Statutory guidance

Iran nuclear sanctions: guidance

Updated 9 February 2023

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 Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019 (the ‘Regulations’), as amended from time to time.

The following instruments have 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 (EU Exit) (Miscellaneous Amendments) Regulations 2019
• the Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2020
• the Sanctions (EU Exit) (Miscellaneous Amendments) (No.3) Regulations 2020

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 International Trade (DIT), 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. Prohibitions and requirements imposed by the Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019

The Regulations impose financial, trade and immigration sanctions for the purpose of giving effect to the United Kingdom’s obligations under United Nations Security Council Resolution 2231 (2015) (‘UNSCR 2231’); and the additional statutory purposes set out in the Regulations. As a whole this sanctions regime is aimed at encouraging the Iranian Government to comply with relevant UN obligations and abandon nuclear weapons programmes; and at restricting the ability of Iran to develop nuclear weapons delivery systems.

In order to achieve the stated purposes, the Regulations impose a number of prohibitions and requirements. In order to enforce these, the Regulations establish penalties and offences, which are set out in detail in the corresponding report under section 18 of the Sanctions Act in relation to criminal 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 9 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 to intentionally 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 aspect of the Regulations, in particular about whether action you are considering taking could contravene the Regulations, you are advised to seek independent legal advice.

The financial, trade and immigration sanctions contained in the Regulations are set out below.

1.1 Designation of persons

The Regulations provide that the Secretary of State may designate persons for the purposes of financial and/or immigration sanctions if they are, or have been, involved in a relevant nuclear activity (as defined in regulation 6).

The Regulations also provide that each person for the time being named by the United Nations Security Council or Sanctions Committee for the purposes of paragraph 6(c) of Annex B to UNSCR 2231 is a designated person for the purposes of the financial sanctions.

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.

The Regulations also prohibit the provision of specialised financial messaging services to a designated person.

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:

• restricted goods and technology, specifically:
  • military goods and military technology (as specified in Schedule 2 to the Export Control Order 2008)
  • any thing which falls within Chapter 93 of the Goods Classification Table^{[footnote 1]}, other than military goods
  • missile-related goods and technology (as specified in United Nations Security Council Document S/2015/546)
  • nuclear-related goods and technology (meaning anything specified in a relevant International Atomic Energy Agency list)
  • graphite and relevant metals (as defined in regulation 34 of the Regulations)
  • relevant enterprise resource planning software (as defined in regulation 34 of the Regulations), and
  • other restricted goods and other restricted technology (both as defined in regulation 34 of the Regulations)
• commercial arrangements relating to uranium mining and certain restricted goods and technology
• the provision of certain services in relation to certain ships and aircraft

A number of these goods and services are specified by reference to annexes in EU Regulation 267/2012 of 23 March 2012 concerning restrictive measures against Iran as in force immediately prior to IP completion day.

There are circumstances (set out in the relevant lists of controlled items) in which certain items are not controlled, for example when body armour or a helmet is accompanying a person for that person’s own protection. Please check the relevant lists as applicable.

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.

The export prohibition in the Regulations covers export to Iran as well as exports that are for use in Iran. This means that, even if the immediate destination is not Iran, the prohibition may still apply. Exporters should check the ultimate end use of goods and may apply for a licence or contact the Export Control Joint Unit (ECJU) if they know or think the items may be used in Iran.

A sanctions licence is not required for exports of non-military goods covered by the Regulations from Northern Ireland to an EU Member State where the final destination is Iran. You will however have to comply with any licensing requirements that apply in the relevant EU Member State for the onward export to Iran. You will also have to comply with any other licensing requirements under UK export control legislation as applicable.

Supply and delivery of goods

Supply and delivery prohibitions in the Regulations prohibit a person from directly or indirectly supplying or delivering restricted goods from a third country to a place in Iran. Regulation 22 specifies that for the purposes of this regulation a third country is a country that is not the UK, Isle of Man or Iran.

The supply and delivery prohibitions also prohibit the direct or indirect supply and delivery of certain goods to a third country from a place in Iran, as set out in regulation 29. Regulation 29 defines “third country” as a country that is not the United Kingdom, the Isle of Man or Iran.

