Statutory guidance

Haiti sanctions: guidance

Updated 13 March 2024

The Haiti (Sanctions) Regulations 2022 (‘the Regulations’) entered into force on 28 December 2022.

As required by section 43 of the Sanctions and Anti-Money Laundering Act 2018 (‘the Sanctions Act’), the Secretary of State for Foreign, Commonwealth and Development Affairs has provided this guidance to assist in the implementation of, and compliance with, the Haiti (Sanctions) Regulations 2022 (the ‘Regulations’), as amended from time to time.

The following instrument has made amendments to this instrument. If a consolidated version is not yet available on legislation.gov.uk, these instruments should be read alongside the original instrument:

• The Sanctions (Humanitarian Exception) Regulations 2023 which came into force on 9 February 2023.
• The Haiti (Sanctions) (Amendment) Regulations 2023 which came into force on 28 December 2023.
• The Haiti (Sanctions) (Amendment) Regulations 2024 which will enter into force on 14 March 2024.

As required by the Sanctions Act, this document contains guidance on the prohibitions and requirements imposed by the Regulations. It additionally provides guidance on best practice for complying with the prohibitions and requirements; the enforcement of them; and circumstances where they do not apply.

This document is intended to be read alongside more detailed sanctions guidance published by departments including the Department for Business and Trade (DBT), Home Office and HM Treasury through the Office of Financial Sanctions Implementation (OFSI). This document contains links to those key sources of sanctions guidance, which will be regularly maintained and updated on GOV.UK. It is designed to give an overview of the prohibitions and requirements in the Regulations and, where appropriate, direct readers to further detailed guidance. This document is current on the date of publication.

1. 1. Prohibitions and requirements imposed by the Haiti (Sanctions) Regulations 2022

The Regulations impose financial and trade sanctions for the purpose of giving effect to the United Kingdom’s obligations under United Nations Security Council Resolution 2653 (2022) (‘UNSCR 2653’), as amended by United Nations Security Council Resolutions 2699 (2023) (‘UNSCR 2699’) and 2700 (2023) (‘UNSCR 2700’).

In order to achieve the stated purpose in regulation 4, the Regulations impose a number of prohibitions and requirements. In order to enforce these, the Regulations establish penalties and offences. 

The prohibitions and requirements imposed by the Regulations apply within the territory of the United Kingdom (UK) (including Northern Ireland) and in relation to the conduct of all UK persons wherever they are in the world. UK persons includes British nationals, as well as all bodies incorporated or constituted under the law of any part of the UK. Accordingly, the prohibitions and requirements imposed by the Regulations apply to all companies established in any part of the UK, and they also apply to branches of UK companies operating overseas.

The maritime enforcement powers contained in Part 8 of the Regulations apply in relation to British ships in international or foreign waters, ships without nationality in international waters and foreign ships in international waters.

It is prohibited intentionally to participate in any activities if you know that the object or effect of them is directly or indirectly to circumvent the prohibitions imposed by the Regulations or to enable or facilitate the contravention of those prohibitions.

If you are unclear about any aspects of the Regulations, in particular about whether action you are considering taking could contravene the Regulations, you are advised to seek independent legal advice.

Prohibitions and requirements for the financial and trade sanctions contained in the Regulations are set out below.

1.1  Designation of persons

The Regulations provide that each person for the time being named on the 2653 Sanctions List is a designated person for the purposes of the financial and trade sanctions.

Persons subject to a travel ban under UNSCR 2653 are not captured by the Regulations. For further information, please refer to the Immigration Sanctions section below.

The UK Sanctions List lists the people designated under the Regulations, and details of the sanctions in respect of which they have been designated.

1.2  Financial sanctions

Asset freeze and making available provisions

The Regulations impose financial sanctions through a targeted asset freeze on designated persons and prohibitions on making funds or economic resources available. This involves the freezing of funds and economic resources (non-monetary assets, such as property or vehicles) of designated persons and ensuring that funds and economic resources are not made available to or for the benefit of designated persons, either directly or indirectly.

More information on financial sanctions can be found in the OFSI guidance.

