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24-hour hotline : 23 922 922
e-mail address : stc@tid.gov.hk
Ref : TRA CR 1015/9                        
  TRA CR 1015/9/7                    
(Main text and Annexes A to H updated on 30 April 2025)
22 April 2004
                              

Strategic Trade Controls Circular No. 16/2004

Import and Export Control on Chemicals, Biological Agents and Dual-Use Facilities and Equipment Related to the Manufacture of Chemical and Biological Weapons

     This circular serves to update traders on the licensing requirement for certain strategic commodities including chemicals, biological agents and dual-use facilities and equipment related to the manufacture of chemical and biological weapons.  The Strategic Trade Controls Circular No. 2/01 dated 1 March 2001 on the same subject is hereby superseded.

I. THE LEGAL BASIS

2.    Under the Import and Export Ordinance (Cap. 60, Laws of Hong Kong) and its subsidiary legislation i.e. Import and Export (Strategic Commodities) Regulations (Cap. 60G, Laws of Hong Kong) ("the Regulations"), import and export of certain chemicals, biological agents as well as dual-use facilities and equipment related to the manufacture of chemical and biological weapons, and transit of articles which are for use relating to chemical and biological weapons, must be covered by valid licences issued by the Director-General of Trade and Industry.  These products are listed in Schedules 1, 2, 3 and 4 to the Regulations and are regarded as strategic commodities and therefore subject to licensing requirement.

II. SCOPE OF CONTROL

3.    Schedule 1 to the Regulations comprises two lists of products: the Dual-use Goods List and the Munitions List.  The two lists have included the items under the control lists of two international control regimes - the Australia Group (AG) which aims to minimise the risk of chemical and biological weapons proliferation; and the Chemical Weapons Convention (CWC) which aims to prohibit the development, production, stockpiling and use of chemical weapons and on their destruction.  Such items mainly fall under the following categories:
  1. Chemicals (Annex A) (pdf format)-
    Dual-use Goods List: Categories 1C350 and 1C450
    Munitions List: Categories ML7(b), ML7(c)
  2. Biological Agents (Annex B) (pdf format)-
    Dual-use Goods List: Categories 1C351, 1C353 and 1C354
  3. Dual-use Facilities and Equipment related to
    Chemical and Biological Weapons (Annex C) (pdf format) -
    Dual-use Goods List: Categories 2B350, 2B351, 2B352 and 9A350
4.    Schedule 2 to the Regulations contains products which, in addition to being subject to import and export controls, are also controlled even if they are in transit through Hong Kong (see paragraphs 16 - 17).  Schedules 3 and 4 are items and activities subject to end-use controls (see paragraph 18).
 

III. LICENSING PROCEDURES

A. Application Forms

 
5.    Licence applications for the import and export of strategic commodities listed in Annexes A to C 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).  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 Strategic Commodities Control System Website ("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.
 
6.    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.
 
7.    To submit E-Applications, companies are required to register an E-Account on the SC Website or become “Linked-up” TSW users.

 

B. Declaration and Supporting Documents

 
8.    In addition to basic application particulars, the following information/documents will also be required to support a licence application:
  1. the name and full address of the ultimate consignee and/or end-user;
  2. the specific end-use of the goods concerned and whether such end-use is civilian or military;
  3. supporting documents including –
    1. a copy of an export/re-export authorisation issued by the technology originating and/or exporting country/place which give explicit approval to export/re-export the products, and/or a copy of an International Import Certificate (IIC) or import authorisation issued by the importing or destination country/place, which give explicit approval to import the products. If the foreign licences are issued in languages other than English or Chinese, the applicant should provide a translated version (either in English or Chinese) of the licence;
    2. Chemical End-User Undertaking duly completed by the end-user covering chemicals listed in Annex A (pdf format) (SC008 for import (Annex D) (fillable pdf format) and SC007 for export (Annex E) (fillable pdf format)); OR an End-User Statement duly completed by the end-user covering non-chemical goods listed in Annexes B (pdf format) and C (pdf format) (SC003 (Annex F) (fillable pdf format) for import and SC004  (Annex G) (fillable pdf format) for export);
    3. data sheet giving full composition, or technical details as appropriate, of the product under application;
    4. documents in support of the business nature and production situation of the applicant/consignee/end-user.
Depending on the circumstances of individual case, the following documents could be required in lieu of a Chemical End-User Undertaking or End-User Statement –
  1. a Chemical Trader Undertaking [SC009] (Annex H) (fillable pdf format) duly completed by a local chemical trader (i.e. a trader who is not an end-user of the chemicals but obtains the chemicals through an importer for resale to other bona fide local end-users).
 