Acquiring or making goods and technology available

Prohibitions in the Regulations on making restricted goods or technology available (e.g. through a sale) include directly or indirectly making them available for use in Iran or to a “person connected with Iran”. Regulation 34 sets out when a person is to be regarded as “connected with” Iran (and this applies where the term is used in other trade prohibitions in this Part of the Regulations).

The Regulations prohibit the direct or indirect acquisition of relevant goods and technology which are located in Iran, as set out in regulation 30.

Transfer of technology

Prohibitions in the Regulations on the transfer of restricted technology include transfer to a place in Iran or a person “connected with” Iran.

The term ‘transfer’ is defined in Paragraph 37 of Schedule 1 to the Sanctions Act, which states that it ‘means a transfer by any means (or combination of means), including oral communication and that transfer of goods on which the technology is recorded or from which it can be derived, other than the export of such goods.’

Where military technology is contained within a good, it would be classified as a military good under the accompanying goods-related provisions. This includes information contained on USB memory devices, laptops, tablets and the like.

The transfer of certain technology from a place in Iran to persons outside the United Kingdom or to a place outside the United Kingdom is also prohibited. This provision is set out in regulation 31.

Technical assistance

The term technical assistance in relation to restricted goods or technology is defined in regulation 34, which states that it means:

• technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or
• any other technical service relating to the goods or technology

Prohibitions apply where the technical assistance relates to certain specified goods or technology.

The prohibitions apply to the direct or indirect provision of such technical assistance (1) to persons connected with Iran or (2) for use in Iran.

This means that, even if the person to whom you are providing the relevant technical assistance, is not in or “connected with Iran” the prohibition may still apply if the goods or technology to which the technical assistance relates are for use in Iran. Therefore, if you are intending to provide technical assistance you should check whether the goods or technology may be used in Iran and may apply for a licence or contact ECJU if so.

Financial services and funds related to goods and technology

‘Financial services’ refer to any services of a financial nature in many different forms including insurance and banking. Financial services include payment and money transmission services. The full definition of ‘financial services’ can be found in Section 61 of the Sanctions Act.

‘Funds’ means financial assets and benefits of every kind, including cash, securities and interest. The full definition of ‘funds’ can be found in Section 60 of the Sanctions Act.

Trade sanctions prohibitions on the provision of financial services and funds apply where they relate to certain specified goods or technology.

The prohibitions in the Regulations apply to the direct or indirect provision of financial services, and the direct or indirect making available of funds to persons connected with Iran in pursuance of or in connection with an arrangement set out in Regulation 26(1). This captures arrangements related to the goods or technology controlled by the Regulations, for example an arrangement for the export of goods to or for use in Iran, or direct or indirect supply or delivery of goods.

These prohibitions also prohibit the direct or indirect provision of financial services or funds to anyone, where this is in pursuance of or in connection with specific arrangements as set out in regulation 26(3). This captures arrangements the object or effect of which falls into one of the prohibitions, for example an arrangement for the export of goods to or for use in Iran.

Brokering services

The definition of ‘brokering services’ is set out in regulation 27, which states that it means any service to secure, or otherwise in relation to, an arrangement, including (but not limited to):

• the selection or introduction of persons as parties or potential parties to the arrangement
• the negotiation of the arrangement
• the facilitation of anything that enables the arrangement to be entered into, and
• the provision of any assistance that in any way promotes or facilitates the arrangement

The Regulations prohibit the direct or indirect provision of brokering services where they relate to specific arrangements. Those arrangements are also set out in regulation 27.

Import of goods

The concept of ‘import’ is set out in customs legislation, but is further detailed in Paragraph 33 of Schedule 1 to the Sanctions Act. This clarifies in particular that goods removed to the UK from the Isle of Man are not to be regarded as imported. Paragraph 34 details limited exceptions to this.

The import prohibition in regulation 28 covers imports that are consigned from Iran and goods that originated in Iran. This means that even if the immediate place the goods were shipped from was not Iran, the prohibition may still apply. Therefore, importers should check the original place goods were consigned from and apply for a licence or contact DIT’s Import Licensing Branch if they think the items may have originated in or have been consigned from Iran.

