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24-hour hotline : 23 922 922
e-mail address : stc@tid.gov.hk
Ref : TRA CR 436
  TRA CR 1015/35

( Main text updated on 30 April 2025 )

14 April 2004

Strategic Trade Controls Circular No. 7/2004

Import and Export Control on Strategic Commodities


THE LEGAL BASIS OF CONTROL

     The legal basis of Strategic Commodities Licensing Controls is the Import and Export ( Strategic Commodities ) Regulations ( Cap. 60G, Laws of Hong Kong ) ( “the Regulations” ), made under the Import and Export Ordinance ( Cap. 60, Laws of Hong Kong ). Under the Regulations, no person shall import or export any article specified in the Schedules to the said Regulations except under and in accordance with a valid licence issued by the Director-General of Trade and Industry.


SCOPE OF CONTROL

2.    The goods and related activities for which a licence is required for import/export from/to Hong Kong are listed in Schedules 1, 2, 3 and 4 to the Regulations. The scope encompasses the controls lists of the various international non-proliferation regimes, i.e. the Wassenaar Arrangement ( WA ), the Nuclear Non-Proliferation Treaty ( NNPT ), the Nuclear Suppliers Group ( NSG ) and the Zangger Committee, the Missile Technology Control Regime ( MTCR ), the Australia Group ( AG ), the Chemical Weapons Convention ( CWC ) and the Arms Trade Treaty ( ATT ).
 
3.     Schedule 1 to the Regulations comprises two lists: the Munitions List and the Dual-use Goods List together with Definition of Terms. They cover a wide variety of goods and technology, as follows:
  • Munitions List covers firearms, ammunition, explosives, bombs and rockets, tanks and toxicological agents, etc., and equipment and technology for the production of these weapons, etc.
  • Dual-use Goods List covers a wide variety of industrial dual-use goods under ten categories, i.e. :​
Category
Commodities/Technology
0
Nuclear Materials, Facilities and Equipment
1
Materials, Chemicals, Microorganisms and Toxins
2
Materials Processing
3
Electronics
4
Computers
5
Telecommunications and Information Security
6
Sensors and Lasers
7
Navigation and Avionics
8
Marine
9
Propulsion Systems, Space Vehicles and Related Equipment

Each category is further divided into different sub-categories as follows -

Sub-Categories
 Commodities/Technology
A
 Systems, Equipment and Components
B
 Test, Inspection and Production Equipment
C
 Materials
D
 Software
E
 Technology

For easy identification of controls under various control regimes, the following numbering series are used :

WA
 0 series ( e.g. 1.A.001 )
MTCR
 100 series ( e.g. 1.A.102 )
NNPT, NSG
 200 series ( e.g. 1.A.202 )
AG
 300 series ( e.g. 1.C.351 )
CWC
 400 series ( e.g. 1.C.450 )

For details, please refer to Schedule 1 to the Regulations on the Strategic Commodities Control System Website ( "SC Website" ) at https://www.stc.tid.gov.hk/english/checkprod/sc_control.html.

4.     Schedule 2 to the Regulations extends controls on certain goods in transit and technological documents relating thereto, including certain specific munitions, items in the Category 0 of the Dual-use Goods List, items of nuclear concern, articles for a use relating to nuclear, chemical and biological weapons, and conventional arms under the scope of the ATT. It came into operation on 1 August 1991 under L.N. 301 of 1991 and were amended and updated under L.N. 456 of 1993, L.N. 247 of 1997, L.N. 183 of 1999, L.N. 132 of 2001, L.N. 45 of 2010, L.N. 89 of 2021 and L.N. 85 of 2023.

5.     Schedule 3 ( Annex A ) ( pdf format ) was introduced on 5 May 1992 under L.N. 148 of 1992 to bring END-USE under control for materials, chemicals, agents and equipment for use in relation to the production, development or storage of nuclear, chemical and biological weapons in so far that the importer or exporter knows that they will be used, or suspects that they might be used, for those purposes.

6.    Schedule 4 ( Annex B ) ( pdf format ) lists the activities under control in relation to articles specified in Schedule 3. It was introduced on 6 August 1993 under L.N. 299 of 1993 when the text was removed from the main body of the Regulations.