OFSI is the authority responsible for implementing the UK’s financial sanctions on behalf of HM Treasury. OFSI helps to ensure that financial sanctions are properly understood, implemented and enforced in the UK. Further information on how OFSI implements financial sanctions can be found on the OFSI pages of GOV.UK.

1.3 Trade sanctions

The Regulations impose trade prohibitions relating to:

• “Small arms, light weapons and ammunition”, as defined in Schedule 1A of the Regulations which was introduced by the Haiti (Sanctions) (Amendment) Regulations 2023 and further amended by the Haiti (Sanctions) (Amendment) Regulations 2024. The latest amendment altered paragraph 6(a) of Schedule 1. Aso that “ML4” substitutes “ML4.b” with reference to Schedule 2 to the Export Control Order 2008
• Schedule 1A  gives effect to the United Kingdom’s obligation under UNSCR 2699 and UNSCR 2023 and replaces the previous targeted arms embargo imposed in UNSCR 2653 in respect of persons designated under that Resolution.
• Further detail on these trade prohibitions, including key terminology used, is explained below. Please have regard to the relevant legislation which contains full definitions of terms used herein

Export of goods

The concept of ‘export’ is set out in customs legislation, but is further detailed in Paragraph 32 of Schedule 1 to the Sanctions Act, which clarifies that “export” means export from the UK but does not capture where goods are removed to the Isle of Man from the UK. Regulation 15(1) prohibits the export of small arms, light weapons and ammunition to Haiti.

Supply and delivery of goods

Supply and delivery prohibitions in the Regulations prohibit a person from directly or indirectly supplying or delivering small arms, light weapons and ammunition from a third country to Haiti. Regulation 16(4) specifies that a third country is a country that is not the UK or the Isle of Man.

Making goods and technology available

Prohibitions in the Regulations on making small arms, light weapons and ammunition available (e.g. through a sale) includes directly or indirectly making available to Haiti.

DBT contact details

The Department for Business and Trade (DBT) has overall responsibility for trade sanctions licensing. For general guidance on export controls and trade sanctions, contact the Export Control Joint Unit:

email: exportcontrol.help@businessandtrade.gov.uk or tradesanctions@businessandtrade.gov.uk

helpline: +44 (0)20 7215 4594

1.4  Immigration sanctions

As described in section 1.1, the Regulations do not impose separate immigration sanctions on designated individuals. Such persons are already excluded persons for the purposes of Section 8B of the Immigration Act 1971.

Designated individuals will be refused leave to enter or remain in the UK. Any applications they make for a visa to travel to the UK, including for transit purposes, will be refused. Any foreign national who is subject to a travel ban under UNSCR 2653, and who is currently in the UK, will have their permission to stay in the UK cancelled and steps will be taken to remove them from the UK.

If you are the subject of an immigration sanction and try to travel to the UK, carriers are required to deny you boarding.

Further information on how the Home Office deals with those who are subject to a travel ban can be found on the Home Office pages of GOV.UK.

1.5  Information and record keeping

For the purpose of the financial sanctions contained in the Regulations, Part 6 of the Regulations places obligations on relevant firms (the definition of which is set out in the Regulations) to report information to HM Treasury about known or suspected designated persons or about persons who may have committed an offence under specified provisions of the Regulations.

It also grants powers to HM Treasury to request information from, amongst others, a designated person, including powers to request the production of documents. It also establishes offences for failing to comply with these requests (including for providing false information).

Part 6 also establishes information powers and record-keeping responsibilities in relation to the trade sanctions contained in the Regulations. It provides for offences for failing to comply with any of those requirements or intentionally obstructing an official in the exercise of those powers.

If you have obligations or responsibilities under Part 6 of the Regulations, it is important that you familiarise yourself with them. If you are unclear of your obligations or responsibilities, you are advised to seek independent legal advice.

2.  How will these sanctions measures be enforced?

The Regulations make it a criminal offence to contravene the financial and trade sanctions, as well as to enable or facilitate a contravention of, or to circumvent any of the prohibitions in the Regulations. They also prescribe the mode of trial and penalties that apply to such offences. In some cases, offences related to contraventions of prohibitions in the Regulations are contained within other legislation, such as the Customs and Excise Management Act 1979 (CEMA).

