This guidance is for those who export or transfer in goods, software or technology (including data, information and technical assistance) which might be subject to strategic export controls.

It explains what control lists are, as well as who they apply to and when, so that exporters can make sure they comply with the law.

Control lists

The UK maintains a list of all items that are subject to strategic export controls.  This is known as the consolidated list of strategic military and dual-use items that require export authorisation. The list includes items that are controlled because of international agreements or arrangements as well as further items relating to specific defence or security concerns of the UK.

The two main categories of goods are:

• military goods, software and technology that are specially designed or modified for military use

• dual-use items which are goods, software and technology that can be used for both civilian and military applications

Searching the consolidated control list

It is an exporter’s responsibility to check whether items require an export licence. If so, you need to apply well in advance of shipment to avoid any potential issues (such as customs problems at a port).

To find out if an item is listed you can:

• check the consolidated list of strategic military and dual use items

• use the OGEL and goods checker tools

• use the ‘control list classification service’ or the ‘end-user advice service’ in SPIRE

Who export controls apply to

Strategic export controls apply to anyone exporting or transferring goods, software or technology, or providing brokering services.

Read about export controls applying to academic researchers for guidance on exemptions.

When export controls apply

You must apply for a licence from the Export Control Joint Unit (ECJU) if any of the following apply:

• your items are on the consolidated control list

• you have concerns, or you have been informed of concerns about the intended end-use or the end-user

• your items are covered by trade sanctions

End-use controls

The government has powers to require an export licence for items even if they are not on the consolidated control list. These are generally referred to as ‘catch-all’ or ‘end-use’ controls.

Military end-use controls

Military end-use controls may apply if there is a risk that the item is intended for military use in a destination that is subject to an arms embargo.

Go to guidance on end-use controls applying to military related items

WMD and WMD technical assistance end-use controls

WMD end-use controls may apply if there is a risk that an item may be intended or diverted for purposes connected with WMD or their means of delivery.

The controls relate to the provision of technical assistance. Technical assistance includes instructions, skills, training, working knowledge, consulting services and the transfer of technical data. It covers the supply, delivery, manufacture, maintenance and use of anything intended entirely or partly for WMD purposes.

The controls apply when a person is aware, or has been informed, that such an activity is intended.

Go to guidance on end-use controls applying to WMD-related items, including technical help.

Sanctions

Sanctions are restrictive measures that can be put in place to fulfil a range of purposes. In the UK, these include complying with UN and other international obligations, supporting foreign policy and national security objectives, as well as maintaining international peace and security, and preventing terrorism.

Most restrictions on export destinations are agreed through organisations such as the UN Security Council and the Organisation for Security and Cooperation in Europe (OSCE).

See the full list of trade sanctions, arms embargoes and other trade restrictions.

ExportA licencessanctions arelicence is required to export goods that are prohibited by sanctions legislation. You can find more information about this in the guidance on how to apply for a trade sanctions licence.

Apply for an export licence

Read

• military guidancegoods, onsoftware applyingand fortechnology
• dual-use anitems, exportsoftware licenceand technology.

• exporting firearms

Legal basis for export controls

Strategic export controls of military and dual-use goods and technologies are established by:

• the Export Control Act 2002
• the Export Control Order 2008
• the assimilated retained Council Regulation (EC) No 428/2009 (in Northern Ireland Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021) which control exports, brokering, technical assistance, transit and transfer of dual-use items

The UK also controls the export of goods which could be used for capital punishment and goods which could be used for the purpose of torture and other cruel, inhuman or degrading treatment or punishment. See retainedassimilated Regulation (EU) 2019/125 (in Northern Ireland Regulation (EU) 2019/125).

Penalties and fines

Breaching export controls is a criminal offence.

Penalties include:

• revocation of licences
• seizure of items
• issuing of a compound penalty fine
• criminal conviction leading to a fine and/or custodial sentence

See how to voluntarily report any licensing irregularities to HMRC

Contact ECJU