Trusted Research Guidance

Joint or collaborative research is vulnerable to misuse by organisations and institutions who operate in nations whose democratic and ethical values are different from our own. It allows them to work with experts in a field of cutting-edge research and innovation, and obtain the resulting output of that work, all without having to steal it.

All research can be at risk, but areas around applied research are particularly vulnerable, especially where there is a specific problem that you are seeking to solve, or where you are trying to develop a commercial application. In these cases, the consequence of research outcomes being exploited could be far greater and could result in the loss of intellectual property and misuse of your research.

For individual researchers, interference with (or loss of) research is likely to limit your ability to publish first or take credit for the resulting intellectual property. This could negatively affect your reputation and ability to demonstrate the impact of your research.

Know your partner: Whilst JRES will conduct due diligence on new research funders and collaborators, it is important that Principal Investigators understand who their proposed collaborator is and what their motivations may be. Questions to ask about a potential research partner could include:

• What is their interest in the research?
• How do they intend to use the research?
• Do they have any links to the military or police of a state which may be viewed as hostile to the UK?
• Does the project have any potential applications for military use, harm, repression or surveillance?

Conflicts of interest: Be aware of potential conflicts of interests between research and/or funding partners that you work with. Be open with your partners and discuss your security arrangements, and their security needs, regularly.

Segregation: Ensure that, where necessary to protect IP, research or personal data, there is appropriate segregation between research programmes, both physically and online. Only give access to research to those who have a valid requirement.

Legal compliance: Ensure that legal requirements are complied with. Information on the National Security Act and Export Controls is below.

Further guidance is available from the NPSA Trusted Research Guidance for Academia | NPSA

Under the National Security and Investment (NSI) Act 2021 the UK government is able to scrutinise and intervene in certain acquisitions made by anyone, including businesses and investors, that could threaten the UK’s national security. The rules empower the government to impose conditions on qualifying acquisitions of entities and assets, or, if necessary, to block or unwind the offending transactions.

The Secretary of State can “call in” (review) acquisitions if the government reasonably suspects that a qualifying acquisition has given rise to, or may give rise to, a risk to national security.

The Act creates mandatory and voluntary notification regimes for the acquisition of entities and assets respectively.

• The acquirer of an entity must notify the government’s Investment Security Unit (ISU) prior to completion of a qualifying acquisition. 
• Any party may notify the ISU about a qualifying acquisition of an asset and check whether the Secretary of State will call it in.

The government has developed guidance on the NSI Act for the higher education and research-intensive sectorswhich includes scenarios of where mandatory or voluntary notification could apply.

Mandatory notification requirements

Approval from the government is needed for acquisitions which fall under the mandatory notification regime. If you complete a notifiable acquisition without gaining approval from the government, the acquisition is void. There are civil and criminal penalties for proceeding with a notifiable acquisition without gaining the necessary approval.

A mandatory notification needs to be made if the following four conditions apply: 

i) It is a qualifying entity which is any entity other than an individual, including a company, a limited liability partnership, any other body corporate, a partnership, or an unincorporated association or trust. The government gives the following examples for the higher education and research-intensive sectors:

• university, which is registered as a charitable organisation (St George’s fits this category)
• private university
• trust
• university spin-out
  • university subsidiary (for example a company that a university has incorporated and carries out specific activities that the university operates)
• research organisation
  • private company or corporation doing contractual work with a higher education institution or research organisation.

ii) The level of control acquired meets any of the specified thresholds, which are specified here

iii) It is in one of 17 sectors of the economy identified by the government. These are:

• Advanced Materials
• Advanced Robotics
• Artificial Intelligence
• Civil Nuclear
• Communications
• Computing Hardware
• Critical Suppliers to Government
• Cryptographic Authentication
• Data Infrastructure
• Defence
• Energy
• Military and Dual-Use
• Quantum Technologies
• Satellite and Space Technologies
• Suppliers to the Emergency Services
• Synthetic Biology
• Transport

iv) The entity is from, in or has a connection to the UK

Mandatory notification process

Where mandatory notification is required in relation to a University spin-out, this will normally be made by the spin-out company itself as a separate legal entity.

