Export control compliance visits and audits—What to expect
Produced in partnership with Richard Tauwhare of Dechert LLP
Export control compliance visits and audits—What to expect

The following Corporate Crime guidance note Produced in partnership with Richard Tauwhare of Dechert LLP provides comprehensive and up to date legal information covering:

  • Export control compliance visits and audits—What to expect
  • Compliance with export controls
  • The purpose of ECJU compliance visits/audits
  • Who is audited and where
  • Categories of audits
  • Conduct of the audit
  • Follow-up to the audit

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an implementation period, during which it continues to be subject to EU law. This has an impact on this Practice Note. For further guidance, see Practice Notes: Brexit—introduction to the Withdrawal Agreement and Development of sanctions regime in the UK post Brexit—timeline as well as Impact of Brexit on export controls.

There are strict controls on the export, brokering and transshipment of ‘strategic’ goods, software and technology from and through the UK. This includes military equipment and ‘dual-use’ items that can be used for both civil and military purposes. For guidance on whether the controls apply, see Practice Note Export controls—Requirement for an export licence.

The Export Control Joint Unit (ECJU), which is a unit of the Department for International Trade, is responsible for licensing controlled goods and for monitoring exporters’ compliance with the controls. Breaches of the controls are a criminal offence. HMRC and the Crown Prosecution Service (CPS) are responsible for investigating and prosecuting those who fail to comply.

For information on the enforcement and prosecution of export controls, see Practice Note: The enforcement of export control breaches.

This Practice Note reflects the current ECJU guidance on compliance visits, which can be found here.