In case the submitted version of the Chemical End-user Undertaking / End-User Statement / Chemical Trader Undertaking is a softcopy, the original 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(s), and/or contact the end-user for verification if necessary.  Therefore, the applicant must keep the original copy of the document(s) for checking.
 
​ 9.    The Director-General of Trade and Industry at all times reserves the right to request additional information and further documentary proof to substantiate the licence applications.  Applications that are not properly completed or not accompanied by all the necessary documentation will be deferred or rejected.

 

IV. LICENSING ARRANGEMENT FOR CHEMICALS CONTROLLED UNDER THE CHEMICAL WEAPONS CONVENTION

10.   Certain chemicals listed in Annex A (pdf format) are controlled under three different Schedules of the CWC ( Note 3 ). They are marked with "Schedule 1", "Schedule 2" or "Schedule 3" in Annex A. In this regard, when traders apply for import licences or export licences covering chemicals controlled under the CWC, the following conditions, which are laid down in the Convention, must be complied with in addition to the licensing procedures set out in paragraphs 5 - 9:
  1. Schedule 1 and Schedule 2 chemicals, except for Schedule 2 chemicals which fulfill all the conditions stated in paragraph 10(e) below, may only be imported from/exported to a CWC State Party and only for purposes permitted by the Convention including, for example, research, medical or pharmaceutical uses. The updated list of CWC State Parties can be found in CWC official website at https://www.opcw.org;
  2. Re-export of Schedule 1 chemicals to a third country/place is prohibited;
  3. Properly completed applications for the import or export of Schedule 1 chemicals, except for Saxitoxin as mentioned in paragraph 10(d) below, must be received by the Trade and Industry Department in not less than 45 days before the shipment date;
  4. The 45-day time frame set out in paragraph 10(c) above does not apply to import and export of 5 milligrams or less of Saxitoxin (CAS Registry no. 35523-89-8) which is for medical/diagnosis purposes. Traders can submit the licence applications under the normal time frame, but they are required to notify the Trade and Industry Department of the details of the actual arrival/departure date of such shipments. In this regard, traders have to submit an undertaking [SC025] (Annex I) (fillable pdf format) agreeing to notify the Trade and Industry Department of details of the exports/imports within one clear working day after the actual arrival/departure date of the shipment concerned. Such notifications, which should be made on notification form [SC026] (Annex J) (fillable pdf format), should be submitted to the Trade and Industry Department together with copy of documents showing details on the actual importation or exportation of the consignment concerned. The documents required may include bill of lading showing the date of shipment, the consignee, the product description and the quantity or other relevant documents such as invoice or packing list which contain the above information;
  5. Notwithstanding the restriction as set out in paragraph 10(a) above, Schedule 2 chemicals can be imported from or exported to countries/places which are not parties to the CWC provided that the products concerned – 
    1. ​ contain 1% or less of a Schedule 2A or 2A* chemical;
    2. contain 10% or less of a Schedule 2B chemical; and
    3. are identified as consumer goods packaged for retail sale for personal use or packaged for individual use;
  6. Applications to export Schedule 2 and Schedule 3 chemicals to a country/place that is not a party to the CWC need to provide end-use information and written assurances issued by the responsible authorities in the receiving country/place containing the following -
    1. the types and quantities of chemicals involved;
    2. their end-use(s);
    3. the name(s) and address(es) of the end-user(s);
    4. confirmation that the chemicals will only be used for purposes not prohibited by the CWC; and
    5. confirmation that the chemicals will not be re-transferred.
11.    The forms relevant to import/export of CWC scheduled chemicals are available at the ICSC. They can also be downloaded from the SC website at https://www.stc.tid.gov.hk/english/download/by_formno.html. Please also visit the Chemical Weapons (Convention) Ordinance Website ("CWC Website”) at https://www.cwc.tid.gov.hk for details and the latest updates of the import/export licensing requirement for chemicals as well as the Chemical Permit and Notification System in relation to activities involving chemicals subject to the Chemical Weapons (Convention) Ordinance (Cap. 578, Laws of Hong Kong).