A sanctions licence is not required for imports of non-military goods covered by the Regulations from an EU Member State which originate in or are consigned from Iran. You will however have to comply with any licensing requirements that apply in the relevant EU Member State for the original import into the customs territory of the EU. You will also have to comply with any other licensing requirements under UK import control legislation as applicable.

Other trade restrictions

Certain other arrangements and services are prohibited in the Regulations. These include arrangements relating to uranium mining and certain restricted goods and technology, and the provision of certain services in relation to certain ships and aircraft.

Provisions on uranium mining and certain restricted goods and technology are set out in regulation 32 and prohibit the entering into of arrangements which have the object or effect of enabling a person connected with Iran (or a person acting on their behalf or at their direction) to participate in or increase their participation in certain specified commercial activities involving uranium mining or certain restricted goods and technology, set out in the Regulation.

Provisions on services in relation to certain ships and aircraft are set out in regulation 33 and prohibit the provision of bunkering or ship supply services to a ship, and engineering or maintenance services to a cargo aircraft, owned or controlled, directly or indirectly, by a person connected with Iran, where the ship or aircraft is carrying relevant restricted items.

DIT contact details

The Department for International Trade (DIT) 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@trade.gov.uk or tradesanctions@trade.gov.uk

helpline: +44 (0) 20 7215 4594

For general guidance on import controls and trade sanctions contact the Import Controls team:

email: importcontrols@trade.gov.uk

1.4 Immigration sanctions

The effect of the Regulations is to impose a travel ban on persons who are designated by the Secretary of State for the purposes of being made subject to immigration sanctions under the Sanctions Act. Such persons are 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 the Regulations, 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 7 of the Regulations establishes 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 7 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 7 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 trade and financial 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).

In addition to the below, further details on offences and penalties can be found in the corresponding report under section 18 of the Sanctions Act.

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 46(6) or 50 (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 either emailing ofsi@hmtreasury.gov.uk or by calling their general enquiries line: +44 (0)20 7270 5454

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). Any breach of the trade licensing provisions is also triable either way and carries a maximum sentence on indictment of 2 years’ imprisonment or a fine (or both).

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

If you discover that you have breached any of the trade prohibitions or licensing provisions, 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 provisions are contained in Part 6 of the Regulations.

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.

The Regulations establish exceptions relating to financial sanctions including for the crediting of a frozen account by a relevant institution (any such interest or 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.

Regulation 37A establishes an exception to regulations 12 to 17 and Chapters 1 to 3 of Part 5 (Trade) 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.

There is an exception to regulations 12 to 17 in respect of “relevant activity” (being any activity which would otherwise be prohibited by regulations 12 to 17) which is necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs by:

(a) the United Nations, including its—

(i) programmes and funds,
(ii) other entities and bodies, and
(iii) specialised agencies and related organisations,

(b) international organisations,

(c) humanitarian organisations having observer status with the United Nations General Assembly and members of those humanitarian organisations,

(d) bilaterally or multilaterally funded non-governmental organisations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or humanitarian clusters coordinated by the United Nations Office for the Coordination of Humanitarian Affairs,

(e) any grantee, subsidiary, or implementing partner of any organisation falling within sub-paragraphs (a) to (d) while and to the extent that they are acting in those capacities (reference in the regulations to an organisation (or entity) includes reference to the employees of that organisation while acting in that capacity),

(f) any other persons authorised by the Committee for the purposes of resolution 2664.

This exception means the prohibitions of the asset freeze are not contravened by a person carrying out relevant activity which is necessary to ensure the timely delivery of humanitarian assistance or to carry out other activities that support basic human needs. This includes the provision, processing and payment of funds, other financial assets or economic resources, and the provision of goods and services necessary to ensure the timely delivery of such assistance or to support such activities.

The prohibitions of the asset freeze are not contravened where the person undertaking the relevant activity believes carrying it out is necessary to ensure the timely delivery of humanitarian assistance, or to carry out other activities that support basic human needs and there is no reasonable cause for them to suspect otherwise.

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

The Regulations also include an exception for the provision of bunkering or ship supply services, or engineering or maintenance services in relation to cargo aircraft, where failing to do so would endanger the lives of persons on board that ship or aircraft.

