Information about export control

Overview

What is the point of Export Control?

Export Control is legislation that limits the export of certain Items (goods, components, software, technology or technical assistance) from the UK to another destination outside of the UK. The legislation is in place to promote global security, prevent the proliferation of weapons of mass destruction, terrorism and human rights abuses. 

What is an 'export'?

An export constitutes the transfer of controlled goods, technology or software from the UK to a destination outside the UK. This includes:

• The physical export of items
• Electronic transfers (eg fax, email or uploading information to an overseas server)
• Travelling overseas with controlled information on paper, in a laptop (including on Google Drive), USB stick or similar
• Oral transmission (eg conversation, telephone or video conferencing) where the detail of a technology contained in a document is read out or communicated in a manner that is substantially the same as providing the recipient with the document
• Trafficking or brokering goods between two overseas countries

Who is impacted by Export Control regulation?

Export Controls and trade sanctions apply to everyone, including:

• All University 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

Export Control legislation applies to any and all University activity in the same way as it does in business.

Who do I contact if I have questions about Export Controls?

In the first instance, please look through these Export Control webpages which contain some general guidance and information. Additional information can be found at the GOV.UK page on exporting.

If further help is needed, you can email exportcontrol@sheffield.ac.uk or fill out the Export Control Enquiry Form.

Processes

What do I need to know before starting a collaboration?

Develop your project proposal with as much technical detail as possible, including key samples, materials, components, equipment, facilities and software. Assess whether any items or information (physical or electronic) involved in your project will be subject to export controls and/or the entity you are working with or exporting to is in a high risk country (Staff hub access required) or you have concerns/red flags regarding working with them. If so, complete the Export Control Enquiry Form for the export control team to offer further advice.

How do I know if I need an Export Licence?

If you are working in a high risk area with an entity based overseas you should consider the Items and Technology you are or will be working with and assess them against the UK Strategic Export Control List using the Goods Checker. Only the PI or key academic staff member can decide whether a licence is required, however support is given by the export control team (exportcontrol@sheffield.ac.uk), as well as the key contact within the University for your area.

The key thing to remember is that knowledge/information etc which relates to a physical good and is sent electronically could be controlled. Even if you are not working with a controlled Item, if you are working with an entity in a high risk country (Staff hub access required) and/or you have been 'informed' or are 'aware' an item could be used for military purposes. An End-User check may be required.

How do I obtain an export control licence?

Complete the Export Control Query form if you are unsure whether your work is controlled, or if you definitely know you require a licence. The export control team will receive the form, assess the information you have provided and advise you of the next steps. 

What do I need to do once I’ve exported something?

You need to ensure that you comply with the conditions of the licence, part of which includes notifications and record keeping. For each and every export made under licence, you must complete the OGEL and SIEL Record of Use Form and save commercial documents and relevant communications on the X: Drive for a minimum of four years.

Further details can be found on the Export Under Licence: Record Keeping Requirements page (Staff hub access required).

Responsibilities

Who is responsible for ensuring compliance with Export Control legislation?

Ultimate responsibility sits with the person who is exporting the controlled goods/information. Assessment as to whether a particular activity which falls within the scope of export controls can only be made by the member of staff leading the activity and who therefore understand precisely what the activity entails. Guidance can be sought from the export control team at exportcontrol@sheffield.ac.uk on this area and how to make an assessment using UK Strategic Export Control List and the Goods Checker, as well as make an application if needed.

At an institutional level, the University has put in place processes and support to assist the research community in complying with this regulation. Please refer to the Consequences of Non-Compliance page for further information.

Where export controls apply

Do export controls apply if I’m only sending items to the UK?

If you are only sending controlled items to recipients within the UK (and you have confirmation the recipient is based in the UK if it's sent electronically) then a licence isn't required. However you should include the following statement when sending the items:

"This item/information may be a UK Export Controlled item/information, as shown on the UK Strategic Export Control List. A licence might be required by your organisation to export this item/information outside the UK: it is your organisation’s responsibility to check whether such a licence is required."

Is an export licence required for any controlled item leaving the UK or only for items created in the UK?

A licence is required in order to export controlled items regardless of the origin of the item. In some circumstances, the University may be required to comply with laws of other jurisdictions, for instance, US Export Control.

Do controls apply if I export items to the EU?

Yes. Since 31 January 2021, the UK is no longer a member of the EU, so exporting items (physically and electronically) to a country in the EU may require a licence. 

For potentially export-controlled activities involving partners in the EU, PI’s should continue to carry out the normal self-assessment process to ascertain if any information, research data or knowledge (or if applicable, physical goods) that will be shared with those EU partners is controlled, in exactly the same way as if the collaborations were taking place outside the EU.

What do I do if I’m having a meeting that’s covered by an OGEL with multiple internal and external partners present? 

Only one nominated representative of UoS in the meeting needs to record the OGEL usage.

Where there are two different end-user representatives whether from the same country or in different countries (eg Paris and Marseille Universities and Norwegian Company) please include the name and country of each end-user on the same record of use form.

When there is a meeting with foreign nationals, you should only annotate their home institutions in the record of use form, not their nationalities.

Is an export licence required before a foreign national can work on a project at the University?

The UK Export Controls regime is not based on nationality. Provided that the individual concerned is employed and/or contracted by the University, this would not trigger export control requirements. However, if the individual concerned were to export controlled item(s)/information overseas, either by taking that item(s)/information with them on a laptop or sending it to contacts overseas, this would be considered exporting and would require a licence.

The US export control regime is different; it considers nationality, and this needs to be considered when working with US collaborators/partners, or when working on a piece of US technology in the UK, as different rules may apply. Please refer to the US Export Control page for more information.

The Academic Technology Approval Scheme (ATAS) applies to all international students and researchers (apart from exempt nationalities) who are subject to UK immigration control and are intending to study or research at postgraduate level in certain sensitive subjects. Refer to the UK Government Academic Technology Approval Scheme (ATAS) guidance on the GOV.UK website for more information.

Working virtually

Do export controls apply if I’m just in an online meeting?

If you’re meeting with people outside of the UK, then yes.

Controlled technology (which includes information, knowledge and research data) should not be discussed in online meetings (via platforms such as Google Meet, Zoom, or MS Teams) in any depth which would contravene the statement below:

“You must not share information on a controlled topic at a level of detail that would allow a knowledgeable actor to develop, manufacture or use a controlled item as detailed in the UK Strategic Export Control List.”

You are able to share information without an export licence on a controlled topic as long as it does not meet the above threshold. If it is not possible to engage in the discussions without an export licence then, before you share any information, please contact exportcontrol@sheffield.ac.uk or fill out the Export Control Enquiry Form.

How does export control affect remote teaching?

When preparing material for online courses and virtual teaching, export controls must be considered to determine if the content of the course is controlled. 
Controlled technology (which includes information, knowledge and research data) should not be discussed in online meetings (via platforms such as Google Meet, Zoom, or MS Teams) or emails, nor distributed via any digital environment which allows data sharing in any depth which would contravene the statement below:

“You must not share information on a controlled topic at a level of detail that would allow a knowledgeable actor to develop, manufacture or use a controlled item as detailed in the UK Strategic Export Control List.”

You are able to share information without an export licence on a controlled topic as long as it does not meet the above threshold.

The preferred option is for you to alter the course to eliminate the controlled part of the content. If that is deemed impossible due to the nature of the course, then apply for an export licence, before putting the course online.

Please contact exportcontrol@sheffield.ac.uk or fill out the Export Control Enquiry Form for support.