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End-User and Consignee Undertakings for SIELs and OIELs

The UK Government attaches great importance to ensuring that UK exports are not diverted or re-exported to undesirable end-users and asks exporters to make sure this does not happen.

This risk is among those identified in the national criteria announced in July 1997 and those in the EU Code of Conduct on Arms Exports. The Code sets out factors to be considered by Member States in assessing the risk of diversion.

The Government believes the best way of minimising the risk of diversion is a thorough risk assessment at the licensing stage and this process includes careful examination of information about the proposed end-use and end-user of the goods. British diplomatic posts overseas routinely carry out checks in cases where we wish to confirm the accuracy of the information contained in end-user documentation.

This guidance note should help export licence applicants to know what sort of consignee or end-user undertaking (EUU) we need, and it offers some guidance to exporters and end-users or consignees on filling in the relevant form. 

See:

 

Does my application need an EUU or Consignee Undertaking? What is the difference?

The purpose of these documents is to guard against exports being diverted to undesirable end-users.

OIEL Applications and Consignee Undertakings

All OIEL applications require a Consignee Undertaking, which must be obtained in advance from the end-user. The Undertaking should confirm the nature of the goods ordered by the consignee and what they will be used for.  Consignees are also asked to confirm that the goods won’t be used for purposes associated with WMD.

A Consignee Undertaking is required in accordance with Open Individual Export Licence (OIEL) conditions.

The OIEL Consignee Undertaking should be completed by the organisation or company to whom the goods are being sent, confirming that the end use of the items match the OIEL conditions.

See a template which can be used as a guide:

General Open Individual Export Licences Undertaking, Guidance NotesWord document (21KB)

 

SIEL Applications and EUUs

An End User Undertaking (EUU) is required in accordance with Standard Individual Export Licence (SIEL) conditions.

In general, an application for a SIEL licence for temporary export will not need an EUU. Every other SIEL application needs to be accompanied by some documentation from the end-user country. In almost all cases this will be an EUU. In certain circumstances, we may be willing to accept one of the following two alternatives:

  • If the foreign buyer is a government body, then a purchase order or a copy of relevant pages from contracts may be accepted in lieu of an EUU
  • If the foreign importer can supply an International Import Certificate, this may be accepted in lieu of an EUU.

Note: A Prior Import Consent in lieu of an EUU is required from the appropriate EU member state when applying for an export licence for small arms export.

Access the:

Export Licences: Standard Individual Export Licence End-User Undertaking, Form and Model LetterPDF document (21KB)

 

The EUU Form (for use when applying for a SIEL)

 

Should I use the EUU Form?

Use of the EUU form is optional. It is designed to be appropriate for most categories of exports to most countries (and used when applying for a SIEL).

If you are able to use the form, we would advise you to do so - it will help us to deal with your application more efficiently. However, if you choose not to use it, you should obtain  an original signed and dated undertaking from the end-user on their headed paper that contains all of the information required in the form, and gives the same assurances.

 

What to do if you are exporting chemicals listed in Schedule 2 or 3 of the Chemical Weapons Convention?

Do not use the EUU form if the goods for export are chemicals listed in Schedule 3 of the Chemical Weapons Convention (CWC), and you want to export them to any country that has not ratified the Convention (States Not Party). See details below for acquiring a list of countries that have ratified the CWC. Under the CWC, transfers of Schedule 3 chemicals to States Not Party require an End-User Certificate (EUC) stating, in relation to the transferred chemical(s):

  1. That they will only be used for purposes not prohibited under the Chemical Weapons Convention;
  2. That they will not be re-transferred;
  3. Their types and quantities;
  4. Their end-use(s); and
  5. The name(s) and address(es) of the end-user(s)

The EUC must be stamped by a Foreign and Commonwealth Office recognised Government Department/Ministry within the recipient country.

Please follow this link to the

End user certificate for chemical weapons convention schedule 3 chemicals to states not party to the chemical weapons conventionWord document (46KB)

 

Do not use the ECO's End-User Undertaking (EUU) or the CWC Schedule 3Chemicals to States Not Party End-User Certificate (EUC) if the goods for export are chemicals listed in Schedule 2 of the Chemical Weapons Convention (CWC), and you want to export them to any States Not Party. Under the CWC, Schedule 2 chemicals are prohibited from being transferred to countries that have not ratified the Convention .

A list of countries that have ratified the CWC is available from the UK CWC National Authority (NCLU) Tel: 020 7215 8493 or Fax: 020 7215 2201 or from the Organisation for the Prohibition of Chemical Weapons (OPCW) web-site

If this applies to you, you can obtain guidance from the ECO Helpline (contact details at the end of this guidance).

 

Explanation of terms in EUU form declaration

In the declaration in Section 4 on the EUU:

"Nuclear explosive activity"
includes research on or development, design, manufacture construction, testing or maintenance of any nuclear explosive device or components of subsystems of such a device.

"Unsafeguarded nuclear fuel-cycle activity"
includes research on or development, design, manufacture, construction, operation or maintenance of any reactor, critical facility, conversion plant, fabrication plant, reprocessing plant, plant for the separation of isotopes of source or special fissionable material, or separate storage installation, where there is no obligation to accept IAEA safeguards at the relevant facility or installation, existing or future, when it contains any source or special fissionable material; or of any heavy water production plant where there is no obligation to accept IAEA safeguards on any nuclear material produced by or used in connection with any heavy water produced therefrom; or where any such obligation is not met.

 

Does the end-user have to complete the EUU form in English?

Each EUU, official purchase order, or copy of the relevant part of the contract covering the order, must be written in English or, if written in a foreign language, must be accompanied by an English translation. Every English translation must be verified by the proprietor of the business applying for a licence, or a partner, director or company secretary of the firm, or anyone authorised to sign the licence application. Alternatively, if you prefer, translations may be verified by a member of the Institute of Translators or a Notary Public.

How should the end-user authenticate the EUU form?

It is the exporter’s responsibility to obtain an original form from their end user or consignee as appropriate. Each page of that form must contain an original signature and be dated. With each completed form, the end-user or consignee must provide a covering letter on their headed stationery. The letter must be signed and dated by the same signatory who has completed and signed the form. A model covering letter is provided at Annex A to the form.

When should the end-user complete the EUU form?

If possible, you (the UK exporter) should send a copy of the completed form with your licence application. If you obtain the undertaking before you are ready to submit your application, we will normally accept EUUs as valid for up to six months after signature.

Original versions of the EUU form

Although we no longer routinely require an original of an EUU to finalise an application, you should note the following:

  • Exporters must obtain the original EUU and hold it in their records
  • Copies of EUUs (including faxed or emailed versions) must be legible
  • We reserve the right to ask for an original EUU during the course of processing any application
  • We will not issue any licence if we have demanded an original EUU during the course of processing the application and the exporter does not provide it;
  • We reserve the right to require an exporter to produce the original document within 5 working days after they have received a licence. We would expect to make such a request on rare occasions; however if the original document could not be produced at the time of asking we would consider revoking the relevant licence.

 

Where can I get more information?

For any further information relating to EUUs or consignee undertakings or other aspects of the processing of licence applications, please contact the ECO.

 

Export Control Organisation

Updated: January 2009

 
 

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