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 or economic resources
• extraordinary expenses
• pre-existing judicial decisions etc
• prior obligations
• activities related to the Joint Comprehensive Plan of Action
• humanitarian assistance activities (non-UN designated persons only)
• diplomatic missions etc (non-UN designated persons only)
• extraordinary situations (non-UN designated persons only)

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 International Trade (DIT) has overall responsibility for trade sanctions licensing. The Secretary of State for International 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 DIT 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 DIT Import Licensing Branch. In exercising these powers, DIT 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 Part 5 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. These purposes are set out in the Regulations and include implementation of the Joint Comprehensive Plan of Action (“JCPOA”) concluded on 14 July 2015 (as attached as Annex A to UNSCR 2231).

For some prohibitions there are some specific activities which DIT considers are likely to be consistent with the aims of the sanctions and relevant international commitments. These are set out in the table below. If you think that your proposed activity falls within one of these specific descriptions, you should make this clear and explain why you believe this to be the case in your application for a licence.

There are some activities which DIT considers likely to be clearly contrary to the aims of the sanctions and these are also set out in the table below.

Some of the licensing grounds set out below also include approval and/or notification requirements relating to the UN Security Council (‘UNSC’), the Joint Commission and the International Atomic Energy Agency (‘IAEA’). The requirements to seek approval or notification are set out in the JCPOA and DIT will need to ensure that it complies with these requirements when processing licences under the Regulations. This means that:

• where the Secretary of State is required to give the UNSC and the IAEA notice of a licence granted under this sanctions regime, the Secretary of State will first determine whether granting a licence would be consistent with the purposes set out in the Regulations. If the Secretary of State determines that granting a licence would be consistent with those purposes, the UK (via the FCDO) will notify the UNSC and IAEA at least 10 working days before the activity occurs
• where approval from the UNSC is required in order to grant a licence, the Secretary of State will first determine whether granting the licence would be consistent with the purposes set out in the Regulations. If the Secretary of State determines that granting a licence would be consistent with those purposes, the UK (via the FCDO) will submit the necessary information to the UNSC to seek the approval of the Committee. The Secretary of State will only grant a licence when confirmation of the Committee’s approval has been received

Further guidance is available on the processes for obtaining UNSC approval.

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.

