2. What We Offer
Training and advice on all aspects of UK, EU and US export controls
Tailored to your specific needs
identifying exports which are likely to be refused a licence, before you invest resources
in marketing and tendering
Identifying opportunities within the constraints of sanctions and embargoes
Assessing the risks of sensitive exports which are not yet controlled
how you may be affected by ITAR, EAR, OFAC financial sanctions and Anti-Boycott rules
2
3. We can help you navigate the UK trade
licensing process
Applicant
(application)
Licence
Reception
Licensing
Unit
Licensing
Unit
Applicant
(RFIs)
Enforcement
Unit
Other Government Departments (OGD) Advisors
DECC
CWC
NSG
DfID
CHSD
Posts
GCHQ
CESG MOD
Licence
Issued
OIEL
REJECTE
D
Apply for
SIELs
Applicant
(exports)
Technical
Assessment
Unit
ECO
Compliance
Unit Visit
OIEL
Suspended
Applicant
(RFIs)
Report to
ECO via
Spire
FCO
CPD
AEPT
Posts
3
4. … the MOD F680 process
EXPORTER
MOD
ACP
Capability Protection
Def Sy (Sc & Tech)
FCO
AEPD
ELT, IOD, SecPol
HRDGG, Posts
Defence Intelligence Staff
DFID
4
6. … and to understand sanctions
and embargoes
Countries subject to embargo or other restrictions
Afghanistan, Argentina, Armenia, Azerbaijan, Belarus, Burma,
China, Ivory Coast, DR Congo, DPRK, Eritrea, Guinea, Iran, Iraq,
Lebanon, Liberia, Libya, Russia, Somalia, Sudan, Syria, South Sudan,
and Zimbabwe
7. Our Courses
tailored to your requirements at your premises
directly relevant to your specific needs
practical and interactive, demystifying the complexities, and
encouraging the exchange of ideas and best practice between
delegates
Our reference materials help ensure what’s learned is put effectively
into practice
Tailored to specific audiences…
7
8. Board/Senior Managers
Strategic overview of corporate compliance
responsibilities
the UK Government's export control policy
political and reputational risks
international, EU and national trends and
developments in export controls and
sanctions
analysis of specific products, markets and
end-users from an export control perspective
best practice for ensuring compliance and
the penalties for non-compliance
8
9. All Staff
why controls exist
what items and activities are controlled,
including technology
the main types of licence
awareness of suspicious orders
best practice to ensure compliance
9
10. Staff Involved in Exports – Part 1
the international context: the EU, US and
national legal framework; the security and
political context; future trends and potential
developments
Control Lists: for each of the 7 main lists: their
objectives; how they are agreed; how to
identify and classify your products
End-Use/Catch-all Controls: their objectives;
how they work; how to know when they apply;
being alert to suspicious enquiries
Sanctions, embargoes: UN, OSCE, EU, US,
and UK regimes; understanding what is
prohibited and what is exempt
10
11. Staff Involved in Exports – Part 2
Software, Technology and Encryption:
understanding what is controlled; interpretation of the
'cryptology note'; trends and future developments
Finding the best licence available: the different
types of licence; using open licences; F680
requirements, provisos and other considerations
Completing licence applications: step-by-step
through the process; common pitfalls and how to
avoid delays
How licence applications are assessed: the EU
Common Position; licence refusals and how to avoid
them; how to appeal
11
12. Staff Involved in Exports – Part 3
Compliance Systems: how to set up and implement an efficient and effective
system; how to shine at an export control Compliance Audit; understanding HMRC
enforcement practice; what to do if things go wrong
Trade, brokering, transit and transhipment controls: goods and activities subject
to control; the licences available; compliance and enforcement
Trading Best Practice: Anti-Bribery laws, EU Conflict Minerals regulations, UK
Business and Human Rights principles
US controls:
the International Traffic in Arms Regulations (ITAR)
Export Administration Regulations (EAR)
Office of Foreign Assets Control (OFAC)
anti-boycott regulations
How these can affect UK companies that use or resell US-origin products, components or technology; and the
impact of changes resulting from the US Export Control Reform initiative.
12
13. 13
How to avoid delays with licence applications
Query Cause(s)
EUU EUU and ELA contain contradictory information. The EUU is out of date,
unsigned or is signed by multiple parties. It’s not possible to determine who
signed the EUU (no letter head). EUU contains an electronic signature.
Tech Specs. The technical information does not include the relevant assessment
parameters from the related control entry.
Goods Descriptions The goods description should describe the goods, not their design origin or
purpose.
Third Parties There are third parties / ultimate end users listed on the EUU that are not
listed on the application.
Incorporation Knowing when your consignee is your end user because they are
incorporating or integrating your goods.
14. We look in detail at
equipment/end-user combinations
Nigeria: CT/Surveillance Equipment
All applications to export equipment that could be linked to the
arrest and subsequent mistreatment of suspects, such as mobile
phone tracking equipment, will be subject to close scrutiny. HMG
has not recently authorised the permanent export of any lethal
equipment to the Nigerian Armed Forces or Police.
There are specific concerns surrounding the use of surveillance
equipment, such as that used for mobile phone interception, by the
Nigerian authorities including the Department of State Services (the
State Security Services)
HMG will look closely at the potential proximity of such equipment
to allegations of mistreatment in detention centres and whether
that equipment is sufficiently linked to the mistreatment of those
incarcerated if it is used during arrest and detention procedures
approval of equipment for direct use in CT operations in Nigeria
would be highly unlikely under the present circumstances
14
15. We analyse the reasons for past export
licence refusals (2013 figures)
0 50 100 150 200 250
TOTAL
7 - Risk of diversion
5 – UK National security
3 – Internal tensions or conflict
1 - Embargoes/Treaties
15
17. Who we are
Richard Tauwhare MVO
Until early 2014, Richard headed the Arms Export
Policy Department of the Foreign and Commonwealth
Office, promoting and controlling trade in defence,
security and dual use goods. He led the teams
representing the UK in the international fora which
determine UK controls and was part of the leadership
of the cross-Government export control community.
He combines this expertise with experience as a
trainer, having formerly been the Foreign Office’s Head
of Training, responsible for the design and delivery of
learning and development for 15,000 staff.
In 33 years with the FCO, Richard promoted UK
exports overseas and negotiated in a wide range of
arms control and other international fora. He remains a
frequent speaker at international and national
conferences.
17
18. Thank you -
Any questions?
18
Richard Tauwhare
Green Light Exports Consulting
Email: richard@greenlightexports.co.uk
Web: www.greenlightexports.co.uk
Phone: +44(0)770 311 0880
