End-use controls applying to WMD-related items, including technical help
How end-use controls apply to weapons of mass destruction (WMD) related goods, software, technology and technical assistance.
This guidance explains how to comply with the law if you know, suspect or have been informed by the UK government that your items might be used:
- to make chemical, biological or nuclear WMD
- in a WMD delivery system
- in any way in a WMD programme
Who WMD end-use controls apply to
The controls apply to activities undertaken:
- in the UK by any individual (whether they are a UK person or not), company or other legal entity when they are for transfers from:
- Great Britain to a person or place outside the UK
- Northern Ireland to a person or place outside the EU
- anywhere in the world by a ‘UK person’ (including dual nationals) as defined in section 11 of the Export Control Act 2002
When WMD end-use controls apply
End-use controls apply to exports or transfers which are for ‘WMD purposes’. This can be any activity potentially connected to any aspect of a WMD programme. This includes provision of technical assistance.
You have a legal obligation under the export control legislation to notify the Export Control Joint Unit (ECJU) if you know, suspect or have been informed by government that your items are, or may be used for, WMD purposes.
The controls apply to items that do not appear on the consolidated list of strategic military and dual-use items that require export authorisation.
Extra controls apply to items on the Nuclear Suppliers Group (NSG) ‘Trigger List’. See the guidance on exporting items on the ‘Trigger List’.
Pre-contract discussions
You may need a licence for pre-contract discussions, for example at trade exhibitions.
This depends on whether you are explaining detailed technical specifications underpinning the operation of a nuclear, biological or chemical product in a certain environment to a prospective client. If so, it could be a licensable technology transfer. See advice on how we define exports of military and dual-use technology.
Such discussions may also require Ministry of Defence Form 680 clearance.
What to do when you have WMD end-use concerns
If you know, suspect or have been informed that a proposed export, transfer or provision of technical assistance may be for WMD or military end-use purposes, you must:
- consider the capability of what you are selling or providing, and not just the end-use stated by the intended recipient
- find out as much as possible about the potential end-user and any other party to the transaction
- apply for an export licence, even if your items are not on a control list - you should provide as much detail as possible on the proposed activity
- keep detailed records showing what you have done to address any end-use concerns and any information on which your conclusions are based, including any written assurances
- await assessment of your licence application by ECJU - the written response will advise you on what to do next if there are end-use suspicions
Applying for a WMD-related export licence
Licensing for WMD-related goods, software or technology
Apply for a standard individual export licence (SIEL) using SPIRE, the online export licensing system.
You should cross-reference with applications for all related activities, including provision of technical assistance.
You cannot use open general export licences (OGELs) when WMD end-use controls apply.
Read guidance on using SPIRE to apply for an export licence.
Licensing for WMD-related technical assistance
You must apply directly to ECJU for licences for WMD-related technical assistance by completing and returning the technical assistance application form.
Your covering letter must explain in detail exactly what you propose to do.
What information you must supply to ECJU
When applying for a licence to export, transfer or provide WMD-related items or technical assistance, you must give full details of:
- the proposed activity
- what the transfer includes in terms of technology, goods or software
- what technical assistance is involved
- who the end-users or consignees are
- the intended purpose of the transfer
- the end-use of the transfer
Transferring WMD-related software or technology within the UK, or from outside the UK
The transfer of WMD-related software or technology within the UK, or by a UK person from outside the UK, is controlled, which means you must contact ECJU to get permission. Article 10 and 11 of the Export Control Order 2008 sets out the requirements for these transfers.
The transfer of WMD-related software or technology by non-electronic means to a destination outside the UK is also controlled. Article 12 of the Export Control Order 2008 sets out the requirements. You must contact ECJU to get permission for these transfers.
How ECJU assess applications for exports or transfers with a potential WMD end-use
We consider licence applications on a case-by-case basis.