LICENSING CONTROL SYSTEM

7.     A valid licence, i.e. import licence or export licence, is required for the importation or exportation of any commodity under control. Licence applications are processed by the Strategic Trade Controls Branch of the Trade and Industry Department. Other government departments may be consulted as and when necessary on a case-by-case basis. Such licensing requirement extends to all imports and exports irrespective of destination. Transhipment cargo is also subject to the licensing requirement. Goods in transit, i.e. those remaining at all times in or on the vessel or aircraft in or on which brought into Hong Kong throughout its passage through Hong Kong, are normally not required to be covered by a licence except for particular sensitive items as listed in Schedule 2, or items which are, or may be, used in the development, production, handling or storage of weapons of mass destruction.
 
8.     Apart from having to provide all basic shipment particulars as required in the licence application form, an application must also include details concerning the specifications and technical capabilities of the goods (in the case of computers, telecommunications systems, numerical control products, answers to a technical questionnaire may also be required).
 
9.     Depending on the technical capability of the goods and the destination, the applicant may also need to provide information on the end-use of the goods.

10.     An application for a licence will be approved only when the following factors are favourable:
  1. there is little risk of diversion at the country/place of consignment or en route;
  2. the technical capabilities of the goods are suitable for the end-use declared;
  3. the end-use is acceptable and believed to be genuine; and
  4. there is no adverse considerations against the consignor, the consignee, the end-user, or the applicant.
11.     When applying for a licence for import or export of strategic commodities, applicants should ensure that:
  1. all details required in the application form are correctly filled in; and
  2. the application is accompanied by technical specifications, data sheets or brochures/catalogues giving adequate technical details of the commodities under application.
Application forms that are not properly completed or not accompanied by relevant technical information will not be accepted.
 
12.     Licence applications for the import and export of strategic commodities should be made on Import Licence (Strategic Commodities) Application Form [TID 501] (fillable pdf format) and Export Licence (Strategic Commodities) Application Form [TID 502] (fillable pdf format) respectively.  These forms are available at the Integrated Customer Service Centre (“ICSC”) at Room 1324, 13/F, Trade and Industry Tower, 3 Concorde Road, Kowloon City, Hong Kong, or they can also be downloaded from the SC Website at https://www.stc.tid.gov.hk.  Licence applications and supporting documents should be submitted to the ICSC.  A numbered receipt will be issued for each licence application.
 
13.     Import and export licence applications can also be made electronically. The E-Applications can be made through companies’ E-Accounts on the SC Website (Note 1) or through Trade Single Window (TSW) (Note 2). The supporting documents can be uploaded and submitted together with the E-Application. Alternatively, they can be submitted by fax (fax no.: 2396 3070), by email (email address: stc@tid.gov.hk) or in person at the ICSC.
 
14.     To submit E-Applications, companies are required to register an E-Account on the SC Website or become “Linked-up” TSW users.
 

Import Licensing Procedures

15.     Applications for import of strategic commodities from any country/place are normally approved, unless there is suspicion that the items imported may be re-exported illegally. However, applications covering sensitive commodities will be closely scrutinised and may be subject to inter-departmental reviews. Besides, the Trade and Industry Department may attach to any licence any condition as it may consider necessary, e.g. a condition that the importer should seek approval from the Director-General of Trade and Industry for resale/transfer/ disposal of their products or lodge export licence applications for re-export.
 

Export Licensing Procedures

16.     The Trade and Industry Department normally approves applications for export to countries/places that have an effective export control system in place unless it sees any particular reason why it should not. One example is a strong suspicion that the articles covered by the application are to be diverted to proliferators. The Trade and Industry Department may attach to any licence such conditions as it considers necessary, e.g. a condition that the licensee must obtain a delivery verification certificate for post-shipment verification or an international import certificate prior to the shipment of the goods, or some other acceptable forms of delivery/import certification such as a landing certificate from the importing countries’/places’ authorities. 
 

Other Licensing Requirements

17.     Depending on the technical capability of the goods, the technology originating and/or exporting country/place and the ultimate destinations, the Trade and Industry Department may request further documents to support an application. Documents so required may include the following:
  1. export permit(s) issued by the technology originating and/or exporting countries/places of the goods giving expressive approval to the export concerned; or
  2. an end-user statement duly completed by the end-user (which can be downloaded at https://www.stc.tid.gov.hk/english/download/by_formno.html). In case the submitted version is a softcopy, the original end-user statement should be provided to the applicant.  The Trade and Industry Department and/or the Customs and Excise Department and/or other government departments will request the applicant to provide the original copy of the document, and / or contact the end-user for verification if necessary.  Therefore, the applicant must keep the original copy of the document for checking.


