Beginners’ guide to export controls

This guide is designed to highlight the basics of export control. Whether you are a new exporter investigating the possibility of exporting strategic goods, an overseas end-user, an academic or researcher affected by export controls or a non-governmental organisation or legal firm seeking more information, this guide will give you an overview of UK export controls.

This guide explains which trading activities and goods require a licence. It explains the types of licence that you can apply for, how to apply, and what compliance responsibilities you will have. Finally, it explains where you can go for help and further information.

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Why export controls?

There are several reasons why governments aim to control the export of goods, depending on the nature and destinations of the proposed export. The export of strategic goods and technology is the specific remit of the Export Control Organisation (ECO). Exports are controlled for various reasons, including:

• concerns about internal repression, regional instability or other human rights violations
• concerns about the development of weapons of mass destruction
• foreign policy and international treaty commitments including as a result of the imposition of European Union (EU) or United Nations trade sanctions or arms embargoes
• national and collective security of the UK and its allies

Export controls are not unique to the UK. All countries should have some form of an export control policy, legislation and enforcement mechanisms. The UK has a well developed and coherent export control system based on EU and national legislation. Read our guide overview of export control legislation.

The ECO is only concerned with strategic goods. If you are planning to export other categories of goods such as arts, antiques, medicines or animal products, you can read our guide: do you need an export or import licence?

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Do I need a licence?

Whether or not you need an export licence for your goods will be determined by four factors, the:

• nature of the goods due to be exported
• destination concerned
• ultimate end use of the goods
• licensability of trade activities

Nature of goods

The following checklist outlines the broad categories of goods which are likely to be controlled:

• most items that have been specially designed or modified for military use and their components
• dual-use items – those that can be used for civil or military purposes – which meet certain specified technical standards and some of their components
• associated technology and software
• goods that might be used for torture
• radioactive sources

The main reason why these types of goods are controlled is because, they are listed on one of the UK Strategic Export Control Lists. For more information and download the lists, see our guide on the UK Strategic Export Control Lists – the consolidated list of strategic military and dual-use items.

The Control Lists are a listing of items for which a licence is required from the Export Control Organisation (ECO). The Consolidated List is compiled from seven lists in various pieces of international legislation. The main elements of the Consolidated List are the UK Military List and the European Union (EU) Dual-Use List.

Depending on your goods, you will need to consult the relevant list and determine the relevant ‘rating’ or classification of your products, before applying for a licence.

See our guide how to determine if your goods need an export licence.

You should remember that the ECO is concerned with goods of a ‘strategic’ nature such as military or civilian (dual-use) goods that can be used for military purposes. Export controls on other categories of goods are the responsibility of other departments. For further information see our guide: do you need an export or import licence? 

Destinations

If your items are on the UK Military List or are more sensitive items on the EU Dual-Use List (ie on Annex IV of the EU Dual-Use Regulation), then you will need a licence for all destinations – including EU countries.

If your goods are less sensitive items on the EU Dual-Use List (Annex I items), then you will only need a licence for export outside the EU.

Other items may well require a licence for destination countries that are subject to embargoes or sanctions. For more information, see our section on current export restrictions by country.

End-use/’catch all’

If your goods are not listed on the UK Strategic Export Control Lists, you may still need a licence under End-Use Controls. This applies if the goods are likely to be sent to an end-user where there are concerns about the possible use of the goods in a weapons of mass destruction (WMD) programme. For example, cryogenic equipment could be used in a nuclear weapons facility.

Components that are not designed for military use but which are going into military goods in an embargoed destination are also covered by the End-Use Controls.

See our guides Military End-Use Control guidance notes and Weapons of Mass Destruction (WMD) End-Use Control.

Licensable trade activities

You may also need a licence if you are arranging or involved in the transfer of goods between two overseas countries. This is known as ‘trafficking and brokering’.

Read our guide on trafficking and brokering (trade controls).

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What licence do I need?

There are a variety of different types of licences that you may be able to use to export your goods. The main categories of licences issued by the Export Control Organisation (ECO) are outlined briefly below.

Open General Export Licences

Open General Export Licences (OGELs) are available for less restricted exports to less restricted destinations. OGELs are pre-published licences with set terms and conditions which you must adhere to. There are currently over 40 OGELs available which cover a wide range of circumstances. Some are for military goods and others are for dual-use goods. A small number of OGELs cover both.

Being an OGEL holder can potentially benefit your business by saving you time and money.

Before using, you will need to pre-register for each licence you intend to use. You will also need to carefully read and understand the relevant OGEL you intend to use. You will need to make sure that you can meet all the outlined terms and conditions of the licence – eg that you only export to the exact destination allowed or that you keep the necessary records.

To check whether there is an OGEL that covers the export you wish to make, you can use the OGEL Checker. This database leads you through all conditions of the licence. Use the OGEL checker on the ECO Checker website (registration required)- Opens in a new window.

As a registered OGEL user, you will be subject to regular ECO Compliance Audits. Read our guide on compliance and enforcement of export controls.

Standard Individual Export Licences

If your goods, technology, software, destination or situation is not covered by an OGEL, you will need to apply for a Standard Individual Export Licence (SIEL). SIELs are company and consignee specific, for a set quantity and/or value of goods. You will need to provide support documentation such as End-User Undertakings with with the application.

Open Individual Export Licences

The ECO also issue an Open Individual Export Licence (OIEL) which is designed to cover long-term contracts, projects and repeat business. This is a concessionary form of licence which is company specific, but not necessarily consignee specific. There is no set quantity or value of goods, although conditions covering this may be set on the licence. Under an OIEL, you will receive regular compliance audits from the ECO, so minimal support documentation is needed.

