Information you must provide in response to a trade sanctions information request
If the Office of Trade Sanctions Implementation (OTSI) asks you for information, you must provide it. If not, you may be committing an offence.
This guidance relates to the Office of Trade Sanctions Implementation (OTSI). OTSI will be able to exercise enforcement powers under The Trade, Aircraft and Shipping Sanctions (Civil Enforcement) Regulations 2024 when it comes into effect on 10 October 2024. UK persons and businesses will need to comply with the new legislation from that date.
What OTSI can request from you
The Office of Trade Sanctions Implementation (OTSI), which is part of the Department for Business and Trade (DBT), can request information from you. They can do this to investigate a suspected breach of a prohibition, or a suspected failure to comply with an obligation imposed under sanctions regulations and to help them monitor compliance with, or detect evasion of, trade sanctions.
OTSI can specify the format you must supply this information in, and the timescale in which you must supply it.
This can include requesting you to provide specific documents.
They have the legal powers to do this under the Trade, Aircraft and Shipping Sanctions (Civil Enforcement) Regulations 2024.
If you’re unsure of your disclosure obligations, you may wish to seek independent legal advice.
Documents OTSI might ask you to supply
Examples of documents OTSI might ask for include, but are not limited to:
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bank collection
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bill of exchange
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bill of lading
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certificate of origin
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commercial invoice
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danger goods notes
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due diligence report
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electronic transfer evidence
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end use certification
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export cargo shipping instruction
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export licence
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import licence
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letter of credit
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notification to the government that an exception applies to your activities
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packing list
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proof of insurance
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risk assessment
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road consignment (CMR) note
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sale contract
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standard shipping note
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transit accompanying document
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waybill
If they request documents and you do not have them, you must take reasonable steps to obtain them. You must keep them in your personal possession, or in your control, until you give them to OTSI.
OTSI may:
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take copies of or extracts from the documents
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ask for an explanation of the document from current or past employees or officers
They can specify:
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the timescale within which you must supply this information
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the way you must supply it
If you fail to comply: committing an information offence
You might be committing an information offence if OTSI requests information from you (in line with their legal powers to do so) and you either:
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refuse, or fail, to comply within the time and manner specified, without providing a reasonable excuse, or if no time has been specified, fail to comply within a reasonable time
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knowingly, or recklessly, give false information, or produce a document containing false information
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delete, destroy, mutilate, deface, conceal or remove any document with intent to evade OTSI’s investigation
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intentionally obstruct them from obtaining the information
Failing to comply with an information request is an offence for which you could be prosecuted. If convicted, you may be made to pay a fine and/or be imprisoned, or it could result in you receiving a civil monetary penalty.
Find out more about civil monetary penalties.
How OTSI may share your information
OTSI may share information you supply, including sharing with other departments, agencies and international partners, in accordance with the disclosure of information regulation, as set out in the Trade, Aircraft and Shipping Sanctions (Civil Enforcement) Regulations 2024, data protection legislation and the DBT Personal information charter.
Legal professional privilege
OTSI recognises that some information may be protected by legal professional privilege. Legally privileged information is exempt from having to be disclosed under the above obligations and requirements, and nothing in the regulations is to be read as requiring you to disclose privileged information.
Get help
For enquiries about information requests, contact OTSI using the enquiry form.