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 * Project   : Research Integrity (RI_INT)
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 * Release   : Thu Apr 13 2023 09:54:27 GMT+0100 (British Summer Time)
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		<title>Advice and institutional support</title>
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							<p>If you work at a university with a significant research portfolio, you probably have one or more export control administrators/experts within your research office. Various mechanisms are used to manage export controls, including combinations of <glossary content="A type of contract between the originator of a material or knowledge and an end user. They are often used when transferring reagents or equipment between institutions, either nationally or internationally. They often specify who retains (or transfers) any intellectual property linked to the material." placement="bottom">material transfer agreements</glossary>, specific legal export control restrictions and export <glossary content="Special permission, usually granted by a government department to an individual or institution to allow the export of certain materials or technologies." placement="bottom">licences</glossary>.</p>
							
							<h3>Export control checklist</h3>
							
							<p>Generally, you progress through the following stages when working through an export control issue.</p>
							
							<instructional-text class="hide-in-mobile"><p>Click through each step to discover how an export control issue should be handled.</p></instructional-text>
							<accessible-text class="show-in-mobile"><p>Continue on to discover the process to be followed when an export control issue is being handled.</p></accessible-text>
							
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								<ladder-step>
									<ladder-label>Self-assess the ways in which your research could be subject to export controls</ladder-label>
									<ladder-number>1</ladder-number>
									<ladder-feedback>
										<p>Although your university, your funder or someone else might identify ways in which your research could be subject to export controls, the primary responsibility for identification usually rests with the researchers. Therefore, you should ask yourself:</p>
										<ul>
											<li>Does your research have any relationship to security interests?</li>
											<li>Is any of the information you are using classified?</li>
											<li>Are you using or do you have information on security-sensitive technologies or software?</li>
											<li>Are you collaborating with anyone who could be from a country that is judged to be a security risk?</li>
											<li>Does your research have any dual-use potential?</li>
											<li>Does your research have any connection with, or does it have potential to help, individuals from countries or groups that could pose a security risk?</li>
										</ul>
										<p>If the answer to any of these questions is 'yes', then you should get in touch with the appropriate research officer at your institution. If you are unsure of how to answer any of these questions, it is also worth approaching a senior figure at your institution to explain your situation and ask for advice.</p>
									</ladder-feedback>
								</ladder-step>
								<ladder-step>
									<ladder-label>Provide your university  with a full description of your research</ladder-label>
									<ladder-number>2</ladder-number>
									<ladder-feedback>
										<p>Many universities have forms that can be used to notify the university of possible export control issues. At the very least, you need to describe:</p>
										<ul>
											<li>The technology or information to be exported</li>
											<li>The purpose of the research</li>
											<li>The destination of the technology or information to be exported</li>
											<li>Collaborators and staff</li>
											<li>The information you will be using for your research and its source</li>
											<li>Your reasons for seeking clarification and advice.</li>
										</ul>
									</ladder-feedback>
								</ladder-step>
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									<ladder-label>With the help of your university, review whether or not your research is subject to export controls</ladder-label>
									<ladder-number>3</ladder-number>
									<ladder-feedback>
										<p>Export control regulations contain protections for academic freedom that provide limited exemptions. </p>
										<ul>
											<li>Information in the public domain</li>
											<li>Research in the pursuit of basic scientific knowledge</li>
										</ul>
										<p>The exemption for basic scientific knowledge is more limited than it appears.</p>
										<p>In some cases, your institution might already have a broad export licence covering a programme of activity; when this is the case, checks are necessary to see whether a relevant licence already exists.</p>
										<p>This is a complex area, which is why it is important to seek advice and support. You must be aware that if you make these decisions on your own, you will be personally responsible for any mistakes made.</p>
									</ladder-feedback>
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									<ladder-label>Develop a technology control plan</ladder-label>
									<ladder-number>4</ladder-number>
									<ladder-feedback>
										<p>If your research is not exempt, some universities may require researchers to work with them to develop a technology control plan. Technology control plans originated in the US, but the process of creating a plan can be helpful to:</p>
										<ul>
											<li>Identify the export control issue that needs to be addressed</li>
											<li>Explain how the institution and the researcher will meet their respective responsibilities</li>
											<li>Confirm (with signatures) the agreement of all concerned.</li>
										</ul>
										<p>In some cases, plans may call for additional agreements or permissions (e.g. an export licence), but in all cases plans should be made in accordance with your local institutional policy.</p>
										<p>If an export licence is required, an application needs to be made through the UK Export Control Organisation's online licensing system, <span aria-label="S P I R E">SPIRE</span> or <span aria-label="L I T E">LITE</span>. Your institution will have a registered authorised individual who will assist with this process (you will not be able to apply on your own without authorisation).</p>
									</ladder-feedback>
								</ladder-step>
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									<ladder-label>Implement and follow through on your technology control plan (if applicable), institutional policy and any other agreements</ladder-label>
									<ladder-number>5</ladder-number>
									<ladder-feedback>
										<p>To follow through on any plans or agreements, you may need to:</p>
										<ul>
											<li>Ensure that all staff are properly trained</li>
											<li>Reach out to your collaborators to make sure they understand their responsibilities</li>
											<li>Check to make sure that the appropriate steps (e.g. data-security measures, access control) are taken</li>
											<li>Take care to manage your equipment and your computer properly</li>
											<li>Keep track of who attends research meetings and who has access to your research results</li>
											<li>Ensure that all relevant MTAs are in place.</li>
										</ul>
										<p>Be careful not to fall prey to seemingly small mistakes (such as divulging information to collaborators in emails), which can have serious consequences.</p>
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							<p>Export controls can change over time and advice at the beginning of a multi-year collaboration may be out of date by the time of the actual export. As a result, you may need to seek confirmation of any previous advice at the point of export.</p>
							<p>Beyond this general advice, you can always read the relevant export control regulations yourself (see the screen on "Export control policies in the UK"). This may be a good idea to ensure you understand the advice you are being given; however, for the most part, relying on your institution's research office is the safest approach when it comes to export controls.</p>
							
							<h3>Summary</h3>
							
							<p>When you are conducting research, you should always keep the following questions in mind:</p>
							
							<ul>
								<li>Could it have security implications?</li>
								<li>Will it involve collaborations that could pose a security risk?</li>
								<li>Could it benefit groups that might pose a security risk to your country?</li>
								<li>Does it have dual-use potential?</li>
							</ul>
							
							<p>If the answer to any of these questions might be 'yes', even if you are not completely sure, it is your responsibility to contact your research office, your research funder or a relevant export control official. You will then need to ensure that appropriate measures and protections are put in place.</p>
							
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