Prohibition description	Prohibition reference	Considerations for licensing
Prohibitions on the export, supply and delivery, making available and transfer of military goods or military technology	21-24	A licence may be granted for the export, supply and delivery, making available or transfer of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection intended solely for protective use of UK personnel in Iran.
Prohibitions on the export, supply and delivery, making available, and transfer of nuclear-list goods or nuclear-list technology	21 - 24	A licence may be granted for the export, supply and delivery, making available, or transfer of nuclear-list goods or technology if this is approved in advance by the UNSC. Advance UNSC approval is not required in relation to items referred to in the paragraph following sub-paragraph 2(c) of Annex B to UNSCR 2231 for light water reactors[footnote 2] UNSC advance approval will also be required if the activities are related to any further goods or technology that the Secretary of State determines could contribute to reprocessing or enrichment-related, heavy water-related or other nuclear related activities which are inconsistent with the JCPOA. The Secretary of State is required to notify the UNSC and the IAEA within ten days of the activities occurring. A licence may be granted for the export, supply and delivery, making available, or transfer of nuclear-list goods or technology without the prior approval of the UNSC where the export, supply and delivery, making available, or transfer relates directly to: (1) the necessary modification of two cascades at the Fordow facility for stable isotope production; (2) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; or (3) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor, and provided that the activities will be undertaken strictly in accordance with the JCPOA. If a licence is granted for an activity which directly relates to (1) to (3) above, then the Secretary of State is required to notify the UNSC and the Joint Commission ten days in advance of the activities occurring, which means that no activity can commence until this period has expired. The Secretary of State is also required to notify the IAEA within ten days of the activities occurring. In all the above instances, all licence applications must demonstrate (and a licence may be refused if you cannot show): (1) all relevant requirements of the Guidelines as set out in the Nuclear Suppliers Group list have been met; and (2) the Secretary of State will have a right to verify the end-use and end-use location of any supplied item (in that such rights have been obtained and can be exercised effectively).
Prohibitions on the provision of technical assistance, financial services and funds, and brokering services relating to nuclear-list goods or nuclear-list technology.	25 - 27	A licence may be granted for the provision of technical assistance, financial services and funds, or brokering services relating to nuclear-list goods or technology, if this is approved in advance by the UNSC. UNSC advance approval will also be required if the activities are related to any further goods or technology that the Secretary of State determines could contribute to reprocessing or enrichment-related, heavy water-related or other nuclear related activities which are inconsistent with the JCPOA.
		A licence may be granted for the provision of technical assistance, financial services and funds, or brokering services relating to nuclear-list goods or technology without the prior approval of the UNSC where provision of technical assistance, financial services and funds, and brokering services relate directly to: (1) the necessary modification of two cascades at the Fordow facility for stable isotope production; (2) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; or (3) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor. If a licence is granted for an activity which directly relates to (1) to (3) above, then the Secretary of State is required to notify the UNSC and the Joint Commission ten days in advance of the activities occurring, which means that no activity can commence until this period has expired. All licence applications for the activities in (1) to (3) above must demonstrate (and a licence may be refused if you cannot show): (1) that all activities will be undertaken strictly in accordance with the JCPOA; (2) all relevant requirements of the Guidelines as set out in the Nuclear Suppliers Group list have been met.
Prohibition on the import, supply and delivery, and acquisition of ‘nuclear-list goods’, and the acquisition or transfer of nuclear-list technology	28 - 31	A licence may be granted for the import, supply and delivery or acquisition of nuclear list goods or the acquisition or transfer of nuclear list technology. The Secretary of State is required to notify the Joint Commission of all licences granted under these measures.
Prohibitions on the export, supply and delivery, making available, and transfer of other restricted goods or other restricted technology[footnote 3]	21 - 24	A licence may be granted for the export, supply and delivery, making available, or transfer of other restricted goods or technology unless the Secretary of State has reasonable grounds to determine that the actions concerned would contribute to reprocessing or enrichment related, heavy water-related or other nuclear related activities inconsistent with the JCPOA. A licence may be granted for the export, supply and delivery, making available, or transfer of other restricted goods or technology if for light water reactors. A licence may be granted for the export, supply and delivery, making available or transfer of other restricted goods or technology where the export, supply and delivery, making available, and transfer relates directly to: (1) the necessary modification of two cascades at the Fordow facility for stable isotope production; (2) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; or (3) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor, and provided that the activities will be undertaken strictly in accordance with the JCPOA. In the above instances, licence applications must demonstrate (and a licence may be refused if you cannot show) that the Secretary of State will have a right to verify the end-use and end-use location of any supplied item (in that such rights have been obtained and can be exercised effectively). An end use statement will need to be completed with your application.
Prohibitions on the provision of technical assistance, financial services and funds, and brokering services relating to other restricted goods or other restricted technology.	25 - 27	A licence may be granted for the provision of technical assistance, financial services and funds, or brokering services relating to other restricted goods or technology unless the Secretary of State has reasonable grounds to determine that the actions concerned would contribute to reprocessing or enrichment related, heavy water-related or other nuclear related activities inconsistent with the JCPOA.
