Export Control Policy

Introduction

Purpose

1. Northeastern University – London is committed to the principles of open scholarly exchange of ideas and academic freedom, including broad access to research data and results. However, certain knowledge possessed, goods utilised, and activities carried out by academics and researchers may have the potential for misuse. Export controls imposed by the UK government are likely to apply to some of our research and education activities because we operate internationally. Northeastern University – London is committed to full compliance with the laws and regulations of the UK Government, including those controlling the export of technologies, services, and products.
2. Export regulators have placed the responsibility on universities to understand and comply with export controls. While maintaining its commitment to the ideals of freedom of inquiry and open exchange of knowledge for the public good, NU London recognises that for some research, the compelling societal interests underlying export control laws may necessitate exceptions to Northeastern University London’s (the University’s) usual open research ethos. As such, this Policy sets out:
   1. Clear guidance for staff, affiliates and students on what constitutes export control and how software, technology, data or physical goods owned by universities can be misused
   2. Clear guidance on how to assess whether your work falls under export control legislation
   3. The roles and responsibilities for compliance with export control regulations

Scope

3. This statement applies to all members of the University community in the conduct of University business, including faculty, staff, students, visiting scientists and scholars, postdoctoral research associates, and all other persons retained by or working at the University to conduct research, teach, or provide services at or on behalf of the University.
4. This Policy and associated procedures apply to research activities in their broadest form, including enterprise and innovation, consultancy, the application of research and knowledge exchange.
5. Failure to comply with relevant sanctions and export control laws would constitute a breach of legal requirements and carry significant legal, reputational and financial consequences. It is a criminal offence to contravene export controls or trade sanctions, and the fines that can be imposed against the University and any individuals involved in breaching these laws can be significant.
6. Knowingly breaching this policy may constitute a disciplinary offence for staff and students (in line with points 10 and 11 below). Such breaches will be subject to investigation under the University’s research misconduct and/or disciplinary procedures.

Definitions

7. All definitions below are extracted from the Department for International Trade ‘Guidance – exporting military or dual-use technology: definitions and scope’:
   1. Basic scientific research: Basic scientific research means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts and not primarily directed towards a specific practical aim or objective
   2. Development: Development means all stages prior to production (for example, design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into goods or software, configuration design, integration design, layouts)
   3. Dual-use: Dual-use Items are goods, software or technology (documents, diagrams etc) which can be used for both civil and military applications. They can range from raw materials to components to complete systems, e.g. aluminium alloys, bearings, or lasers. They could also be items used in the production or development of military goods or chemical, biological or nuclear weapons, e.g. machine tools, chemical/manufacturing equipment and computers
   4. ECJU: Export Control Joint Unit
   5. Export control: Export controls for technology aim to prevent transfers that can lead to developing or producing weapons or goods which: (I) Could be used against the UK and allied forces and/or (ii) Cause national security concerns. Export controls apply to physical goods or the transfer of software, data, technology, or know-how which could have a military application
   6. ‘Information’: ‘Information’ may take forms including, 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)
   7. In the public domain: In the public domain means available without restriction upon further dissemination (no account being taken of restrictions arising solely from copyright)
   8. Required: Required as applied to technology, it refers only to that portion of technology which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such required technology may be shared by different goods
   9. ‘Source code’: ‘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
   10. Transfer: Transfer, in relation to software or technology, means transfer by electronic or non-electronic means (or any combination of electronic and non-electronic means) from a person or place within the United Kingdom to a person or place outside the United Kingdom
   11. Transfer by electronic means: Transfer by electronic means, in relation to software or technology, means transmission by facsimile, telephone, cloud services based outside of the UK or other electronic media (except that oral transmission of technology by telephone is included only where the technology is contained in a document the relevant part of which is read out over the telephone, or is described over the telephone in such a way as to achieve substantially the same result as if it had been so read)
   12. Transfer by non-electronic means: Transfer by non-electronic means, in relation to software or technology, means disclosure of technology by any means (or combination of means), including oral communication, other than as the export of goods or the transfer by electronic means
   13. ‘Technology’: ‘Technology’ is a defined term within export control legislation. Quotation marks denote this and other defined terms in the export control lists. Technology means specific ‘information’ necessary for the development, production or use of goods or software
   14. Use: Use means operation, installation (for example on-site installation), maintenance, checking, repair, overhaul and refurbishing
   15. Voluntary Disclosure: There are instances where it might become apparent that export of goods or transfer of controlled technology may have occurred without an appropriate export licence in place. It is also possible that such irregularity might have been identified by a compliance inspector from ECJU. If this happens, it is very important to report the irregularity to HMRC (sometimes known as ‘voluntary disclosure’) as soon as possible. If the irregularity is found by audit, the compliance inspector will have informed HMRC and the exporter is strongly advised to do the same