If Principal Investigators/researchers have research or commercialisation activities which could require mandatory notification, they should inform the JRES Director who is responsible for making mandatory notifications on behalf of the University.

Voluntary notification requirements

Voluntary notifications may be made in relation to qualifying acquisitions of assets in or close to the 17 sectors of the economy described above. Whilst there is no legal requirement to tell the government about qualifying acquisitions not covered by mandatory notification, voluntary notification avoids the risk of proceeding with an acquisition that might be later called in and potentially blocked or unwound.

Qualifying assets include land, tangible, moveable property, and ideas, information or techniques which have industrial, commercial or other economic value (‘intellectual property’).

The government gives the following examples for the higher education and research-intensive sectors:

• designs
• plans, drawings and specifications
• software
• trade secrets
• databases
• source code
• algorithms
• formulae
• land
• tangible moveable property, such as laboratory equipment

 Voluntary notification process

When a contract is proposed which is likely to transfer intellectual property or other qualifying assets (e.g. research funding agreement, research collaboration agreement, licence agreement or material transfer agreement) in an area of research which is in or close to one of the 17 sectors of the economy described above, the Principal Investigator should inform the JRES Director.

If in doubt, please contact the JRES Director if you are intending to work with in any way a research funder or collaborator/partner in an area of research which is in or close to one of the 17 sectors of the economy described above.

The University will take a risk-based approach to voluntary notifications. JRES Director is responsible for deciding whether a voluntary notification should be made, and for making voluntary notifications. Decisions will be made in consultation with the Principal Investigator. 

Export controls are a legislative framework, by which the UK Government controls the export of a range of military and “dual-use” items. Some St George’s research could have the potential for misuse or dual-use, therefore when St George’s researchers work with international partners (and in some circumstances UK partners), some research activities may be subject to export controls. There are also UK sanctions and embargos on certain items to specific countries.

What can count as an “Export” in research

If you are exporting as part of your research, then you could be subject to export controls. An export can be both tangible or intangible goods – so can cover software, data, technology and know-how.

If you are providing any tangible or intangible materials or information by any means to recipients outside the UK (including funders and collaborators) then you could be subject to export controls.

You could also be subject to export controls, including for the transfer of materials or information in the UK, if you know or suspect that the end user intends to use materials or information for military or Weapons of Mass Destruction (WMD) purposes.

Circumstances which are subject to Export Controls

In any of the following circumstances you will be subject to Export Controls

1) Military and dual-use items: Any any goods, technology, software or information to be exported outside the UK on the consolidated list of strategic military and dual-use items that require export authorisations. The list can be accessed here: Consolidated list of strategic military and dual-use items that require export authorisation - GOV.UK (www.gov.uk). There is also an Export Control Organisation Goods Checker you can use to confirm.

• Military items are any item specially designed or modified (however minor the modification) for military use.

• Dual use items are those intended for civil use but which could potentially be used for military, WMD or security-related purposes. An example would be a wound healing treatment being used to calculate the force needed to prevent wound healing.

There are exemptions for academic research. These are:

i) In the public domain: Technology or software available without restrictions on its further dissemination.

ii) Basic scientific research: Experimental or theoretical work undertaken solely to obtain new knowledge of the fundamental principles of phenomena or observable facts. It is not directed towards a specific practical aim or goal (applies only to controlled dual-use items).

iii) Patent application: The minimum technical information required to support a patent application (excluding nuclear dual-use technology).

 The exemptions can be accessed in full here

2) Embargos or sanctions apply: Where the export is to a specific country which is subject to a UK embargo or sanctions. Please check if the country you are providing materials or information to us on the current UK list: Trade sanctions, arms embargoes, and other trade restrictions - GOV.UK (www.gov.uk)

3) Suspected end use is military or WMD: This applies if the materials or information are intended to be sent to an end-user where there are concerns that they might be used for military purposes or in a WMD programme. It includes the supply of materials or information to UK partners.

If your research is subject to export controls

If your research is subject to any export controls, you will need a licence before you proceed with your research partnership. Please contact the JRES Director to discuss how best to proceed. JRES can support the Principal Investigator to apply for a licence.

If you are unsure whether your proposed research partnership is subject to export controls, please contact the JRES Director to discuss.