Academics have a legal obligation to ensure their work complies with export control regulations. As such, they will be held accountable should they fail to comply with the Export Control laws.

If the research work requires a licence, the Principal Investigator (PI) must have a licence in place before engaging in any project activity. Although very few activities at the University require an export controls licence, if the PI engages in an activity which requires a licence and they do not have one in place, the consequences of non-compliance could include:

• Unlimited fines

• Up to 10 years imprisonment

• Disciplinary action in accordance with relevant University policies

• Termination of contract.

Determine whether export controls apply to your research

The responsibility for compliance with export control regulations ultimately rests with the Principal Investigator (PI). Compliance with export control legislation requires the PI to consider whether they may need an export licence from the ECJU to carry out an activity and, if required, to obtain the licence before any export is made. Failure to obtain a licence or failure to observe the terms of a licence is a criminal offence for which the PI responsible is likely to be liable.

When planning a new project, an export or transfer, export controls checks must be considered before applying for funding or proceeding with the transfer or export.

Export controls cover the following:

• Export of goods, software and technology/know-how

• Physical and electronic transfer of items to a destination outside the UK

• The transfer of knowledge within the UK for use in a WMD programme outside the UK (including teaching taking place in the UK)

• The transit of controlled items through the UK

• Trafficking and brokering (arranging the transfer of certain items - particularly military goods – between two countries): this is less likely to affect universities or academics and researchers.

To determine whether export controls apply to your proposed research, you should make an assessment of two key areas:

• The ‘items’ in question (physical goods/technology)

• The end use.

This assessment can be progressed by answering the following questions.

If you’re satisfied that there are no export control concerns, then you can proceed with your project as usual. However, if you answer “yes” to any of the questions below, please contact R&IS for advice on whether an export control licence is required.

Please answer the following questions regarding the items in question:  

N.B. “Items” refers to physical goods, materials, equipment, software, technology, or know-how) used or produced in the course of your research. For example, “item” could refer to a high-powered laser, OR “item” could refer to technology required to develop or use a high-powered laser.

N.B. “Technology” means specific 'information' necessary for the "development", "production" or "use" of goods or "software."

1. Is the item on the UK Controlled List of military or dual-use items?

2. Is the item being transferred/exported outside of the UK?

3. Has the item been imported from the US or has it been provided under a specific licence from the US government?

4. Does the item fall into any of the red flag categories?

If you have answered “yes” to any of the above questions, please seek advice from R&IS on whether an export licence is required.

Even if you have answered “No” to all of the above questions, you may still need a licence under End-Use Controls. These apply if the items are likely to be sent to an end-user where there are concerns that they might be used for WMD purposes, or for use in conjunction with military items that have been obtained illegally.

N.B. “WMD Purposes” refers to uses in connection with the development, production, handling, operation, maintenance, storage, detection, remediation, identification, or dissemination of chemical, biological or nuclear weapons.

 Please answer the following questions regarding end use and end users: 

1. Do the items have the potential to support the development, production, handling, operation, maintenance, storage, detection, remediation, identification, or dissemination of chemical, biological, or nuclear weapons?

2. Do the items have the potential to support in the development of weapons, armour, or defence items?

If you have answered “no” to both of the above, then we can be assured that no end use controls apply. If you have answered “yes” to either of the above, please continue to answer the questions below...

1. Do you have any concerns that the end user of the items could use them to support the development, production, handling, operation, maintenance, storage, detection, identification, remediation or dissemination of chemical, biological or nuclear weapons?

2. Are you going to disclose/share the items with any non-UK nationals inside or outside the university whether in the UK or overseas?

3. Are you collaborating with an organisation which operates in any military related areas (e.g., a defence contractor)?

4. Do you have any concerns that other organisations, collaborators or funders that you are engaging with might be involved with items intended for military use?

5. Are any of your collaborators, project partners or funders based in a key country?

If you have answered “Yes” to any of the above, please seek advice from R&IS on whether an export control licence is required.

You can also use this flowchart to help you decide whether you should consult the UK Consolidated Control List.

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