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Dual use and misuse

uclouvain |

UCLouvain conducts research that is internationally engaged and respects fundamental values, including academic freedom.

Some research activities may, however, raise security and responsibility concerns and be subject to international and European regulations designed to prevent the proliferation of weapons of mass destruction or the malicious use of certain technologies, materials or knowledge.

These regulations establish an export control regime for dual-use goods and technologies and require researchers and institutions to ensure that their research, collaborations and knowledge transfers cannot be diverted to military purposes or contribute to human rights violations.

UCLouvain has a legal and ethical responsibility to comply with these regulations and, more specifically, to:

  • check whether certain research activities or collaborations involve dual-use goods and technologies (i.e. intended for civilian use but at risk of being diverted to military purposes);
  • where necessary, obtain authorisation (export licences) to transfer knowledge, equipment or software to certain countries or partners;
  • raise researchers’ awareness of these obligations.

To this end, and in collaboration with French-speaking universities, Vrije Universiteit Brussel, Brussels International – Cellule licences / Cel Vergunningen, and the Walloon Region’s Arms Licensing Directorate, UCLouvain has adopted Guidelines for researchers on dual use and misuse of research.

UCLouvain has also developed tools and a self-assessment procedure to guide researchers in reviewing their projects and identifying potential risks associated with dual-use technologies. With support from the Responsible Partnerships Committee, UCLouvain provides follow-up on a case-by-case basis, including liaison with the Walloon Region’s Arms Licensing Directorate where authorisation is required.

Reference texts

Dual use and misuse are governed by the following EU regulations:

Issues relating to dual use and misuse are governed by the following EU regulations:

  • Regulation (EU) No 2021/821 of 20 May 2021 establishes an EU regime for the control of exports, transfers, brokering and transit of dual-use items and related technologies, together with subsequent updates;
  • Regulation (EC) No 428/2009 brings together the various regimes designed to control exports of strategic and dual-use items and establishes common control rules based on consolidated lists of the relevant products and technologies.
FAQs

Export control refers to a range of laws and regulations that share a common objective: preventing the proliferation of weapons of mass destruction (WMDs), human rights violations and terrorist activities.

This means that, unless specific authorisation (an export licence) has been granted by the competent authorities, the export of certain tangible items (such as a prototype) or intangible assets (such as know-how) is prohibited for reasons of national or international security.

The competent authorities are the relevant national authorities.

For UCLouvain: the Walloon Government – Arms Licensing Directorate.

In addition, where an export contains US-origin content, you may also require a re-export licence (see question 11) from the US Bureau of Industry and Security.

A dual-use item is any item, such as equipment, software or technology, that has both a commercial and a military application.

These items are listed under the Wassenaar Arrangement. In the European Union, the Wassenaar Arrangement has been incorporated into REGULATION (EU) 2021/821 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast).

“Export” is defined very broadly: any oral, written, electronic or visual disclosure, shipment, transfer or transmission of products, technology, information, technical data or software code, as well as the provision of assistance.

  • Telephone conversations 
  • Email communications 
  • Exchange of documents 
  • Disclosure of computer data 
  • Face-to-face discussions 
  • Fax communications 
  • Training sessions 
  • Events, visits or seminars

a. An export licence is required for the export of a product and/or related technology outside the European Union:

  • if it is included in the dual-use control list (Annex I to Regulation (EU) No 2021/821); 
  • if it is not included in the dual-use control list: 
    • if it is used or intended for use in connection with weapons of mass destruction; 
    • if the product and/or technology is intended for military end use and the destination country is subject to an embargo.

b. An export licence is required for the export within the European Union of products and/or related technologies listed in Annex IV to Regulation (EU) No 2021/821.

Companies and individuals that have violated export control laws are placed on restricted-party lists.

They may be denied some or all trading privileges, and transactions with such parties are prohibited.

It is therefore necessary, wherever possible, to screen every partner and institution involved in a collaboration. In case of doubt, researchers are strongly advised to contact the competent authorities.

There is no automatic exemption for academics or researchers or for their work.

Software and technology (but not goods) included on the dual-use control list may be decontrolled and therefore exempt from export licensing requirements if they are in the public domain or are used for basic scientific research.

Neither of these exemptions applies where there are end-use concerns (i.e. use for military purposes).

Fundamental research is defined as “basic and applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community”. TRL 1 and TRL 2 are considered fundamental research.

Where the results of research and industrial development, design, production or use of a product are restricted to proprietary use, the fundamental research exclusion does not apply. Such results are subject to export control regulations.

Similarly, where there are contractual restrictions on the dissemination of research results – for example, requirements for approval prior to publication or restrictions that generally prevent the results from being made publicly available – the fundamental research exclusion does not apply, and export control regulations apply.

It should also be borne in mind that research involving foreign nationals may be subject to export control regulations.

An export licence must be obtained before the export takes place.

When negotiating an agreement (collaboration agreement, research agreement, etc.), you should always assess the potential risk(s) associated with the “export” that will take place. The following questions should be considered:

 

What? What are you exporting? Is it a dual-use item?

Where? Where are you exporting it to? Within or outside the European Union? To a country subject to an embargo?

Who? Who will receive your item? Is the partner included on a restricted-party list, or does it have affiliates that are?

What for? What will your item be used for? For military purposes?

 

If the answers to the questions above indicate that an export licence is required, bear in mind that obtaining one generally involves a lengthy processing time (currently one to two months or even longer) and that the application may be denied.

Export controls are mandatory.

This means that these requirements cannot be overridden by contractual provisions. It also means that any breach of export control legislation constitutes a breach of rules of public policy.

Consequently, the penalties for violating export control laws and regulations are severe and may be civil and/or criminal.

Most important, UCLouvain’s reputation could be seriously damaged if we fail to comply with these regulations.

Destination

An export licence is required for:

 

Within the EU

All goods and technologies intended for military use 

Dual-use goods and technologies listed in Annex IV of the EU control list

Awareness that the end use will be related to weapons of mass destruction (WMDs) outside the EU 

 

Outside the EU

 

All military goods and technologies, dual-use goods and technologies included on the EU control list, and any goods or technologies where it is known that the end use will be related to WMDs.

 

To Russia

 

Additional end-use rules apply; these must be checked. 

To China

 

Additional end-use rules apply; these must be checked. 

 

Embargoed countries

For currently embargoed countries, consult the EU Sanctions Map.

 

The US Department of Commerce also regulates re-exports of “dual-use” items under its Export Administration Regulations (EAR).

If you are outside the US and wish to export or re-export an item of US origin or with a connection to the US, the item may require a licence from the US Department of Commerce’s Bureau of Industry and Security (BIS).

A re-export is the shipment or transmission of an item subject to the EAR from one foreign country (i.e. a country other than the US) to another foreign country.

A re-export also occurs when technology or software (source code) subject to the EAR is “released” in a foreign country to a national of another foreign country (a deemed re-export).

Your item is subject to the Export Administration Regulations if it:

 - was produced in or originates from the US;

- is a foreign-made product containing more than a specified percentage of controlled US content;

- is a foreign-made product based on US-origin technology or software and is intended for shipment to specified destinations;

- was produced by a plant or major component of a plant located outside the US, where that plant or major component is the direct product of certain US technology or software, and the product is intended for shipment to specified destination.

If you need help meeting export control requirements, please contact: exportcontrol@uclouvain.be.