Responsibilities

8. Academic Board has overall responsibility for the implementation, monitoring and review of this Policy.
9. The Export Control Director is the Director of Research and Knowledge Exchange Services. Their responsibilities are:
   1. Working with staff to identify whether an export licence is required and if so, what type is needed
   2. Applying for export licences and managing the process
   3. Record keeping
   4. Training other members of staff who need awareness of export control and policy
   5. Managing audits
10. Line managers are responsible for ensuring that staff understand the Policy.
11. Members of staff are responsible for:
    1. Familiarising themselves with this Policy
    2. Completing all recommended training provided by the University
    3. Complying with the export controls in respect of the export of research results and materials they produce
    4. Providing necessary guidance to students they supervise
    5. Seeking advice and requesting licence applications via the Export Control Director

Policy

12. It is the Policy of the Northeastern University – London to understand and comply with all applicable UK laws, including any and all relevant applicable laws, regulations and guidelines governing the export of goods, information or services. The University is committed to preventing any breaches of these laws and regulations.
13. In general, export control laws are implicated when, among other circumstances, the University will:
    1. Partner with a non-UK company or institution;
    2. Host international visiting scholars for the purpose of research involving use or development of technology which is subject to export controls, or where a non-UK person will be participating in the activity;
    3. Conduct research involving military or defence related applications;
    4. Ship or hand carry tangible items, material, biologicals, or scientific equipment for research abroad. Some restrictions may also apply to laptops, GPS equipment or devices with encrypted software. Laptops may be restricted if they contain sensitive software, encryption technology, or data related to national security, military applications, or dual-use technologies (items with both civilian and military purposes). Similarly, GPS equipment may be restricted if it includes advanced navigation systems that could be used for military or defence purposes, as these technologies are also subject to control due to their potential strategic applications. Encryption software, which is not a mass-market product, will likely need a Cryptography Open General Export Licence (OGEL);
    5. Have faculty travelling to, or engaging in remote work/classes with certain sanctioned or embargoed countries to teach or perform research; or
    6. Engage in foreign collaboration or transactions associated with any embargoed country or restricted party/person.
14. Any researcher looking to transfer software, technology or information should use the Decision Tree (Appendix A) to confirm whether export control may apply to their work. If the answer to any of the questions is yes, please contact research@nulondon.ac.uk.
15. Areas most likely to be affected by export control legislation include (not an exhaustive list):
    1. Automation and control including drones and other technology
    2. Aeronautical and space technology
    3. Applied chemistry, biochemistry and chemical engineering
    4. Applied physics
    5. Biological sciences relating to viruses, pathogens and vaccines
    6. Biotechnology
    7. Chemical or toxic properties
    8. Cryptography
    9. Electrical and mechanical engineering
    10. Instrumentation and sensors
    11. Lasers, sonar and optics
    12. Materials technology
    13. Navigation and avionics
    14. High specification electronics, computers and telecommunications
    15. High strength materials
    16. Nuclear sciences, technologies or engineering
    17. Production and process technology
    18. Submersible equipment
    19. Telecommunications and information technology
    20. Quantum technology
    21. Semiconductor technology
16. The SPIRE online checker will be used to establish:
    1. Whether the items are controlled
    2. What the appropriate control entry reference is in the consolidated list
    3. Whether an appropriate open general export licence (OGEL) exists
17. If the items are listed under a control list (‘rating’) entry, contact the Export Control Director, as per the ‘Responsibilities’ section, to seek advice and start the application for an export licence from the Export Control Joint Unit (ECJU). Licences are applied for through SPIRE. All applications are submitted by the Export Control Director on behalf of the University.
18. Types of licences:
    1. Open General Export Licences (OGELs)
    2. Standard Individual Export Licences (SIELS)
    3. The OGEL checker is a search tool designed to find a suitable standard OGEL licence. If no OGEL is available, a SIEL will be required in order to export the item. The OGEL checker can be accessed via this link

