Notice

Changes and further clarification on ECJU's remote compliance checks

Published 9 April 2020

Businesses that have closed due to the coronavirus (COVID-19) crisis

Please email your compliance officer as soon as possible telling them of the position. There is no need for you to wait for a calendar appointment before informing them. If available, please attach any formal notice that the business has been closed.

Businesses still exporting controlled items (or who have access to their export documentation)

During this period we will now accept a digital or electronic undertaking or copy (PDF). This must be accompanied by an email from the consignee explaining why they cannot submit an original at the time. This will be required for each undertaking presented. If no evidence is forthcoming, you are in risk of breaching the terms and conditions of the licence you hold.

Where remote checks are carried out we reserve the right to revisit or request any original documentation when we are next at your site.

Please note the following:

• if you are unable to access your records for any reason, you should inform your compliance officer at the time the remote compliance check date has been arranged
• do not attempt to retrieve documents if these are located in a building which has been closed due to coronavirus (COVID-19)
• please email us if electronic access of records is not possible

Preparing for your compliance check

Please be patient and await confirmation from your compliance officer as to when the remote compliance check will take place - it may not be in line with SPIRE records. Your remote compliance check date will be confirmed via a calendar appointment, usually 4 to 6 weeks beforehand.

To reduce the time taken to complete the remote compliance check, we ask that you complete the required forms and supporting documentation expediently.

These include:

• the pre-visit questionnaire (PVQ) - this will be attached, for ease of reference, as part of the calendar invitation - this must be returned at least 7 working days before the remote compliance check is due to take place, a condition of many licences
• new arrangements for this period - please provide a list of exports made under your licences for the preceding 2 years and return it to us at the same time as the completed PVQ
• you will be reminded of the above, as part of the covering email which is embedded in the calendar appointment.

Before the remote compliance check date

Your compliance officer will discuss with you beforehand the most suitable web platform for your remote check.

Your compliance officer will provide as much notice as possible about the licensable exports they wish to inspect. This request will be made to you no later than midday on the day before the check.

Documentation

If you are experiencing problems obtaining original consignee undertakings and other required documentation, please inform your compliance officer by email in the first instance. They will advise you. The documentation required is outlined in the conditions of your licence(s).

Documents may include, but are not limited to:

• commercial documentation accompanying export of licensed items
• Single Administration Document (SAD) or evidence of Article 22(10)
• undertakings
• Ministry of Defence (MOD) authorisation letter, if required
• evidence of informing prior export
• evidence of import and/or export of items per licence

When providing supporting documentation, please check that there is a clear record of items leaving your site and being received by the consignee.

Consignee undertakings

During this period, we will now accept a digital or electronic undertaking or copy (PDF). This must be accompanied by an email from the consignee explaining why they cannot submit an original at the time. This will be required for each undertaking presented. If no evidence is forthcoming, you are in risk of breaching the terms and conditions of the licence you hold.

Where remote checks are carried out we reserve the right to revisit or request any original documentation when we are next at your site.

Ministry of Defence (MOD) ‘approvals’

MOD authorisation letters may be delayed, although every effort is being made to process these in a timely manner. During this time, compliance officers will accept evidence of an application for MOD authorisation having been made, if this was prior to the shipment date and there is evidence of an email acknowledgment being received from the MOD team.

If records are not available, the compliance cfficer will retain the right to check whether the MOD authorisation letter had been issued, at the next site check.

Additional information

If we have sent your business a Compliance Warning Letter, your compliance officer will arrange an on-site compliance check as soon as we are able to recommence site visits. There will be no additional penalties against your business as a consequence.

If you have questions about any of the above, please email your compliance officer (details on SPIRE). If you do not know the name of your compliance officer or have not yet been allocated one, please contact [email protected] who will forward your queries to be answered.

Please address any other queries about licence applications, for example concerning standard individual or standard trade control licence to your licensing case officer (details on SPIRE).

This document has been published alongside notice to exporters 2020/09.

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 [email protected]

Telephone 020 7215 4594

More information on export controls is available on the ECJU pages of the GOV.UK website, also the SPIRE export licensing database.