		A licence may be granted for the provision of technical assistance, financial services and funds, or brokering services relating to other restricted goods or technology where provision of technical assistance, financial services and funds, or brokering services relate directly to: (1) the necessary modification of two cascades at the Fordow facility for stable isotope production; (2) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; or (3) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor and provided that the activities will be undertaken strictly in accordance with the JCPOA. Licence applications must demonstrate (and a licence may be refused if you cannot show) that the Secretary of State will have a right to verify the end-use and end-use location of any supplied item (in that such rights have been obtained and can be exercised effectively).
Prohibition on the import, supply and delivery, and acquisition of other restricted goods, and the acquisition or transfer of other restricted technology	28-31	A licence may be granted for the import, supply and delivery or acquisition of other restricted goods, or the acquisition or transfer of ‘other restricted technology’ unless the Secretary of State has reasonable grounds to determine that the actions concerned would contribute to reprocessing or enrichment related, heavy water-related or other nuclear related activities inconsistent with the JCPOA. A licence may be granted for the import, supply and delivery and acquisition of other restricted goods, or the acquisition or transfer of ‘other restricted technology’ where such activity relates directly to: (1) the necessary modification of two cascades at the Fordow facility for stable isotope production; (2) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; or (3) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor, and provided that the activities will be undertaken strictly in accordance with the JCPOA. Licence applications must demonstrate (and a licence may be refused if you cannot show) that the Secretary of State will have a right to verify the end-use and end-use location of any supplied item (in that such rights have been obtained and can be exercised effectively).An end use statement will need to be completed with your application.
Prohibitions on the making available and transfer of relevant enterprise resource planning software	23-24	A licence for the making available or transfer of relevant enterprise resource planning software designed will not be granted where the Secretary of State has reasonable grounds to determine that: (1) the activities concerned are or may be intended for use in connection with: (a) reprocessing or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA; (b) Iran’s military or ballistic missile programme; or (2) the activities concerned are or may be intended to directly or indirectly benefit the Iranian Revolutionary Guard Corps. All licence applications relating to the above activities must demonstrate (and a licence may be refused if you cannot show) that all relevant contracts connected with the making available or transfer of relevant enterprise resource planning software include appropriate end-user guarantees.
Prohibitions on the provision of technical assistance, financial services and funds, and brokering services relating to relevant enterprise resource planning software	25 - 27	A licence for the provision of technical assistance, financial services and funds, or brokering services relating to relevant enterprise resource planning software, will not be granted where the Secretary of State has reasonable grounds to determine that: (1) the activities concerned are or may be intended for use in connection with: (a) reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA; (b) Iran’s military or ballistic missile programme; or (2) the activities concerned are or may be intended to directly or indirectly benefit the Iranian Revolutionary Guard Corps. All licence applications relating to the above activities must demonstrate (and a licence may be refused if you cannot show) that all relevant contracts connected with the provision of technical assistance, financial services and funds or brokering services relating to relevant enterprise resource planning software include appropriate end-user guarantees.
Prohibitions on the export, supply and delivery, making available, and transfer of ‘graphite and relevant metals’.	21 - 24	A licence for the export, supply and delivery, making available, or transfer of graphite and relevant metals will not be granted where the Secretary of State has reasonable grounds to determine that: (1) the activities concerned are or may be intended for use in connection with: (a) reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA; (b) Iran’s military or ballistic missile programme; or (2) the activities concerned are or may be intended to directly or indirectly benefit the Iranian Revolutionary Guard Corps. All licence applications relating to the above activities must demonstrate (and a licence may be refused if you cannot show) that all relevant contracts connected with the export, supply and delivery, making available or transfer of such items include appropriate end-user guarantees.
Prohibitions on the provision of technical assistance, financial services and funds, and brokering services relating to ‘graphite and relevant metals’.	25 - 27	A licence for the provision of technical assistance, financial services and funds, or brokering services relating to graphite and relevant metals will not be granted where the Secretary of State has reasonable grounds to determine that: (1) the activities concerned are or may be intended for use in connection with: (a) reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA; (b) Iran’s military or ballistic missile programme; or (2) the activities concerned are or may be intended to directly or indirectly benefit the Iranian Revolutionary Guard Corps. All licence applications relating to the above activities must demonstrate (and a licence may be refused if you cannot show) that all relevant contracts connected with the provision of technical assistance, financial services and funds, or brokering services relating to such items include appropriate end-user guarantees.
Prohibitions on entering into arrangements that would enable or increase participation in commercial activities involving uranium mining or the production or use of nuclear-list goods or technology.	32	A licence may be granted for the entering into of an arrangement where the object or effect of that arrangement is to enable or increase participation in a commercial activity involving uranium mining or the production or use of nuclear-list goods or technology if this is approved in advance by the UNSC. UNSC advance approval will also be required if the activities are related to any further goods or technology that the Secretary of State determines could contribute to reprocessing or enrichment-related, heavy water-related or other nuclear related activities which are inconsistent with the JCPOA.
Prohibitions on entering into arrangements that would enable or increase participation in commercial activities involving other restricted goods or other restricted technology.	32	A licence will not be granted where the Secretary of State has reasonable grounds to determine that the arrangement concerned would contribute to reprocessing or enrichment-related, heavy water-related or other nuclear related activities which are inconsistent with the JCPOA.
Prohibitions on the provision of services in relation to certain ships and aircraft	33	A licence will not be granted for the provision of bunkering or ship supply services or for engineering or maintenance services in relation to cargo aircraft unless the provision of such services is necessary for humanitarian and safety purposes.

