AND DESTINATIONS SUBJECT TO STRICTER EXPORT OR TRADE CONTROLS
PART 1EMBARGOED AND NO EXCEPTION FOR TRANSIT
Democratic People's Republic of Korea
Iran
PART 2EMBARGOED AND SUBJECT TO TRANSIT CONTROL FOR MILITARY GOODS
Armenia
Azerbaijan
F50Belarus
Burma (Myanmar)
Democratic Republic of the Congo
F40Eritrea
F22Guinea
Ivory Coast (Côte d'Ivoire)
Lebanon
F45Libya
F52South Sudan
Sudan
F48Syria
F36...
Zimbabwe
PART 3SUBJECT TO TRANSIT CONTROL FOR MILITARY GOODS
Afghanistan
Argentina
Burundi
China (People's Republic other than the Special Administrative Regions)
Iraq
Liberia
Macao Special Administrative Region
Rwanda
Sierra Leone
Somalia
Tanzania
Uganda
PART 4SUBJECT TO TRANSIT CONTROL FOR CATEGORY B GOODS
Albania
F1Angola
F51...
Benin
Bosnia/Herzegovina
Burkina Faso
Cameroon
Cape Verde
Central African Republic
Chad
Colombia
Congo (Brazzaville)
Dubai
East Timor (Timor-Leste)
F41...
Ethiopia
Gambia
Georgia
Ghana
F23...
Guinea Bissau
Haiti
Hong Kong Special Administrative Region
Jamaica
Kenya
Krygyzstan
F46...
Mali
Mauritania
Moldova
Montenegro
Morocco
F2Namibia
Nepal
Niger
Nigeria
Oman
Pakistan
Russia
Senegal
Serbia
Sri Lanka
F82Syria
F49...
Taiwan
Tajikistan
Togo
Trinidad & Tobago
Turkmenistan
Ukraine
F37Uzbekistan
Venezuela
Yemen
SCHEDULE 5INFORMATION SECURITY ITEMS
1
In this Schedule—
“business or academic collaborator”, in relation to an exporter, means a person who is either—
- a
working by way of business in research and development of cryptography or cryptographic goods or software; or
- b
is teaching, or undertaking research as a member of or at a university or institution of higher education into, cryptography or cryptographic goods or software,
and with whom the exporter has previously entered into a collaboration agreement;
- a
“collaboration agreement” means an agreement for the carrying out of work comprising or related to research into the development of cryptography or cryptographic goods or software;
“development” has the same meaning as in Schedule 2;
“intra-group or collaborative end-use” means—
- a
use by the exporter, or a subsidiary undertaking or parent undertaking of the exporter, in that person's own commercial cryptographic goods; or
- b
use by a business or academic collaborator of the exporter in that person's own commercial cryptographic goods in accordance with the terms of a collaboration agreement with the exporter;
- a
“parent undertaking” and “subsidiary undertaking” have the same meanings as in the Companies Act 2006 M31 (see section 1162 of, and Schedule 7 to, that Act);
“production”, “technology” and “use” have the same meanings as in Schedule 2.
2
The information security items specified in this Schedule are the following software and technology—
a
cryptography development software specified in entry 5D002 of Annex I to the dual-use Regulation, other than software having the characteristics, or performing or simulating the functions, of equipment designed or modified to perform cryptanalytic functions;
b
cryptography development technology specified in entry 5E002 of Annex I to the dual-use Regulation, other than technology for the development, production or use of—
i
equipment designed or modified to perform cryptanalytic functions; or
ii
software having the characteristics, or performing or simulating the functions, of equipment designed or modified to perform cryptanalytic functions
but only to the extent that such software or technology is for an intra-group or collaborative end-use.
3
The information specified in this Schedule is—
a
a general description of the goods, software or technology, such as might be contained in a product brochure;
b
descriptions of all relevant encryption algorithms and key management schemes, and descriptions of how they are used by the goods, software or technology (eg, which algorithm is used for authentication, which for confidentiality and which for key exchange); and details (eg, source code) of how they are implemented (eg, how keys are generated and distributed, how key length is governed and how the algorithm and keys are called by the software);
c
details of any measures taken to preclude user modification of the encryption algorithm, key management scheme or key length;
d
details of pre- or post-processing of data, such as compression of plain text or packetisation of encrypted data;
e
details of programming interfaces that can be used to gain access to the cryptographic functionality of the goods, software or technology; and
f
a list of any protocols to which the goods, software or technology adhere.
SCHEDULE 6REVOCATIONS
(1) | (2) | (3) |
|---|---|---|
Order or Regulations revoked | References | Extent of revocation |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) Order 2003 | S.I. 2003/2764 | The whole Order |
The Trade in Goods (Control) Order 2003 | S.I. 2003/2765 | The whole Order |
The Trade in Controlled Goods (Embargoed Destinations) Order 2004 | S.I. 2004/318 | The whole Order |
The Trade in Controlled Goods (Embargoed Destinations) (Amendment) Order 2004 | S.I. 2004/1049 | The whole Order |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) (Amendment) Order 2004 | S.I. 2004/1050 | The whole Order |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) (Amendment No. 2) Order 2004 | S.I. 2004/2561 | The whole Order |
The Export Control (Libya Embargo) Order 2004 | S.I. 2004/2741 | The whole Order |
The Export Control (Iraq and Ivory Coast) Order 2005 | S.I. 2005/232 | In article 1, the definition of “the 2003 Order” Articles 6 and 7 |
The Trade in Goods (Control) (Amendment) Order 2005 | S.I. 2005/443 | The whole Order |
The Trade in Controlled Goods (Embargoed Destinations) (Amendment) Order 2005 | S.I. 2005/445 | The whole Order |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) (Amendment) Order 2005 | S.I. 2005/468 | The whole Order |
The Export Control (Uzbekistan) Order 2005 | S.I. 2005/3257 | In article 1, the definition of “the 2003 Order” Articles 7 and 8 |
The Export Control (Bosnia and Herzegovina) Order 2006 | S.I. 2006/300 | The whole Order |
The Export Control Order 2006 | S.I. 2006/1331 | The whole Order |
The Export Control (Security and Para-military Goods) Order 2006 | S.I. 2006/1696 | The whole Order |
The Technical Assistance Control Regulations 2006 | S.I. 2006/1719 | The whole Regulations |
The Export Control (Amendment) Order 2006 | S.I. 2006/2271 | The whole Order |
The Export Control (Lebanon) Order 2006 | S.I. 2006/2683 | The whole Order |
The Export Control (North Korea) Order 2007 | S.I. 2007/1334 | In article 1, the definitions of “the 2003 Order” and “the 2004 Order” Articles 2 and 3 |
The Export and Trade Control Order 2007 | S.I. 2007/1863 | The whole Order |
The Export Control (Security and Para-military Goods) Order 2008 | S.I. 2008/639 | The whole Order |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) (Amendment) Order 2008 | S.I. 2008/1281 | The whole Order |
The Trade in Goods (Categories of Controlled Goods) Order 2008 | S.I. 2008/1805 | The whole Order |
The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) (Amendment) (No. 2) Order 2008 | S.I. 2008/3161 | The whole Order |
Order excluded (5.9.2011) by The Export Control (Belarus) and (Syria Amendment) Order 2011 (S.I. 2011/2010), art. 5