Once you have identified that the entity is in a key country then you need to fill in and submit an Export Controls Compliance request (online form) with the Regulatory Compliance Team so as for them to carry out a further due diligence checks on the entity.

This type of licence is issued where the entity (collaborator/funder) has been identified or flagged up as having end-user military concerns.

Once the licence is issued, you are expected to:

• Comply with the terms and conditions of the licence.
• Carry on with the specific research project for which the licence was issued.

A Standard Individual Export Licence (SIEL) permits the export of certain strategic controlled items in a specified quantity to a specified end-user. That is, you should submit an Export Controls Compliance Request online form once you have identified that you plan to export a specific quantity of items to a specified consignee or end-user. These items could be physical goods or intangibles.

Once you have assessed and identified that your project may be controlled and you have submitted an online form, the RC Team would submit a SIEL licence application on your behalf. There are 2 types of SIEL licence; permanent or Temporary. You may need a temporary export licence if you are exporting on a temporary. SIELs for permanent exports are generally valid for 2 years or until the quantity specified has been exported within the given duration of time.

Once the licence is issued, you:

• can use your electronic devices, access email through Outlook and download attachments as normal. 
• can undertake all controlled work that has been indicated in your export control licence application. 
• must pay attention to the expiry date of the licence and if you need to renew the licence, please contact the regulatory compliance team.
• must comply with all the terms and conditions of the SIEL licence including:
  • providing evidence of the usage of the relevant export statement (E.g., scans of shipping documentation, or photographs of the statement applied to the outside of packages).
  • for Physical goods exports, you should request a copy of the Single Administrative Document (SAD) form from your courier/freight forwarder. The Regulatory Compliance team will check that the SAD form has been filled in correctly
  • notify BEIS/ECO when exports are made under the licence, or e.g. when goods are returned as may be applicable.
• must maintain records of all transactions carried out under your licence.

The Government turnaround time for SIELs, for a non-key country, is about 60 working days. All other types of licence and those for key countries may take longer as they are assessed on an individual basis.

Fill in and submit an Export Controls Compliance request (online form) with the Regulatory Compliance Team, who will apply for the SIEL licence for you and explain any further requirements. 

If you are likely to be exporting similar items regularly to the same end-user subsequently, you should consider an open individual export licence (OIEL).

A SIEL is in most cases the most appropriate licence to use to export controlled goods if you are unable to meet the conditions/requirements of an OGEL Licence.

OGELs are licences with set terms and conditions which you must comply with as they permit the export of specific controlled goods to named destinations.

After you have assessed your project and identified that the project is controlled, you need to enter the codes you’ve identified, along with the country where your entity is based into the OGEL checker to determine if there are any Open General Export Licences (OGELs) applicable to your project.  

If the OGEL Checker informs you that there is an OGEL available, fill in and submit an Export Controls Compliance request (online form) with the Regulatory Compliance Team to register to use that OGEL licence. 

CONDITIONS OF AN OGEL

OGEL usage is auditable by the ECJU every 3 years. The usage of OGELs must adhere to the following conditions: 

1. You must provide a notification of every export to a central university repository via an export notification form. The notification of both tangible and intangible transfers must be made to this repository to ensure The University comply with the requirement of record keeping that the OGEL requires.  The information you need to have available is: 

• a description of the technology sent (including the type and use). 
• information on end-users and any other party to the transaction. 
• the destination countries involved. 
• the date of the transfer or the period of time the transaction takes place over (if repeat meetings are conducted with a collaborator e.g. a weekly meeting then a start and end date for the series of meetings can be used to indicate the transfer takes place over a period of time). 
• any other records which the licence may specifically state. All additional information on this export should be added to the export description box of the export notification form.

Further advice on now to annotate exports for the central repository:

• It is acceptable for one nominated UoM representative in the meeting to upload that information on OGEL usage to the central registry.
• Where there are two different end-user representatives within the same country or in different countries (e.g. Melbourne and Sydney Universities, and Company x in USA), please include the name and country of each end-user (receivers) into the Receiver field on the same export notification form.
• When there is a meeting with foreign nationals, you should only annotate their home institutions in the export notification form, not due to their nationalities.
• If you hold controlled technology on your laptop and are in transit to the Country of your destination, as long as you stay in the airport/passport-controlled zone and do not access the controlled technology until you reach the country of your destination then no new notification is required for the countries that you transit through.

2. You must use the relevant export statement for shipments of physical goods (samples etc.).   

3. For shipments of physical goods, you should request a copy of the Single Administrative Document (SAD) from your courier/freight forwarder and send it to the Regulatory Compliance Team who can check that you have filled in the right code. 

The OGEL is only for transfer of tangible or intangible items, incoming visitor are not covered by this OGEL. A request for export due diligence is necessary, per academic visit, but only if the visitor’s home institution is located in a key country and also depending on the number of days that the visit lasts.In particular with visits to USA, you need to consider what you are bringing back. If it is controlled under US export legislation, we require a Guidance Control plan put in place to give assurances that all the physical measures, information security measures and access management and vetting of individuals is according to US law. 

• If the OGEL checker informs you that there is no OGEL available for that combination of code and destination, you need to apply for a Standard Individual Export Licence (SIEL) through the Regulatory Compliance Team.

This type of licence allows a named exporter to export multiple shipments of specific controlled goods to named destinations. Exporters who have a track record in applying for export licences or can raise a business case can apply for this type of licence. Fill in and submit an Export Controls Compliance request (online form) with the Regulatory Compliance Team to apply for an OIEL licence.

First you need to:

• Assess and identify if your project is controlled.
• Also check if you will likely be exporting similar items regularly to the same end-user in the future.

Once this has been identified, then you contact the regulatory compliance team who will submit an OIEL application on your behalf. Once this has been issued:

• must comply with all the terms and conditions of the OIEL licence including:
  • providing evidence of the usage of the relevant export statement (E.g., scans of shipping documentation, or photographs of the statement applied to the outside of packages).
  • For Physical goods exports, you should request a copy of the Single Administrative Document (SAD) form from your courier/freight forwarder. The Regulatory Compliance team will check that the SAD form has been filled in correctly
  • notify BEIS/ECO when exports are made under the licence, or e.g. when goods are returned as may be applicable.
• must maintain records of all transactions carried out under your licence.

OIELs can be permanent and temporary that is you can apply for a temporary OIEL where it involves temporary shipments, and you must not dispose of goods exported under the temporary OIELs as they must be returned to the UK within 12 months of export. OIELs are usually valid for 3 to 5 years and you must comply with all terms and conditions of the granted OIEL.