Applications for trade sanctions licences can be made through SPIRE. Information on the activities you wish to carry out and any other relevant documentation can be provided in a cover letter and attached to the application. If you have questions on trade sanctions licensing, please contact us via tradesanctions@trade.gov.uk.

When you export goods, you may need to submit an electronic export declaration via the National Export System (NES), part of His Majesty’s Revenue and Customs’ (HMRC) Customs Handling of Import and Export Freight (CHIEF) system. Guidance is available on how to make an export declaration.

Licence applications for import of goods can be made through the online import licensing system ICMS, managed by DIT’s Import Licensing Branch (ILB). The DIT Import Licensing Branch will, to the extent possible, aim to inform the trader of the application outcome within 30 days. However, in some circumstances, for operational or legal reasons, DIT may need to take longer than the 30 day period. We will inform the applicant if this is the case.

When you import goods, you may need to submit an import declaration through His Majesty’s Revenue and Customs’ (HMRC) Customs Handling of Import and Export Freight (CHIEF) system. Guidance is available on how to make an import declaration.

3.4 Overlap with strategic export licensing

Military goods and military technology

Please note that the export of and trade in military goods and military technology are also controlled under the Export Control Order 2008 and so you may also need a licence which is valid under that legislation. This means that all licence applications relating to military goods and military technology will also need to be considered against the Strategic Export Licensing Criteria. A licence under the Regulations is unlikely to be granted if a licence is refused for the same activity under the Export Control Order 2008.

The way this will work in practice is that we will consider an application for a licence which relates to activities that are licensable under both the Regulations and the Export Control Order 2008 as an application for a licence under both pieces of legislation. This means that only a single licence application is required.

The application will be considered against the relevant licensing criteria. If a licence is granted it will be valid under both the Export Control Order 2008 and the Regulations.

Dual-use goods and technology

Please note that the export and trade in dual-use goods and technology are controlled under the Dual-Use Regulation. Authorisations under that Regulation are granted by the Secretary of State for International Trade under licensing powers in the Export Control Order 2008.

This means that all licence applications relating to items which are controlled dual-use goods and technology will also need to be considered against the Strategic Export Licensing Criteria.

As explained above in relation to military goods and technology, only a single licence application will be required in relation to dual-use goods and technology which falls within the scope of both the Regulations and the Dual-Use Regulation. If the application is compatible with both criteria, a licence will be granted which will be valid under the Dual-Use Regulation and the Export Control Order 2008 as well as the Regulations.

Overlap between trade sanctions and financial sanctions

If you import or export goods, you need to consider if financial sanctions apply to you. You may need a licence from OFSI as well as from the Export Control Joint Unit or the Import Licensing Branch.

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 Iran, 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 Iran.

3.5 Directions in respect of immigration sanctions

If you are subject to immigration sanctions the Home Office may direct, on a case by case basis, that the sanction does not apply in particular circumstances, such as for travel to, or through, the UK for a UN sponsored meeting. 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 and view the Notices to Importers 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.

1. “the Goods Classification Table” means the table so named in Annex I in Part Three of the Tariff of the United Kingdom. ↩

2. Equipment covered by B.1 of INFCIRC/254/Rev.12/Part 1 when such equipment is for light water reactors, low-enriched uranium covered by A.1.2 of INFCIRC/254/Rev.12/Part 1 when it is incorporated in assembled nuclear fuel elements for such reactors, as well as items, materials, equipment, goods and technology set out in INFCIRC/254/Rev. 9/Part 2 only when for exclusive use in light water reactors. ↩

3. ‘Other restricted goods and other restricted technology’ are defined in Regulation 34. ↩