US Export Controls

19. US legal restrictions apply to items and technology in the UK if they are:
    1. US-origin military or dual-use
    2. Made outside the US but incorporate any US-origin military components or over 25% (in most cases) by value of US-origin dual-use components, or
    3. Made outside the US on the basis of US-controlled technology
20. Although US law provides for a wide range of exemptions, a US export licence may be required to transfer such items or technology either within or out of the UK, or to allow access to it to a foreign or dual national within the University, including staff, students or visitors.
21. Some US sanctions also prohibit the supply of all US-origin items (e.g. US-made laboratory equipment, laptops) to US sanctions targets, which include some organisations and their staff operating in the UK, and some foreign research institutions (notably in China and Iran) that may seek collaboration with UK universities, including sending staff or students to the UK. Please see the Northeastern guidance document on UK and US export control regulations here for more information.

Exceptions and Exemptions

22. If research falls into the categories listed under point 13, there is no automatic exemption for academic researchers and their work.
23. The legislation allows for exemptions for the conditions listed below. Exemptions should be considered in consultation with the Export Control Director:
    1. Basic scientific research: experimental or theoretical work undertaken principally to acquire knowledge of fundamental principles or phenomena or observable facts. If the intended output of work undertaken is a peer-reviewed journal article, it is likely an exemption will apply, but advice can be sought from the Director of Research and Knowledge Exchange Services
    2. Information in the public domain freely available without restriction
    3. The minimum technical information required to support a patent application for a non-nuclear dual use ‘technology’
24. To qualify for the ‘basic research’ exemption, any technology generated by the research must fall in a low (1-3) Technology Readiness level (TRL) and as such:
    1. Be solely to add to the sum of human knowledge
    2. Not have a specific (short-term) practical aim
    3. Not address a specific technical problem

Academic Technology Approval Scheme (ATAS)

25. The risk of a transfer of sensitive technology that might be used in a WMD programme occurring in the course of teaching or research in the UK is primarily managed by the government’s Academic Technology Approval Scheme (ATAS). Students and researchers from certain countries applying to study or work in the UK at postgraduate level in certain sensitive subjects require an ATAS certificate before they can be granted a visa. A new ATAS certificate may be required if a student changes course while they are in the UK. Compliance with ATAS is managed by the Visa Team for students and staff and supported by the local Faculty for honorary or visiting staff.

Training and Resources

26. The University is responsible for providing training and support to members of staff and students where required.
27. Research and Knowledge Exchange (RKE) Services: RKE Services is accessible via email to assist with export control queries.
28. Further guidance is available in the University’s ‘Export Control Guidance’ document, including workflow diagrams..
29. The Export Control Joint Unit (ECJU) provides training for individuals or companies of all sizes. Previously run training and webinars are available on their website.
30. The Higher Education Export Control Association (HEECA) has various resources available online here.
31. ECJU can be contacted by email – or on their telephone helpline 020 7215 4594.

Contact Information

32. If you have any questions about this Policy, please contact Research and Knowledge Exchange Services.

Version History

Annex A: Decision Tree

1. Was the technology imported from the US?

Universities should be aware that in some instances, controls from other territories may apply in addition to UK-administered controls. This is particularly common for US technologies, where re-export clauses often apply which prevent not only the goods, software or technology being re-exported to particular countries, but also can prevent it being transferred to or shared with foreign nationals within the UK. As we are part of the Northeastern global network, please see our comparison document on UK and US export control legislation. The document contains a useful FAQ section and hypothetical case studies relevant to UK researchers working with US colleagues.