2.1  Financial sanctions

Breaches of financial sanctions are a serious criminal offence. Any breach of the main financial prohibitions in the Regulations is an offence that is triable either way and carries a maximum sentence on indictment of 7 years’ imprisonment or a fine (or both).

Offences under regulations 31(6) or 35 (information offences in connection with financial sanctions under the Regulations) are summary offences only and carry a maximum sentence of 6 months’ imprisonment or a fine (which in Scotland or Northern Ireland may not exceed level 5 on the standard scale) or both.

OFSI is responsible for monitoring compliance with financial sanctions and for assessing suspected breaches. It also has the power to impose monetary penalties for breaches of financial sanctions and to refer cases to law enforcement agencies for investigation and potential prosecution.

OFSI works with other parts of government, supervisory bodies and regulators to consider all cases reported to it, sharing relevant information accordingly.

If you find out that a person or organisation you are dealing with is subject to the financial sanctions detailed in the Regulations, you must immediately:

• stop dealing with them
• freeze any assets you are holding for them
• inform OFSI as soon as possible by emailing ofsi@hmtreasury.gov.uk

More detailed information on OFSI’s approach to compliance and enforcement can be found in Chapter 7 of OFSI’s guidance.

2.2 Trade sanctions

Any breach of the trade sanctions prohibitions in the Regulations is triable either way and carries a maximum sentence on indictment of 10 years’ imprisonment or a fine (or both).

HM Revenue and Customs (HMRC) is responsible for enforcing the trade prohibitions and investigating suspected offences.

If you discover that you have breached any of the trade prohibitions, you should report the irregularity to HMRC (sometimes known as ‘voluntary disclosure’) as soon as possible. If the irregularity was found on an Export Control Joint Unit compliance audit, the compliance inspector will have informed HMRC and you are strongly advised to do the same. Guidance is available on how to make a voluntary disclosure.

3.  Are there circumstances when I can get an authorisation or licence for a sanctioned activity?

Licensing and exception enable the export, supply or delivery or making available of goods on a case-by-case basis where that would be consistent with paragraph 14 of UNSCR 2699 and paragraph 6 of UNSCR 2700.

Regulations 30A, 36A and 36B create a series of obligations in connection with trade licences and establish criminal offences for breach of them.

3.1 Exceptions

The Regulations set out exceptions to some of the sanctions prohibitions which apply within certain defined circumstances. An exception applies automatically and does not require you to obtain a licence issued in accordance with the Regulations.

Regulation 25 establishes exceptions relating to financial sanctions including for the crediting of a frozen account by a relevant institution (any such interest and other earnings will be frozen in accordance with the relevant legislation underpinning the asset freeze). An exception also exists from the prohibition on making funds available to a designated person, when funds are transferred to a frozen account in discharge (or partial discharge) of an obligation which arose before the recipient became a designated person.

In regulation 26, there is also an exception to regulations 8 to 12 in respect of “relevant activities” (being any activity which would otherwise be prohibited by regulations 8 to 12) which are necessary to ensure the timely delivery of humanitarian assistance in Haiti, or to carry out other activities that support basic human needs in Haiti.

Regulation 27 establishes an exception to regulations 8 to 12 which provides that prohibitions are not contravened if conduct is authorised by a licence which is issued under the law of the Channel Islands, Isle of Man or any British Overseas Territory for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.

Regulation 28 also includes an exception in relation to any prohibition or requirement imposed by the Regulations for actions determined by a responsible officer to be in the interests of national security, or the prevention or detection of serious crime in the UK or elsewhere.

If you are unsure whether an exception applies in your circumstances, you are advised to seek independent legal advice.

