Export Control and Sanctions
Export controls are designed to promote global security by restricting the export and communication of certain sensitive goods, technologies and know-how, with the aim of preventing international terrorism and the development or use of Weapons of Mass Destruction (WMDs).
Sensitive materials may require an Export Licence from the Government in order to transfer some technologies and research information.
The controls apply to two categories of technology, data and know-how:
- Military Items - items with a specific military application
- Dual-Use Items - items which are designed for civilian use, but may have an unintended military application
- Colleagues can use the Online Goods Checker to identify whether their activity is an area of concern
The regulations in the UK constitute legal obligations, with potentially heavy reputational, civil, and criminal penalties for violations.
Linked to Export Control is Sanction Regulations. The UK now retains sole competence for sanctions policy post-Brexit and has enacted several geographical sanctions regimes, as well as thematic ones (e.g., the Global Human Rights Sanctions Regulations 2020).
The UK continues to implement UN sanctions automatically as a permanent member of the Security Council. Whereas sanctions regimes share many of the objectives of export controls, they are broader in that they do not depend on either (i) an export of goods or technology, or (ii) transferring control of a qualifying entity or asset. They are imposed to achieve specific national security or foreign policy objectives and fall into the categories of (1) financial, (2) trade (including exports, imports, and brokering), (3) immigration, and (4) transport.
When Export Controls apply
Most of the University’s research activities are not affected. We do not undertake research work directly related to development of WMD, there will be very limited dual-use opportunities, and/or the partnership is not with the government of an unfriendly country (or a government run/influenced institution within that country). Despite this, as the global connections of research work at LJMU expands our exposure to export controls will grow.
Export controls apply not only to military items but also to ‘dual-use’ civil items with potential military, security or WMD applications in a range of disciplines that may include areas such as:
- nuclear physics and engineering
- biological sciences involving viruses, pathogens, vaccines; chemicals with toxic properties
- high strength materials
- high specification electronics, computers, telecommunications; automation and control systems
- cryptography; lasers, optics and sonar
- navigation and avionics; submersible equipment; aerospace and space; and any work related to a defence programme
This list is not exhaustive, and the control lists are constantly reviewed, therefore, the UK Strategic Export Control Lists should be consulted to see if controls apply in any specific instance.
UK sanctions must be implemented by all UK individuals and entities, wherever in the world they conduct their activities. They also must be implemented by non-UK persons to the extent that they are in the UK.
There is no blanket exemption for Higher Education providers, including those which are charities, or their employees. Thus, Higher Education providers must comply with UK sanctions in connection with their in-person teaching, their online teaching, their research collaborations and ventures, and activities on any foreign campuses conducted in branch or subsidiary form (where they will also need to comply with any local sanction laws).
Compliance
If you are carrying out research and knowledge exchange activity of any type which involves an international partner, you must ensure that you have considered whether export controls and reflection on sanctions may be necessary. In order to do this, please follow the link below and complete the Export Control and Sanctions Checklist, which should help you assess the risks.
In addition, when completing a research or knowledge exchange project record in the Grants and Projects (GaP) system, you will be required to consider whether you are operating in a sensitive area.
If you need to discuss the checklist, or have any general concerns, please contact Brittany Mason, ResearchGrants@ljmu.ac.uk, and your Associate Dean, Research and Knowledge Exchange in the first instance.
Further information
Training
The University has access to the Higher Education Export Control Association (HEECA) online training module. Please contact ResearchGrants@ljmu.ac.uk to receive a log in for this training.
End Use Controls
The government require export licences on some items even if they aren’t on the control list. These are called end-use controls. Find out more on their end-use controls webpage.
To check if your items are controlled and therefore may require an export licence please visit the OGEL and Goods Checker Tools.
For information on sanctions that the UK imposes on other countries please see the Sanction List. This includes a list of countries to be aware of engaging with.
For more information, or if you have any concerns over export controls, please get in touch with Mike Hession and Brittany Mason via ResearchGrants@ljmu.ac.uk.