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    Below you will find a comprehensive glossary of key Trade Compliance and Export Control terminology.



    Annex I

    This is the Annex to the European Council Dual Use Items Regulation that contains the EU List.  This is about 270 pages long and set out in 10 main Categories.  Latest version is under reference EC 428/2009.


    Annex IV

    This is a subset of Annex I and lists the goods that can NOT be traded without a licence between Member States.  If your item are on Annex IV, you will need to obtain a licence before exporting to another EU Member State.



    Brokering means buying or selling, or arranging or negotiating transactions for the purchase, sale, or supply, of goods located in one third country for transfer to another.



    Community General Export Authorisation.  This is a General Authorisation written under the EU Dual Use Items regulation (428/2009).  It is available to any EU exporter for goods on Annex 1 (but not on the list of exclusions to the CGEA0 when they are exported to Australia, Canada, Japan, New Zealand, Norway, Switzerland or the USA.  Each EU Member State can have different conditions of use which can include Registration.



    Export Administration Regulations. These are the US Dual Use controls administered by the US Department of Commerce.  The controls can be found at


    The Export Control Classification Number (ECCN) is the term used by the US Commerce Department for the entry number on the Control List that the goods are controlled under.  A typical ECCN is 3A001.a.7.a


    EU List

    The European Union Dual Use List is often known as the EU List.  This was the first List to use the 5 digit numbering system that has subsequently been adopted by a range of other countries including the US.   Many other countries use the EU List as the basis for their control Lists (Singapore, Kazakhstan, Australia etc) and rely on the EU updating the list regularly to maintain their controls.


    Export Licence

    If your goods are on a Control List, you will normally need an export licence to send them out of the country in which they are located.  There are many different types of export licence issued by governments.


    EC Regulation 428/2009

    The EU List is contained in EU Regulation 428/2009.  This document sets out the Conditions for the control of Dual Use items and applies to all 27 EU Member States.



    This is the Harmonised Tariff System, also known as the Harmonised System, TARIC or Tariff Code.  This is the code used by Customs to determine if import duty is payable and for statistical reports on exports.  Although known as the Harmonised Tariff, it is only the first 6 digits that are agreed worldwide.  An 8 digit code is generally used for exports and this is expanded to a 10 digit (and possibly 12) for imports.  The 8 digit EU Tariff code is available on the Farnell website for our products.



    International Traffic in Arms Regulations (ITAR).  This is the US Military Export Control Legislation.  In addition to controlling exports from the US, it also covers re-exports from third countries even if an ITAR component is incorporated into another piece of equipment.  Many European defence companies avoid using anything that is ITAR controlled in their equipment so that US re-export controls do not apply.



    Open General Export Licence.  These are issued by the UK government and can be used by anyone who registers for them to export the least sensitive goods to the least sensitive destinations.  Users must adhere to the conditions of the OGEL and a government Compliance Officer will visit periodically to audit the use of the licence.



    Open General Transhipment Licence.  Similar to an OGEL (see above) but for goods transhipping the UK.



    Open Individual Export Licence.  A Licence issued to a company for specific goods to specific destinations.  OIELs generally have wider coverage than OGELs and are designed to meet the specific business needs of an individual exporter.  A government Compliance Officer will visit periodically to audit the use of the licence.



    A term used by the UK for the classification of the goods against the Control List.  Gives the same information as an ECCN but against the EU rather than the US List. 



    The computer system used by the Export Control Organisation in the UK to accept applications for export licences.  SPIRE is also used for classification requests (ratings) and registrations for OGELs.



    Standard Individual Export Licence.  Normally used to send specific products to a specific End User.  Although they can be used for multiple shipments, most are used for one transaction only.  The exporter needs to apply for a SIEL using the SPIRE system.  An End User Undertaking (EUU) will be needed to support the application.  Current processing targets for UK SIELs are to issue 70% within 20 working days. 


    Tariff Code

    A Tariff code is the code applied to a particular product by Customs.  See ‘HTS’ above.


    Trade Control

    This covers the transfer of goods form one third country to another of certain goods on the Control List.  It mainly applies to Military goods and is also known as Trafficking or Brokering (see above). 





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