02/08/2024 | Press release | Distributed by Public on 02/08/2024 20:11
How the UK's strategic export controls apply to academics, university researchers and their institutions, and when an export licence is needed.
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:
UK strategic export controls focus on high risk activities, such as applied research and could affect your activities if you:
It is a criminal offence to export controlled items without the correct licence. Penalties vary depending on the nature of the offence.
Unless your work qualifies for an exemption you might need an export licence if one of the following apply:
and you answer yes to any of the following:
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:
Academic and university researchers must check:
See guidance on exporting military or dual-use technology: definitions.
Computer-based services and activities that take place online, in the cloud or through distributed computing, include:
Export controls can still apply to these types of activities and need to be considered.
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:
You must check whether your potential collaboration partner individuals and their organisation have been involved in activities of potential concern using:
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.
Export controls apply:
Check guidance on UK's strategic export controls.
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.
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 master's 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.
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 applies to controlled dual-use technologies. It does not apply where there are end-use, end-user or destination concerns. By definition military listed technology is for a specific application, and therefore is not basic scientific research. End-Use Controls can apply to Basic Scientific Research where there are concerns over the End User or where the destination country is subject to UK sanctions or embargos, please see our Notice to Exporters for more information on our End User Advisory Service.
Further protection of academic freedom is set out in section 8 of the Export Control Act 2002.
In the case of non-nuclear dual-use 'technology', the controls do not apply to the minimum technical information required to support a patent application.
Any academic exemption is unlikely to apply to all aspects of research focused advanced postgraduate degrees such as MPhil or PhD looking at areas of controlled technology. Especially as such research programmes will typically be applied research. By their very nature, they will include technology not covered by the 'public domain'.
Research may be able to use the 'basic scientific research' exemption. The use of this exemption is limited by the definition of what is intended by 'basic scientific research'.
To qualify for this exemption any technology generated by the research for basic scientific research purposes must:
A possible way of determining whether a piece of research is 'basic scientific research' is to consider the Technology Readiness Level (TRL) of the research being undertaken. A low TRL around 1 to 3, is more likely to fall within the area of 'basic scientific research'.
If the sole intended output of a piece of work is a published article in a peer reviewed scientific journal, then this is a further useful indicator to this being 'basic scientific research' especially as the intended output is to be in the 'public domain'.
Apply for a licence using SPIRE, the online export licensing system.
Read guidance on applying for an export licence using SPIRE.
Both export control restrictions and exemptions apply when a UK institution offers STEM-based courses:
When providing these STEM-based courses you must ensure any training, advanced study, continued professional development, or individual research projects:
Care must also be taken if research is:
The nationality of any intended recipient is not a factor as to whether or not export controls apply. Therefore the UK does not have what is termed 'deemed exports'. The transfer of controlled 'technology' to a non-UK national, that takes place solely in the UK, and does not involve any transfer from the UK, is not deemed to be an export.
The nationality of a person is a factor with other government approvals, such as the Academic Technology Approval Scheme (ATAS) certificate. This is a requirement for certain non-UK persons to be able to study specific subjects in the UK.
Read our case studies showing scenarios when export controls apply to academic research.
Breaching export controls is a criminal offence. Penalties can vary depending on the nature of the offence.
They include:
See how to voluntarily report any licensing irregularities to HMRC.
General queries about strategic export licensing
Export Control Joint Unit
Department for Business and Trade
Old Admiralty Building
Admiralty Place
London
SW1A 2DY
Email [email protected]
Telephone 020 7215 4594
Sign up to our notices to exporters email alert service to keep up-to-date with changes to export licences or legislation.
Sign up for one of our scheduled training courses on export control compliance, or request bespoke seminars on specific aspects of UK export controls.
Some text added to cover off intention to publish in relation to the public domain exemptions.
First published.