3.2  Licensing for financial sanctions

Where a person is designated for the purposes of the financial sanctions (asset freeze measures and making available provisions) contained in the Regulations, the designated person or a representative (on their behalf) may apply for a licence from OFSI to use their funds or economic resources (non-monetary assets, such as property or vehicles). Schedule 2 to the Regulations sets out the purposes pursuant to which, or for which activities, OFSI may grant an individual licence. In summary these are:

• basic needs
• reasonable professional fees for or reasonable expenses associated with the provision of legal services
• reasonable fees or service charges arising from the routine holding or maintenance of frozen funds and economic resources
• extraordinary expenses
• prior obligations

OFSI may need to notify, or in some cases seek approval from the relevant United Nations Sanctions Committee before issuing a licence. These requirements are set out in the relevant UN Security Council Resolutions. These requirements will lengthen the processing time for such licence applications and may in some cases prevent a licence from being issued.

Further information on exceptions and licensing grounds can be found in OFSI’s guidance.

Information on licence applications and the relevant form can be found on OFSI’s GOV.UK licensing webpage.

3.3 Licensing for trade sanctions

Licences may also be issued for certain trade activities that would otherwise be prohibited by the Regulations. The Department for Business and Trade (DBT) has overall responsibility for trade sanctions licensing. The Secretary of State for Business and Trade is ultimately responsible for decisions to grant or refuse a trade sanctions licence in any individual case.

The Export Control Joint Unit sits within DBT and is responsible for administering the licensing provisions on behalf of the Secretary of State for all trade sanctions, except those relating to imports which are administered by the DBT Import Licensing Branch, and which are not relevant for the purpose of the Regulations. In exercising these powers, DBT seeks and considers advice from other government departments.

In making decisions on whether to grant a licence to permit something which would otherwise be prohibited under regulation 29A of the Regulations, the Secretary of State will consider each application on a case-by-case basis to determine whether granting a licence would be consistent with the stated purposes of the sanctions regime and any UN or other relevant international law obligations.

Paragraph 14 of UNSCR 2699, which paragraph 6 of UNSCR 2700 repeats, suggests two circumstances in which licence should be granted:

Ground a: where the supply, sale or transfer of small arms, light weapons or ammunition is to (i) the UN or an UN-authorised mission; or (ii) a security unit what operates under the command of the Government if Haiti, and is intended to be used by or in coordination with those entities and is intended solely to further the objectives of peace and stability in Haiti.

Ground b: any other supplies, sales or transfers of small arms, light weapons and ammunition which the 2653 Committee permits. The Committee will grant permission only where the supply, sale or transfer furthers the objectives of peace and stability in Haiti.

Licences granted will not permit activity in Northern Ireland that is inconsistent with EU sanctions restrictions on goods which apply in Northern Ireland via the Windsor Framework.  

You should not assume that a licence will be granted or engage in any activities prohibited by trade sanctions until your licence has been granted.

When you export goods, you may need to submit an electronic export declaration to His Majesty’s Revenue and Customs’ (HMRC). The Customs Declaration Service will be used for declarations on goods movements to or from Northern Ireland. All other declarations can continue to be made on the Customs Handling of Imports and Exports Freight (CHIEF) based National Export System (NES). Guidance is available on how to make an export declaration.

3.4 Overlap with strategic export licensing

Transit control

Certain goods transiting the UK are still regarded as being exported when they leave the country and are therefore subject to control. Article 17 of the Export Control Order 2008 includes a transit and transhipment exception meaning that in many situations a licence is not required. This exception does not apply to goods destined for Haiti, meaning that a licence is required to transit goods through the UK or to tranship them in the UK with a view to re-exportation to Haiti.

3.5 Directions in respect of immigration sanctions

UNSCR 2653 provides that a travel ban does not apply where entry or transit is necessary for the fulfilment of a judicial process. The 2653 Sanctions Committee may also determine on a case-by-case basis that entry or transit is justified on the grounds of humanitarian need, including religious obligation, or that an exception would further the objectives of peace and stability in Haiti.

https://www.un.org/securitycouncil/sanctions/testing/exemption-measures/travel-ban If the Committee approves the request for an exemption, individuals must apply for a visa to travel to the UK. You can check how to apply for a UK visa, and find further information about travelling to the UK on GOV.UK.

4.  Further information

Sign up to receive Notices to Exporters for updates on trade sanctions.

To receive an email alerting you to any changes to the consolidated list of financial sanctions targets, you can subscribe to OFSI’s e-alert.