Guidance

Export controls applying to academic research

How the UK's strategic export controls apply to academics, university researchers and their institutions, and when an export licence is needed.

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 UK’s 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

It is a criminal offence to export controlled items without the correct licence. Penalties vary depending on the nature of the offence.

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:

and you answer yes to any of the following:

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 King’s College’s 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 partner’s 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 master’s degrees.

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 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.

Further protection of academic freedom is set out in section 8 of the Export Control Act 2002.

Patent applications

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.

Limits of academic exemption

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:

  • be solely to add to the sum of human knowledge
  • not be aimed at a specific (short-term) practical aim
  • not address a specific technical problem

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 an export licence

Apply for a licence using SPIRE, the online export licensing system.

Read guidance on applying for an export licence using SPIRE.

Transnational education (TNE)

Both export control restrictions and exemptions apply when a UK institution offers STEM-based courses:

  • through an overseas campus
  • to overseas-based students by electronic means

When providing these STEM-based courses you must ensure any training, advanced study, continued professional development, or individual research projects:

  • comply with export controls
  • are not undertaken in support of a WMD programme

Care must also be taken if research is:

  • undertaken as part of an applied or work based programme, such as an engineering doctorate
  • through a split-site programme of study involving a non-UK based component

How nationality affects export controls

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.

Case studies

Read our case studies showing scenarios when export controls apply to academic research.

Penalties and fines

Breaching export controls is a criminal offence. Penalties can vary depending on the nature of the offence.

They include:

  • revocation of licences
  • seizure of items
  • issuing of a compound penalty fine
  • imprisonment for up to 10 years

See how to voluntarily report any licensing irregularities to HMRC.

Contact ECJU

General queries about strategic export licensing

Export Control Joint Unit
Department for Business and Trade
Old Admiralty Building
Admiralty Place
London
SW1A 2DY

Email exportcontrol.help@businessandtrade.gov.uk

Telephone 020 7215 4594

Subscribe to notices to exporters

Sign up to our notices to exporters email alert service to keep up-to-date with changes to export licences or legislation.

Training and seminars

Sign up for one of our scheduled training courses on export control compliance, or request bespoke seminars on specific aspects of UK export controls.

Published 31 March 2021