US Export Administration Regulations - EAR
US Export Administration Regulations (EAR) apply extraterritorially. As such, controlled US goods, technology or software imported from US include re-export clauses that can prevent them from being shared with certain foreign nationals within the UK (including within your research team). Therefore, if an item (be it physical goods or related technology or software) that you will be working with was imported from the US and you have been informed that it falls under US International Traffic in Arms Regulations (ITAR) or EAR, please contact email@example.com. This will ensure that you receive advice on the appropriate controls that are required to be put in place and to provide assurance to the US that the University and the PI are compliant with the EAR and/or ITAR.
EAR should also be considered when recruiting an international researcher or PDRA. If you are planning to work with an external international researcher who will be using controlled items which have been exported from US, and fall under the extraterritorial EAR, please contact firstname.lastname@example.org for advice on how to proceed.
Anyone intending to work with controlled goods from the US needs to be aware of these restrictions.
EU Export Control
The EU Dual-Use Regulation regulates exports outside the EU, transfers inside the EU, transit through the EU and the brokering of certain sensitive goods, services, software and technology (referred to as “items”) that are considered “dual-use.” The EU has updated its export control rules for dual-use items to (1) take account of Brexit, (2) ensure consistency with recent developments in international non-proliferation regimes and export control arrangements, and (3) address cyber-surveillance and other security threats stemming from new technologies, reinforce cooperation among competent EU authorities, and impose enhanced compliance obligations on businesses.
EU Guidance on Post-Brexit Export Controls
On 16 September 2020, the Commission published an updated notice on export control (External PDF) after Brexit. The Notice provides guidance on the changes to export control rules, including export authorization requirements, for dual-use items. The changes entered into force at the expiry of the transition period on 31 December 2020, when the United Kingdom was no longer a Member of the EU.
Whilst the UK was a member of the EU you did not require an export licence to exporting less sensitive controlled physical goods or transferring less sensitive controlled technology (Intra-Community Trade - ICT). However, you did need a licence If you were exporting or transferring highly sensitive controlled goods or technology to EU destinations. These more sensitive controlled items were described in Annex IV of the regulations.
Post-Brexit Shipments requirements between EU Member States and the UK have changed. Currently, all shipments of dual-use items from the EU to the UK will require an EU export authorization, as set out in the EU Dual-Use Regulation. Vice versa, all shipments of dual-use items from the UK to the EU will require a UK export authorization, as set out in the Export Control Order 2008. Furthermore, UK exporters will need to reapply for and obtain UK export authorizations for exports of dual-use items from the UK to third countries. Vice versa, EU exporters will no longer be able to rely on UK export authorizations granted pursuant to the EU Dual-Use Regulation to ship dual-use items from the EU to other third countries. EU exporters will need to reapply for and obtain relevant authorizations from competent authorities in EU Member States.
However, on 1 January 2021, the EU agreed to add UK to the Union GEA EU001 authorizes registered exporters to export multiple shipments of certain dual-use items to listed destinations (currently: Australia, Canada, Japan, New Zealand, Norway, Switzerland, and the United States and UK), hence facilitating exports to UK.
Separately, the UK will allow exports of dual-use items from the UK to the EU under an Open General Export License (OGEL). The OGEL would only require exporters to register with the UK authorities, in order to be authorized to export dual-use items (other than those currently listed in Annex IIg of the EU Dual-Use Regulation) to the EU. You can check whether or not your goods/technology require an export licence by using the Government’s OGEL Checker tool. If none of the OGELs listed apply to your goods/technology, you may be able to still apply for a Standard Individual Export Licence (SIEL).
If your controlled good or controlled technology falls under OGELs, you still must notify the Research Strategy and Services Division of your work with controlled items in the EU and keep records of your exports for audit purposes.
If you requested checks on OGELs, remember not to share any controlled information with external collaborators until the Research Services Division advises that it is safe to do so.
Chinese Export Control Law
As with EAR, Chinese export control law apply extraterritorially, hence organisations and individuals receiving China-controlled exports shall be held legally accountable for non-compliance.
Although a centralised Chinese control list has not been produced yet, the export of Chinese controlled items is restricted, as well as the export of non-controlled items if they are linked to terrorism, WMD and/or Chinese national interest/security.