Export Control
Introduction
Queen’s staff and students are individually and personally responsible for compliance with export control laws. Should an export control license be required assistance with the application process can be obtained by contacting your Business Alliance Manager. It is important to consider export control implications as early as possible when planning any research or teaching activities that involves overseas participants (students, collaborators, funders etc). Failure to properly assess and comply with export control requirements can result in delay, suspension or termination of activities, projects, and other transactions, including loss of associated posts, research awards and funding. Failure to comply with export control legislation is a criminal offence that may result in fines and even imprisonment.
Export Control
Given the potential for research to evolve from initial conception, export control consideration should be reviewed throughout the lifetime of the collaboration/activity. Unless otherwise stipulated on this webpage, when export control is referenced, it is referring to UK export control legislation. To ensure greater understanding around UK export control legislation, all staff and students are encouraged to undertake the Higher Education Export Control Association (HEECA) online training module. Access to this training resource can be obtained via emailing trusted_partnerships@qub.ac.uk.
Read the Export Control Policy
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What are export controls?
Export controls protect security by restricting who has access to sensitive technologies and capabilities, ensuring UK exports do not contribute to weapons of mass destruction (WMD) proliferation, a destabilising accumulation of conventional weapons, or are used to commit or facilitate internal repression or to commit or facilitate a serious violation of international humanitarian law.
In essence, the purpose of export control is to promote global security and facilitate responsible exports.
- Who does export control apply to?
Export controls within Queen’s apply to:
- All staff and students
- Anyone undertaking activities for or on behalf of the University (irrespective of their location)
- Anyone operating on University premises
- Anyone conducting work at or for the University’s subsidiaries
- When might export controls affect me?
Export control could impact your activities if you:
- Work with overseas colleagues
- Teach overseas students (at an overseas campus or in a virtual/ online learning environment)
- Conduct research activities at overseas institutions that have WMD or military end-use potential
- Deliver presentations to overseas audience, either online or in-person
- Take your research overseas (physically or electronically)
- Access controlled technology whilst overseas from servers or an intranet
Exports can include physical, verbal and electronic.
Examples of potential exports:
- Written documents
- Documents recorded on USB flash drives, portable hard drives, laptops and tablets
- Documents submitted via electronic media such as email
- Technology transmitted via phone or video conferencing means, either live or via recordings
- Downloading and accessing information stored on QUB server whilst overseas
- Computer-based services and activities that take place online, in the cloud or through distributed computing, including virtual learning machines (VLE), e-Research, e-Science
CAUTION: Taking a laptop with information containing controlled documentation outside the UK, even if you do not intend to use it, falls within the scope of export controls.
- When do export controls apply?
UK export controls focus on high-risk activities, such as applied research and could affect your activities if you:
- work with colleagues overseas on research projects
- take your research overseas
- export your technology
Disciplines that could potentially be misused for military purposes are predominantly in the science, technology, engineering and mathematics (STEM) subjects. They can include:
- aeronautical and space technology
- applied chemistry, biochemistry and chemical engineering
- applied physics
- biotechnology
- electrical and mechanical engineering
- instrumentation and sensors
- materials technology
- nuclear technologies
- production and process technology
- telecommunications and information technology
- quantum technologies
- cryogenic technologies
- semiconductor technologies
- additive manufacturing
- advanced materials
- emerging technology
You must apply for a licence from the Export Control Joint Unit (ECJU) if any of the following apply:
- your items are on the consolidated control list
- you have concerns, or you have been informed of concerns about the intended end-use or the end-user
- your items are covered by trade sanctions
- UK Control List and End-User Concerns
The UK maintains a list of all items that are subject to strategic export controls. This is known as the consolidated list of strategic military and dual-use items that require export authorisation. The list includes items that are controlled because of international agreements or arrangements as well as further items relating to specific defence or security concerns of the UK.
The two main categories of goods are:
- military goods, software and technology that are specially designed or modified for military use
- dual-use items which are goods, software and technology that can be used for both civilian and military applications.
The government has powers to require an export licence for items (goods/software or technology) even if they are not on the consolidated control list. These are generally referred to as ‘catch-all’ or ‘end-use’ controls.
- WMD and WMD technical assistance end-use controls
- Military end-use controls
- Trade sanctions
Further information on end-use controls and how they can impact academia and academic exemptions can be found at this link.