If the technology is subject to US Export Controls this may affect exporting and also sharing with researchers within the University who are from overseas or have dual nationality. The US ‘Chips Act’ may also be relevant if working with certain semiconductors and advanced electronics, especially if Chinese collaborators are involved. These rules need to be satisfied, as well as UK export control requirements. Do not forget to consider UK Export Controls also.

Is the technology to be used for any purpose related to armaments, nuclear energy, weaponry or other military use? This needs to be cleared with the supplier.

Are you going to disclose the technology to non-UK nationals either inside or outside of your Department whether in the UK or abroad?

2. The technology

Note. The definition of ‘technology’ means specific information necessary for the development, production or use of goods or software.

The primary question that must be answered is whether the technology appears on the Export Control list. The ECJU offers a range of services to help with the process of classification to determine whether the technology is listed.

There are three key points to establish here:

• Is the item or technology specifically designed for military or nuclear end uses?
• Does the export include encryption software or hardware?
• Do you need to check the UK Strategic Export Control List (Annex IV) of military or dual use items?
• Are you unsure about whether the export control legislation applies to your work?

Is the technology in an area where teaching is ATAS controlled?

Are you collaborating with people or organisations based outside the UK, particularly in areas of conflict?

Do any red flags apply? (See below)

Might the output or application of your research assist in the development of weapons, armour or defence?

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

Does the funder support any military related research (e.g. a defence ministry)?

Is it on Annex 4 of the Controlled Lists?

3. End use controls: who are you working with?

The end use controls look at who the end user is and what the end use is. The following list of questions may help you establish an end use or end user issue that you need to look into further.

Even if the item, technology or software is not listed in the UK Strategic Export Control List (Annex IV), a licence could also be required if the exporter knows, has been informed or suspects there is a WMD end use.

Have you been made aware that the item, information or software to be shared, shipped, hand carried, transmitted or transferred may support the design, development, production, stockpiling or use of a nuclear explosive device, chemical or biological weapons, or missiles?

Do you otherwise know or have any reason to suspect that such end use is envisaged?

Does the end-user country definitely, probably or possibly have a WMD or delivery system programme?

Are the items potentially of high, medium or low utility in relation to any of the activities listed in the WMD End-Use Control?

Are the items potentially of high, medium or low utility in relation to any WMD programme in the end-user country?

Consider whether there are reasons to suspect use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices, or the development, production, maintenance or storage of missiles capable of delivering such weapons

Are the items relevant to identified procurement requirements of such a WMD programme, either in the destination country or, where the destination country is known or suspected of being involved in passing on WMD-related items to a third country, in any of the suspected end-use countries?

Are the end user, importer, or any third parties to the transaction known to be of concern?

Is the identity and are the circumstances of the end user sufficiently known? Lack of information or any doubts about the end user may indicate the need to apply for a licence. If there was insufficient information a licence might be refused.

4. Sanctions

Additional restrictions can apply when dealing with countries that are subject to sanction. These can include restrictions on the actions of individuals and entities, including their ability to travel or to use financial systems, and they can include additional restrictions on exports or trade activities, which often have the effect of broadening the UK Strategic Export Control List to include items which would not normally be included in the UK Consolidated List.

Does the transfer include parties from any country that is subject to UN or EU sanctions, as listed on the gov.uk website?

If so, take advice from the ECJU.

Annex B: Basic Export Control Awareness Flowchart

Basic awareness to help researchers understand if they need to know more about Export Control.

Note: This flowchart does not ask researchers whether their goods are controlled. It is intended for use as an awareness raising tool only.

Annex C: UK Consolidated Lists Detailed Flowchart

When do the UK Consolidated Lists need to be considered?

This second flow chart links and cross references to the proposed Decision Tree. “Controlled” as used in this flowchart means the technology is on either the Consolidated Military and Dual Use Lists or any Sanctions List.