We assess WMD end-use risk taking into account whether:
- the end-user country definitely, probably or possibly have a WMD or delivery system programme
- the items are potentially of high, medium or low value in relation to WMD end-use control activities
- the items are relevant to identified procurement requirements of a WMD programme in the destination or end-use country
- the end-user is known to be of concern (any doubts about their intentions could be sufficient to justify refusal of a licence)
- the exporter is known to be of concern
- any third parties or intermediaries to the transaction are known to be of concern
- there are concerns about the risks of diversion, in relation to any of the parties
- the stated end-use is credible (a credible stated end-use does not necessarily preclude a risk of actual use in connection with WMD)
We assess whether the proposed export or transfer is likely to be for WMD end-use. Most licence refusals tend to be those falling within the international non-proliferation regime control lists.
Licence refusals
You have the right to appeal if an application is refused.
How to recognise suspicious enquiries
You have a legal duty to inform ECJU if you suspect a potential sale could be used for WMD purposes.
You can recognise suspicious requests when the customer:
- is reluctant to offer information about the end-use of the items
- is evasive about end-destination
- asks you to transfer items to a forwarding address in the UK
- is reluctant to provide clear answers to commercial or technical questions which are normal in routine negotiations
- gives an unconvincing explanation about why they need the items
- declines routine installation, training or maintenance services
- offers unusually favourable payment terms such as higher price or lump-sum cash payment
- requests unusual shipping, packaging or labelling arrangements
- asks for excessive confidentiality about final destinations, or customers, or specifications of items
- asks for an excessive number of spare parts or lacks interest in any spare parts
- orders quantities beyond those needed for the stated end-use
- orders items with performance capability beyond that needed for the stated end-use
- wants installation at a site where there is strict security control or access restrictions
- or the end-user is a military or government research body
- is new to you and your knowledge about them is incomplete
When WMD end-use controls do not apply
End-use controls do not apply:
- to general conversations with prospective customers (including MOD) about nuclear, biological and chemical equipment or contracts as it is not a technology transfer if they are only about general capabilities
- to technology transfers to MOD in the UK concerning procurement or manufacturing process for UK forces if it is confined to the UK
- to software or technology in the public domain
- when the end-use is a UK emergency service
Definition of ‘WMD purposes’
‘WMD purposes’ means the goods, software or technology could be used for:
- chemical, biological and nuclear weapons
- other nuclear explosive devices
- the missiles and missile systems that are the means of delivery of WMD
This includes:
- development
- production
- handling
- operation
- maintenance
- storage
- detection
- identification
- dissemination
The Export Control Order 2008 defines ‘WMD purposes’.
Indirect assistance to a WMD programme
End-use controls can also apply to exports or transfers of items that could be used in:
- the development of the infrastructure for a WMD programme
- research and development programmes at universities that could lead to WMD
- civil nuclear reactors where there is a risk of diversion of fissile material
- civil space programmes which may also be involved in ballistic missile development
Definition of technical assistance
The Export Control Order 2008 defines technical assistance as any WMD-related technical support for:
- repairs
- development
- manufacture
- assembly
- testing
- use
- maintenance
- any other technical service
Technical assistance is usually part of a project, contract or transaction. It often accompanies a physical or electronic transfer of technology. There may be circumstances where technical assistance is provided but does not involve the transfer of technology.
Penalties and fines
It is a criminal offence to export or transfer WMD-related items or provide technical assistance without the correct licence.
Penalties can vary depending on the nature of the offence.
They include:
- revocation of licences
- seizure of items
- issuing of a compound penalty fine
- imprisonment for up to 10 years
See how to voluntarily report any licensing irregularities to HMRC.
Offences involving the transfer of technology within the UK are a matter for the police.
Contact ECJU
General queries about strategic export licensing
Export Control Joint Unit
Department for Business and Trade
Old Admiralty Building
Admiralty Place
London
SW1A 2DY
Email exportcontrol.help@businessandtrade.gov.uk
Telephone 020 7215 4594