Licence Applications Covering Temporary Export To Any Country/Place

18.     Licence applications covering export of strategic commodities to any country/place on a temporary basis (e.g. participation in an exhibition after which the goods will be returned to Hong Kong) are also processed by the Trade and Industry Department under special licensing procedures for temporary export. Such licence application must be supported by documentary evidence certifying that the goods are exported to the country/place on a temporary basis. Furthermore, as a condition of issue of the temporary export licence, the licensee is required, among other things, to declare and undertake to:
  1. bring the same goods back to Hong Kong immediately after use; and
  2. present the goods and the licence to officers of the Customs and Excise Department at Customs Control Points for examination and endorsement, both at the time of departure of the goods and upon their return to Hong Kong.

For details, please refer to a separate Strategic Trade Controls Circular No. 15/2004.


Licence Applications Covering Temporary Import From Any Country/Place

19.     To facilitate the trade to import strategic commodities from any country/place on a temporary basis (e.g. for goods subject to repair in Hong Kong), licence applications covering the subsequent return of the goods to the original exporting country/place can also be approved by the Trade and Industry Department under special licensing procedures. Physical examination of the goods at the time of import and the subsequent return to the original exporting country/place is also one of the conditions which the licensee must comply with.

For details, please refer to a separate Strategic Trade Controls Circulars No.14/2004.


Articles In Transit

20.     For applications covering goods in transit through Hong Kong, applicants should:
  1. ensure that all details required in the application forms are correctly filled in;
  2. ensure that the applications are accompanied by technical specifications, data sheets or brochures/catalogues giving adequate technical details of the commodities under application;
  3. declare on the licence applications that the goods are in transit, and state the transport mode, the name of the vessel or flight number, and the expected arrival and departure dates; and
  4. declare the end-user and end-use of the goods on the applications.
21.     As the goods under exportation are normally sensitive goods, a condition of issue of the export licence that the exporter must produce a landing certificate or delivery verification certificate in respect of the goods detailed in the licence to the Director-General within 12 weeks after the date of shipment may also be imposed when the export licence is approved.


End-Use Controls

22.     The Regulations also impose licensing requirement on articles specified in Schedule 3 to the Regulations (Annex A refers) (pdf format), or any technical document containing information relating to any such article:
  1. if the importer/exporter knows that the article or document is intended or likely to be used in any activity related to nuclear, chemical or biological weapons or missiles capable of delivering them as specified in Schedule 4 to the Regulations (Annex B refers) (pdf format); or
  2. if the importer/exporter has grounds for suspecting that the article or document may be used in any activity specified in Schedule 4.


COLLECTION AND USE OF DATA PROVIDED IN LICENCE APPLICATIONS

23.     The data collected in the applications or documents submitted in connection with the applications may be disclosed to third parties in Hong Kong or elsewhere, if such disclosure is necessary to facilitate consideration of the application, or is in the interests of Hong Kong, or is authorised or required by the law; or if explicit consent to such disclosure is given by the applicant/data subject.
 

ENFORCEMENT

24.     Traders  are reminded that the Trade and Industry Department works closely with the Customs and Excise Department to ensure that all applicants for strategic commodities licences comply with the provisions of the Import and Export Ordinance and its subsidiary Regulations by means of consignment checks at pre-licensing stage or post-licensing stage. Officers of the Customs and Excise Department are therefore empowered by law to enter the premises of the importer, exporter, or manufacturer concerned, and to conduct inspections at any reasonable time. Inspections of goods or books and records may also take place at the container terminal, the airport and other points of entry or exit. Where necessary, sealed packages or containers may also be opened for inspection. Suspected malpractices are subject to full investigations which may result in legal and/or administrative proceedings against the company/individual concerned.
 

ENQUIRIES

25.     This document is only a guide to assist traders on import and export licensing procedures of strategic commodities. It is not exhaustive and has NO legal status. Further enquiries concerning import and export licensing procedures of strategic commodities can be made to the ICSC, or via enquiry hotlines at 2398 5575 (for licensing matters) / 2398 5587 (for classification matters), by fax to 2396 3070 or email to stc@tid.gov.hk.


Strategic Trade Controls Branch
Trade and Industry Department


 

Note 1:

 		 Details of E-Accounts can be found on the SC Website:
https://www.stc.tid.gov.hk/english/eaccount/how_open.html. 
 
Note 2:
 		 Details of TSW can be found in Strategic Trade Controls Circular No. 2/2024: https://www.stc.tid.gov.hk/english/circular_pub/2024_stc02.html.


 

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Last Revision Date : 30 April 2025