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Academic Exemptions
There are exemptions for some areas of academic research. The government aims to prevent the potential misuse of research or collaboration. Their intention is not to restrict research or academic collaboration.
These exemptions include:
- in the public domain
- basic scientific research
- patent applications
These exemptions must be utilised with care, as there are restrictions and caveats on when they can and cannot be applied.
Further information regarding the use and limitations of these exemptions can be located in this UK government guidance.
It is recommended that this section should be read in conjunction with “Control List and End-Use Concerns”.
- What is “technology”?
Export control legislation applies to goods, software and technology. Within export control legislation ‘technology’ is a defined term. “Technology” means specific ‘information’ necessary for the development, production or use of goods or software.
‘Information’ may take forms including, but not limited to: blueprints, plans, diagrams, models, formulae, tables, ‘source code’, engineering designs and specifications, manuals and instructions written or recorded on other media or devices (for example disk, tape, read-only memories).
‘Source code’ (or source language) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form.
- How do I obtain an export control license?
Where the item is controlled or there are concerns about the end-user a license can be obtained from the Export Control Joint Unit (ECJU). The University’s ECJU account is managed by Business Alliance. Should you require a license, please contact your Faculty Business Alliance Manager who can apply for the license on your behalf.
Information on the University’s approach to export control can be located within the University Export Control Policy.
- Consequences for Breach of Export Control Legislation
Breaching export control legislation is a criminal offence which an individual can be held personally responsible for.
Penalties can vary depending on the nature of the offence but can include:
- Unlimited fines
- Imprisonment of up to 10 years
- Items being seized and/or licences revoked
- QUB disciplinary processes.
- Inviting visitors to QUB
Visitor and home institution of the visitor is based in the UK
If you plan to share controlled goods or technology (information, research data, or knowledge) with them you must inform them that if they wish to take this information outside of the UK, it is their responsibility to apply for an export licence
Remote visitor based outside UK, home institution within the UK
If you plan to share controlled technology (information, research data, or knowledge) it is your responsibility to apply for an export control licence.
Visitor based outside UK, home institution outside the UK
If you plan to share controlled technology (information, research data, or knowledge) it is your responsibility to apply for an export control licence.
Case Studies (Dropdown)
The Government has compiled a list of case studies illustrating scenarios when export control applies to academia. These can be located here.
Training Opportunities (Dropdown)
Staff and students are encouraged to strongly consider the below training resources.
- Higher Education Export Control Association (HEECA) - please contact trustedpartnerships@qub.ac.uk for access to the training module.
- Epigeum – Academics and research staff can access the Export Control module within the then Good Research Practices (Research Integrity) course. To access this course please log into Queen's Online. Under the section ‘Services’ on the left side select ‘Other’ and then ‘Online Training’. Once the online training site has opened select ‘Research Courses (academic and research staff only)’ and then ‘Good Research Practices (Research Integrity)’. This will bring up the course modules.
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Red Flag Indicators
Red Flag Indicators
When you are the provider/exporter, review the below possible red flags that may give cause for concern from an export control perspective.
- The recipient or its address is similar to an entity on a UK or international sanction list.
- The recipient is reluctant to offer information about the end-use of the requested material.
- The requested material or product’s capabilities do not fit the recipient’s line of business or expertise.
- The requested materials are incompatible with the technical level of the country to which it is being shipped, such as semiconductor manufacturing equipment being shipped to a country that has no electronics industry.
- The recipient is willing to pay cash for a very expensive item or purchase at a higher price than the item would be worth.
- The recipient has little of no scientific, academic or research background.
- The recipient is unfamiliar with the material’s or product’s performance characteristics, but still want the item.
- Routine installation, training of maintenance services are declined by the recipient.
- Delivery dates are vague, or deliveries are planned for out of the way destinations.
- The shipping route is abnormal for the item and destination.
- Packaging is inconsistent with the stated method of shipment or destination.
- When questioned the recipient is evasive and especially unclear about whether the requested material or product is for domestic use, for export, or for re-export.
- There are unusual requirements for excessive confidentiality about final destinations, or customers, or specifications of items;
- There are requests for excessive spare parts or lack of interest in any spare parts.
- The collaborator or the installation site are subject to excessive security / restrictions for the items being shared
- Resources
- Contact Us
For queries related to export control contact trustedpartnerships@qub.ac.uk.