GovWire

Overview

This guidance is for academics or those doing postgraduate research in fields where there is a high risk it could be used for military purposes. This includes the development, production, use or delivery of weapons of mass destruction (WMD).

It explains:

• how to assess if the UKs export controls apply
• when your research might be exempt
• how to check whether you need an export licence

UK strategic export controls focus on high risk activities, such as applied research and could affect your activities if you:

• work with colleagues overseas on research projects
• take your research overseas
• export your technology

Assess if you need an export licence

Unless your work qualifies for an exemption you might need an export licence if one of the following apply:

• your software or technology is linked to items in the consolidated list of strategic military and dual-use items that require export authorisation
• you have been informed, are aware, or suspect that the recipient of the software or technology intends to use it for WMD purposes

and you answer yes to any of the following:

• the software or technology is not in the public domain
• the technology does not meet the definition of basic scientific research
• your research is in one of the disciplines that could be targeted by would-be proliferators
• recipient intends to use or send the information outside the EU
• preliminary online searches or other open source checks show the recipient is potentially involved in suspicious activity

High risk research

Applied research in certain fields is high risk and could potentially be misused for military purposes. These areas are usually in the science, technology, engineering and mathematics (STEM) subjects.

They include:

• aeronautical and space technology
• applied chemistry, biochemistry and chemical engineering
• applied physics
• biotechnology
• electrical and mechanical engineering
• instrumentation and sensors
• materials technology
• nuclear technologies
• production and process technology
• telecommunications and information technology

Technology and software

Academic and university researchers must check:

• definitions of the term technology and software as used in export controls
• what constitutes an export of technology

See guidance on exporting military or dual-use technology: definitions.

Working in the cloud

Computer-based services and activities that take place online, in the cloud or through distributed computing, include:

• virtual learning environments (VLEs)
• e-Research
• e-Science

Export controls can still apply to these types of activities and need to be considered.

Collaborating internationally

Before agreeing to any international research collaboration, researchers and institutions must first undertake a due diligence process.

The development and production of complex military systems, such as WMD and the means of their delivery, require expertise in a wide range of technical areas.

A particular collaboration may not on first appearance be directly relevant to such activities. However, a transfer of technical information or data for one purpose could unwittingly be used for another purpose, including assisting in the development or production of WMD.

This is particularly important with organisations in countries subject to sanctions relating to WMD, or countries that have WMD or ballistic missile programmes.

You should note certain countries have an active state policy concerning the diversion of advanced and emerging technologies. This is to support the development of their military including in WMD.

You should:

1. Check if there will be any transfer of controlled items, including technology.
2. Check if there is a risk that the activities of a party to the collaboration could divert items, including non-controlled items, to a WMD programme.
3. Get an export licence for any transfers.

Assessing risk of collaboration

You must check whether your potential collaboration partner individuals and their organisation have been involved in activities of potential concern using:

• Internet searches to see what is in the public domain
• the list of entities subject to government-imposed sanctions or restrictions
• news articles and press releases about involvement in military or defence projects
• online resources run by non-government organisations, such as Kings Colleges Centre for Science and Security Studies and academic think tanks
• Export Control Joint Unit (ECJU) for help with specific enquires if more information and advice is required

Compliance with export control regime in partners country

The government of the country where collaborating parties are based will very likely have their own export control restrictions. You need to ensure compliance with their regulations.

When UK strategic export controls apply

Export controls apply:

• to goods, software and technology appearing on control lists
• when there are concerns about end-use or end-user
• when destinations are subject to sanction or other restrictions

Exemptions for the academic community

There are exemptions for some areas of academic research. The government aims to prevent the potential misuse of research or collaboration. It is not to restrict research, academic collaboration, or vet publication of scientific papers.

Exemptions to export controls fall into 3 areas.

In the public domain

This is technology or software available without restrictions on its further dissemination. It excludes the normal copyright restrictions that may apply.

It is unlikely that undergraduate level courses need to consider export controls. Most of the information and technical data used in teaching such degrees is in the public domain. Therefore the exemption would generally apply.

In the case of individual projects it is unlikely that export controls apply. This is because the work generated would generally not meet the full definition of sensitive technology. The same is generally true of most types of taught masters degrees.

Research is not in the public domain until it is published and accessible to the public, this means that when sending controlled research oversees for the purpose of peer review or publication it is not yet in the public domain and therefore will require an export licence. Once published the requirement of the licence will lapse as it is now in the public domain.

Basic scientific research

Export controls do not apply to research in the pursuit of basic scientific knowledge.

This is experimental or theoretical work. It is undertaken to solely obtain new knowledge of the fundamental principles of phenomena or observable facts. It is not directed towards a specific practical aim or goal.

This exemption only ap

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