 

V. ISSUANCE OF LICENCE

12.    Under normal circumstances, applications duly completed and supported by all the documents required will be processed within 2.5 clear working days after the date of submission of the licence application. Approved import and export licences are valid for six months and three months respectively.
  1. For paper application – Traders can collect the paper licence at the ICSC by presenting the receipt issued to them.  Before collection, applicants are advised to check the application processing status on the SC website ( https://www.stc.tid.gov.hk/english/applytips/how_check.html ).
  2. For E-Application – Traders can:
    1. obtain and print out the licence ( Note 4 ) online at TSW platform (exclusively provided to “linked-up” users); and/or
    2. collect the paper licence at the ICSC by presenting the receipt printed out from their E-Accounts. 
13.   For cases with complications or if additional documents and/or information are necessary, longer time may be required to process the applications.  Applicants are advised to submit their applications well in advance of the shipments.

 

VI. LICENCE CONDITIONS

14.    On top of the standard licence conditions, the Director-General of Trade and Industry may, depend on the circumstances of individual cases, impose special and additional conditions on the approved licences.  At the time of receiving the licences, applicants are advised to thoroughly read the section of “Licence Conditions”, for the standard and special conditions being imposed on that licence. One of the special licence conditions for licences covering products for local resale/transfer/disposal is “ Any change of end-use or end-user, or further re-export, resale, transfer, or disposal of the goods requires prior notice to and approval from the Director-General of Trade and Industry. ”. Only after receipt of Trade and Industry Department’s written approval should the licensee proceed with the resale/transfer/disposal of the goods. Otherwise, the licensee would have breached the above licence condition.

15.   Licensees request for approval of resale/transfer/disposal of their products should submit to the ICSC designated form SC047 (Annex K) (fillable pdf format). Supporting documents including trader/end-user undertakings completed by the proposed recipient and end-user, valid export permit/authorisation issued by the technology originating and/or exporting country/place of the product giving approval to the proposed resale/transfer/disposal, must also be submitted. The Trade and Industry Department will give due consideration to the application and notify the licensee in writing of its decision. 

 

VII. ARTICLES IN TRANSIT

16.   For applications covering goods in transit through Hong Kong (see paragraph 4), in addition to the requirements as stated in paragraphs 5 - 10 above, applicants should:
  1. submit both the import and export licence applications together to the Trade and Industry Department; and
  2. declare on the licence applications that the goods are in transit, state the transport mode, the name of the vessel or flight number, and the expected arrival and departure dates. For E-Applicants, tailor-made declaration for this purpose is available for selection at Part I "Preparation of Declaration Lists" of the E-Import Licence Application menu.
17.    Exporter may also be required to provide a landing certificate or delivery verification certificate issued by the country/place of destination to the Trade and Industry Department within 12 weeks after the date of shipment.

 

VIII. END-USE CONTROLS

18.   The Regulations also impose licensing requirement on articles specified in Schedule 3 to the Regulations (Annex L) (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 M) (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.

 

IX.REMINDERS

19.    Section 6A of the Import and Export Ordinance stipulates that no person shall import or export any article specified in the Schedules to the Regulations except under and in accordance with a licence issued by the Director-General of Trade and Industry. Any person who contravenes this provision commits an offence and is liable
  1. on summary conviction to a fine of HK$500,000 and to imprisonment for two years; and
  2. on conviction on indictment to an unlimited fine and to imprisonment for seven years.
In addition to prosecution, the Trade and Industry Department may impose administrative actions against these persons. Such administrative actions may involve but shall not necessarily be confined to, suspension of a licence, refusal to issue a licence, debarment of all licensing facilities, etc.
 

X. ENQUIRIES

20.    Please contact the following officers for enquiries concerning the licensing procedures for import and export of chemicals, biological agents and dual-use facilities and equipment related to the manufacture of chemical and biological weapons:


Licensing Officer

Tel No. 2398 5625


Assistant Trade Officer

Tel No. 2398 5670

For specific technical questions on whether their goods are classified as strategic commodities listed in Annexes A to C, please call the Classification Section of Strategic Trade Controls Branch at 2398 5587. Enquiry could also be sent by fax to 2396 3070 or by 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 >.
 
Note 3:


 		 These Schedules follow the grouping under the CWC which differentiates chemicals according to their toxicity and potential use. They should not be mixed up with Schedules 1 - 4 under the Regulations referred in paragraphs 2 - 4 in this circular.
 
Note 4:


 		 For authenticity verification sake, a QR code is inserted at the lower right-hand corner of the approved document.  By scanning the QR code, the departmental copy of the licences will be retrieved and shown.  If any irregularity is found, traders should notify the Trade and Industry Department as soon as possible.
 







 

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Last Revision Date : 02 May 2025