Exemptions and decontrols

Decontrols

Decontrols apply to specific items or technology only. They are found in the UK strategic export control lists document on the gov.uk website. For example, a decontrol can be seen for entry 3C001 of this document.

Hetero-epitaxial materials, not specified in PL9013.b. in Schedule 3 to the Export  Control Order 2008, consisting of a 'substrate' having stacked epitaxially grown multiple layers of any of the following: 

1. Silicon (Si);
2. Germanium (Ge);
3. Silicon carbide (SiC);
4. 'III/V compounds' of gallium or indium; 
   Note: 3C001.d. does not control a 'substrate' having  one or more  P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.
5. Gallium Oxide (Ga2O3); or
6. Diamond (C);

The note above is the decontrol, which applies specifically to entry 3C001.d.  

Exemptions

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.

It is important to note that exemptions do not apply to physical items (including samples) or where there are separate end-use concerns. 

If you are working with an entity in a high risk country and/or you have been 'informed' or are 'aware' an item could be used for military purposes, an End-user check  (on the gov.uk website) may be required. The Export control end user matrix (staff hub access required) can assist you with this assessment. 

High risk countries are listed on our High risks and red flags page (staff hub access required).

The intention of technology exceptions in the Export Control Order 2008 is to remove any controls on technology that is:

• already in the public domain
• basic scientific research
• the minimum required for patent applications
• the minimum required for the installation, operation, maintenance or repair of non-military controlled items, whose export has been previously authorised

The two areas that could apply to your research are; public domain and basic scientific research. 

In the public domain

'In the public domain' is defined in the 2008 Order to mean 'available without restriction upon further dissemination (no account being taken of restrictions arising solely from copyright)'. 

For technology to be in the public domain it has to be freely available with no restriction other than copyright placed on its further dissemination, such as in a book, on a website, at an exhibition.

Information in the public domain may come in many forms including:

• general product information
• brochures
• photographs
• diagrams
• company presentations

Technology is not in the public domain:

• if it needs to be obtained from a supplier who controls the supply
• where access is restricted to certain persons, like membership of an institute or requiring passwords
• where it is subject to the Official Secrets Act, or MOD or government security classifications such as commercially confidential information
• if it has been placed in the public domain in contravention of a statutory prohibition, for example classified material, as it is unlikely to be available without further restriction upon its dissemination

The same relaxations apply to published technical papers if the content is in the public domain. However the intention to publish a paper containing controlled technology does not in itself place that information in the public domain. Any collaboration or sharing of controlled technology overseas, such as through a peer review before publication of a technical paper or the results of research and development, would require a licence.

An example might be a product brochure taken from a publicly available website that outlines the capabilities of a piece of military equipment and this could include technology for the use of military equipment. However since the brochure is clearly in the public domain, it is not controlled.

Copyright restrictions such that no copyrighted work may be copied, published, disseminated, displayed, performed, or played without permission of the copyright holder, except in accordance with fair use or licensed agreement, does not necessarily mean that technology is not in the public domain.

For commercial reasons, exporters are unlikely to place controlled technology onto freely available sites, for access by suppliers, customers or indeed competitors.

It is unlikely that undergraduate level or postgraduate taught 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, however, if you are unsure, please contact exportcontrol@sheffield.ac.uk for advice. 

Basic scientific research

'Basic scientific research' is defined as 'experimental or theoretical work undertaken principally to acquire knowledge of the fundamental principles or phenomena or observable facts and not primarily directed towards a specific practical aim or objective'.  

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’, however this is not a guarantee that the basic scientific research exemption can be applied.

Export controls do not apply to research in the pursuit of basic scientific knowledge.The exchange of research material between an academic based in the UK, for example, and another overseas would not be controlled if it were basic scientific research.

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.

Examples of basic scientific research might include studies of the low temperature electrical resistance of metals to determine the properties of the underlying electronic structure of these materials or the electromagnetic properties of composite surfaces.