You will usually need to establish a track record of exporting before you can apply for an OIEL. It should replace at least 20 SIEL applications a year.

Other types of licences

There are also licences covering transhipment and trade control (trafficking and brokering) activities, as well as a global projects licence.

For more details about all licence types issued by the ECO read our guide on licences – export, trade control and transhipment.

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How can I apply?

Applying for a licence

All licence applications and Open General Export Licence registrations should be made electronically via the Export Control Organisation’s central online licensing system – SPIRE. You can apply for an export licence on SPIRE with the Department for Business, Innovation & Skills (BIS). If you are new to using SPIRE, you can read guidance about the system such as how to create a company account and log-in details in our guide on SPIRE – background information.

When making your application, you must attach all necessary documentation, including technical specifications and End User Undertakings. See our guide on end-user and consignee undertakings for SIELs and OIELs.

Almost half of all export licence applications have to be returned due to incomplete or inaccurate applications which can cause delays in processing. Therefore it is vital that you before applying you read about the common pitfalls to avoid in export licence applications. In some cases, you will also need to read our further guidance on specific aspects of the controls in our section on key licensing guidance.

A step by step explanation of the stages involved in making your application, including information on licensing targets is available in our guide on the export control licensing process and how to appeal.

Advisory Services

On SPIRE you can also make a Control List Classification Service or End-User Advice Service request. You should note that these are both advisory services only and not licensing.

For more information about both these services see our guide on how to determine if your goods need an export licence.

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What are my responsibilities and obligations?

As an exporter, you have various responsibilities. You need to ensure that you have solid export control systems and procedures in place in terms of record keeping, training and lines of responsibility.

Businesses that have registered to use Open General Export Licences for exporting items or who have been granted an Open Individual Export Licence are subject to regular compliance visits. Read our guide on compliance and enforcement of export controls.

If a compliance visit finds that you are not complying with the terms of your licence, you could face a penalty. Penalties range from de-registration of your licence to fines or even a potential prison term if you do not adhere to your export control obligations. Find details of export control prosecutions reported in the media on the Department for Business, Innovation & Skills (BIS) website- Opens in a new window.

The Export Control Organisation (ECO) has a clearly defined service and performance code, which outlines the ECO’s commitments to its customers and what is expected of exporters. See the page on the Export Control Organisation performance reporting in our guide about the Export Control Organisation.

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Where can I find more information?

More information on the Export Control Organisation (ECO) and export licences is available from a range of sources.

ECO Helpline

The ECO can provide general advice on your export control query. You can contact the BIS ECO Helpline on Tel 020 7215 4594 or by email on eco.help@bis.gsi.gov.uk.

If you have a specific query about a specific export licensing application you can speak to the licensing officer dealing with your case (quoting your SPIRE reference number). The name of the licensing case officer is listed in your SPIRE workbasket. Find contact details of licensing officers on the BIS website

ECO training and seminars

The ECO deliver a comprehensive programme of scheduled and bespoke seminars on different aspects of UK export controls. You can find further details about ECO training and seminars on the BIS website- Opens in a new window.

Our training offerings also include two short overview films which provide an introduction to export controls and to the compliance audit process. You can watch the ECO films on the BIS website- Opens in a new window.

Notices to Exporters

To keep informed of changes to licences, legislative amendments and other updates, you can choose to receive the ECO’s regular Notices to Exporters. You can find current Notices to Exporters on the BIS website- Opens in a new window.

ECO Searchable Database

Export control statistical and report information is available on ECO’s Searchable Database. This tool provides quarterly licensing reports as well as the option to produce bespoke reports of licences issued, refused and revoked, licence processing times and refusals. You can Find quarterly licence reports on the Strategic Export Controls: Reports and Statistics website- Opens in a new window.

Advisory services and tools

If you are unsure whether your goods need an export licence, you can either ‘self-rate’  or make use of the ECO’s advisory services.

To assist you in ‘self-rating’, the ECO provides two tools which are designed to help you in identifying the ‘rating’ entry number of your particular goods on a UK Strategic Export Control List.

The Control List Classification Search Tool is available via ECO’s SPIRE export licensing database. It is designed to help you search on previous ‘rating’ assessments made by the ECO’s Technical Assessment Unit. By using the tool, you can get an indication of whether your items are listed on a Control List and wht the ‘rating’ entry for your particular goods might be.

The search tool is designed to work in conjunction with the Goods Checker Database. This is a separate website which enables you to perform key word searches on the specific wording of the UK Strategic Export Control Lists. You can use the Goods Checker on the Checker Tools website (registration required)- Opens in a new window.

If you are unable to ‘self-rate’, you can make a Control List Classification Service request online via the SPIRE database. This is a non-statuatory advice service which does not constitute the issuing of an actual licence but advises you of the ‘rating’ entry of your goods on the UK Strategic Export Control Lists.

If you are already aware that your goods are not listed on a UK Strategic Export Control List or are subject to sanctions and embargoes, but you have concerns about end-use, then you can submit an End-User Advice Service request via the SPIRE database.

Make either a Control List Classification Service or End-User Advice Service request on the SPIRE website with the Department for Business, Innovation and Skills (BIS). 

For more information about these services, see our guide about how to determine if your goods need an export licence.

Open General Export Licence (OGEL) Checker Database

This is a web-based search tool to help exporters find out whether there are any OGELs they may be able to use when exporting their goods, software or technology. You can use the OGEL checker on the Checker Tools website (registration required)- Opens in a new window.

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