Publications and export controls

Publications
It is important that researchers consider the export control risks of their research not just at the stage of international collaboration but also when it comes to publishing their results.

Technology or software that is in the ‘public domain’ (i.e. available to all without restriction other than copyright) is exempt from export control legislation. The intention to publish a paper containing controlled research data does not mean it is in the public domain. Sharing controlled research as part of the publication process (such as with a reviewer overseas or peer review before publication) may require a licence. However, the act of publishing a paper containing controlled technology (knowledge, data, know-how, reports etc.) in a format that is available without restriction (other than copyright) is not controlled, as the technology is being placed in the public domain. Further information on when decontrols do or do not apply is available here.

Prior to being in the public domain, controlled technology may require a licence if it is exported physically or digitally outside the UK. This applies to exports to collaborators, partners and funders as part of the research process and to exports for assessment / peer review and / or publication. It is the researcher’s responsibility to inform the recipient of their work that it is controlled and which controls apply.

If a work is submitted to a journal / publisher outside the UK (this includes uploads to a server for the publisher to download outside the UK), it is the researcher’s responsibility to apply for a licence – if you suspect that this is the case for your work, please fill in the export control enquiry form linked on this webpage and contact the export control team (researchgovernance@admin.cam.ac.uk). Once it has reached the publisher / journal it is their responsibility to comply with the export controls in their location.

If the publisher / journal is based in the UK the researcher should inform the recipient of their work that it is controlled and which control applies. However, any subsequent exports, such as sending to overseas peer reviewers will, in most cases, be the responsibility of the publisher / journal, as they become the exporter.

Open-source platforms and pre-prints
Controlled software/algorithms can be placed on an open-source platform (such as GitHub) to be made available for anyone to download without restriction if this is customary academic practice within the discipline. Similarly, the publication of a pre-print will not be controlled if it is made immediately publicly available by the researcher/exported (i.e. it is not sent to a third party outside the UK as part of the pre-print publication process).

Please be aware that this de-control is not applicable if the controlled software/algorithm is placed on an open-source platform as a means of sharing controlled software/algorithms with specific overseas collaborator(s) to bypass export control regulations, i.e. the open-source publication should be part of normal practice and not done specifically to overcome the need for an export control licence. Any researcher unsure about whether they can use this de-control should seek advice from the research governance team (researchgovernance@admin.cam.ac.uk).

Cloud storage and routing
For the purposes of UK export controls the location of the exporter and the intended recipient or end user determines the routing of the transfer of technology, not the location of the servers containing the controlled technology.

This means that uploading controlled technology to cloud-based storage is not considered a licensable transfer if it is subsequently downloaded or accessed only by persons located in the UK.