How to apply for an Export Licence
Overview
Before proceeding, University colleagues should first complete an Export Control Query Form to check whether an Export Licence is required for a specific activity.
If a licence is required, the academic lead or Principal Investigator should apply via the government's online submission system SPIRE. There are two main types of licences that apply to University activities:
Open General Export Licence (OGEL) - pre-published licences with set terms and conditions, that are used to cover the movement of less restricted exports to less restricted destinations. There are currently over 40 OGELs available which cover a wide range of circumstances. For more information, please refer to the online OGEL Checker.
Standard Individual Export Licence (SIEL) - if your goods, technology, software, destination or situation are not covered by an OGEL, you will need to apply for a SIEL. This type of Export Licence is used to cover the movement of a specific quantity of items to a specific organisation / country.
The Research Policy, Intelligence and Ethics Team can advise on which type of licence is needed.
Applying for an export licence on SPIRE
Before proceeding, University colleagues should read the online guidance on using SPIRE to get an Export Licence.
1) Create an individual login on SPIRE.
2) Before starting an application, email the Research Policy, Intelligence and Ethics team at: res.policy@ncl.ac.uk to let us know your login and the nature of the application. A member of the team will then add you to the Newcastle Working Group on SPIRE, enabling you to make an application in the name of Newcastle University.
3) As part of the application process you will need to provide:
- control list entry - the relevant technology code can be obtained by using a key term to search the online goods checker, or reviewing the consolidated list of strategic military and dual-use items that require export authorisation.
- name of the Open General Export Licence (OGEL), if applicable - the name of the OGEL can be obtained using the online OGEL checker - if you are applying for a Standard Export Licence (SIEL), this does not apply
- technical specification - University colleagues are responsible for providing technical information regarding the item(s)
- end-user undertaking (EUU) form (if applicable) - the end-user is the entity which uses the item(s) or incorporates them into another product or higher-level system. If you are applying for a Standard Export Licence (SIEL), an EUU form should be completed and signed by the end-user to confirm that due diligence checks have been completed.
4) Your final application will be authorised and submitted on SPIRE by the Research Policy, Intelligence and Ethics team on behalf of Newcastle University.
5) In some cases, the applicant may receive a Request for Further Information (RFI) from the Export Control Joint Unit (ECJU), who manage the application process on behalf of the UK government.
Outcome of application
The ECJU aims to turn around applications within 21 working days, although complex applications may take longer to process. Following assessment, the applicant will receive a notification on SPIRE of the outcome. There are three potential outcomes:
- approved - the technology can be moved outside of the UK subject to the terms of the licence documents.
- no licence required - the technology can be moved outside of the UK without an Export Licence.
- rejected - in a small number of cases, the application may be denied.
If the application is denied, the Research Policy, Intelligence and Ethics Team will work with the applicant to review the feedback and consider the next steps.
Record keeping
Licence holders must retain a copy of the single administrative document for audit purposes, alongside any relevant emails and files. Although an electronic signature on an EUU Form will be accepted at the application stage, the original should also be retained for your records. These documents may be checked in the event of a HMRC compliance visit.