Managing Technology Transfer in Universities & Research Institutes
This project focuses on identifying ways in which both tangible and intangible technology transfers out of research settings, such as universities and research institutes, can occur towards countries of proliferation concern.
Not only tangible goods but also intangible information and knowledge can be transmitted across borders, which is a growing problem when technological advances make for an increasingly seamless world.
There is a need to advance the implementation of export controls regimes, international sanctions regimes and vetting in research organisations to avert such transfers with a view to preventing proliferation.
Aims
Managing Technology Transfers from Universities and Research Institutes aims to understand ways in which proliferators target research environments, as well as ways in which researchers can unwittingly aid states’ Weapons of Mass Destruction (WMD) proliferation programmes.
- Through awareness raising and by training university and research personnel on the importance of, and on how to implement technology and trade controls, this project seeks to prevent universities, research institutes and researchers themselves from falling foul of international and national regulations.
Impact
Engagement
Through outreach and awareness raising events, this project brings together government actors engaged in seeking to fulfil their international obligations to prevent proliferation, and university and research institutes, which are home to a wide array of dual-use technologies.
It enables an exchange of views between governments and universities and promotes understanding of the boundaries and challenges each party must work within. It engages inter-governmental actors such as the EU as well as national governments, and universities in North America, Europe and beyond.
Policy
Through policy briefs with recommendations, this project aids government understanding of the compliance space in academic settings, so that governments can issue relevant and useful guidance for academia with a view to aiding universities comply with relevant regulations. These also aid governments understanding of today’s proliferation threat environment with a view to enabling them to control for and minimise proliferation risks, which threat actors seek to exploit.
Academic understanding
This project contributes to academic understanding on the scale and types of threats academia faces in today’s proliferation threat environment, as well as on the neglected and key role academia can play in countering WMD proliferation. Data driven research provide testable hypotheses for peer-reviewed academic output with a view to informing further research in this area.
Publications
Emma Scott, Ross Peel, Felix Ruechardt, and Nick Mitchell, 'Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes,' Revised Edition, September 2020.
Ian Stewart, Dominic Williams, and Nick Gillard, 'Examining Intangible Controls,' Project Alpha, June 2016.
Ian Stewart, Dominic Williams, and Nick Gillard, 'Examining Intangible Controls, Part 2: Case Studies’, Project Alpha, June 2016.
Ian J. Stewart, ‘The Contribution of Intangible Technology Controls in Controlling the Spread of Strategic Technologies,’ Strategic Trade Review, Autumn 2015, 1(1).
Association of University Legal Practitioners and Project Alpha of King’s College London in partnership with the Export Control Organisation and the Foreign and Commonwealth Office, 'Higher Education Guide And Toolkit On Export Controls And The ATAS Student Vetting Scheme,' Version 1, 2 April 2015.
Conferences
- International Workshop for Universities (March 2021): King’s College London sponsored by the Foreign, Commonwealth & Development Office (FCDO) held an online workshop on preventing the misuse of academic knowledge for proliferation purposes. The workshop held online over three days at the end of March 2021 was attended by university and government representatives from across Europe, North America, and Japan. With over 130 participants including 20 speakers, discussion focused on existing and forthcoming challenges for research organisations in the field of export control regulations, sanctions, and vetting. Breakout groups tackled questions such as how to bridge diverging technology control regulations across borders in the realm of publications, patents, transnational collaborative research partnerships and emerging technologies.
- EMEA Online Workshop (March 2021): King's College London supported by the James Martin Center for Nonproliferation Studies and in cooperation with CRDF Global offered an online workshop on managing sensitive technology transfer in research settings. The workshop hosted online over a one-week period consisted of both an e-learning component, and webinar component. Participants learned about technology control frameworks, the current proliferation environment, internal compliance programmes, and implementing risk management in research organisations. The series was attended by university representatives from EMEA countries including Armenia, Kuwait, Morocco, Slovakia, Turkey, and Ukraine. Speakers included government and university representatives from Germany, Belgium, and the United States.
- Asia Online Event Series (January – February 2021): King's College London supported by the James Martin Center for Nonproliferation Studies and in cooperation with CRDF Global offered an online event series on preventing sensitive technology transfer from universities and research institutes to countries of proliferation concern. The series was hosted online over a four-week period and consisted of three components: an e-learning component, a webinar component, and an office-hours component. The series was attended by university representatives from Asian universities, particularly India, Singapore and Taiwan with speakers from Australia, America, and Japan.
- Munich Workshop (January 2020): King's College London in cooperation with Fraunhofer-Gesellschaft held a three-day workshop in Munich, Germany, from 13-15 January 2020. The purpose of the Munich workshop was to raise awareness and encourage information sharing at the European and international level on tangible and intangible technology transfers from universities and research institutes. The event was attended by representatives from three European Union countries (Poland, Germany, and Italy) and eight international countries (Belarus, India, North Macedonia, Serbia, Singapore, Taiwan, Turkey, and Ukraine). On day one and two of the workshop, presentations were given by German government representatives, as well as EU Commission representatives, Fraunhofer-Gesellschaft, and King’s College London. On day three of the workshop, training exercises sensitised participants on ways to implement controls to prevent technology transfer from research settings.
- UK Event (November 2019): King's College London in cooperation with the UK’s Export Control Joint Unit (ECJU) and the Foreign and Commonwealth Office (FCO) held a one-day outreach and engagement event on export controls for academia in the UK. Attended by representatives from 29 UK institutions, it served as a forum for representatives from government and universities to discuss current developments in export controls and their application in university settings.
Publications
Emma Scott, Ross Peel, Felix Ruechardt, and Nick Mitchell, 'Catalogue of Case Studies on Intangible Technology Transfers from Universities and Research Institutes,' Revised Edition, September 2020.
Ian Stewart, Dominic Williams, and Nick Gillard, 'Examining Intangible Controls,' Project Alpha, June 2016.
Ian Stewart, Dominic Williams, and Nick Gillard, 'Examining Intangible Controls, Part 2: Case Studies’, Project Alpha, June 2016.
Ian J. Stewart, ‘The Contribution of Intangible Technology Controls in Controlling the Spread of Strategic Technologies,’ Strategic Trade Review, Autumn 2015, 1(1).
Association of University Legal Practitioners and Project Alpha of King’s College London in partnership with the Export Control Organisation and the Foreign and Commonwealth Office, 'Higher Education Guide And Toolkit On Export Controls And The ATAS Student Vetting Scheme,' Version 1, 2 April 2015.
Conferences
- International Workshop for Universities (March 2021): King’s College London sponsored by the Foreign, Commonwealth & Development Office (FCDO) held an online workshop on preventing the misuse of academic knowledge for proliferation purposes. The workshop held online over three days at the end of March 2021 was attended by university and government representatives from across Europe, North America, and Japan. With over 130 participants including 20 speakers, discussion focused on existing and forthcoming challenges for research organisations in the field of export control regulations, sanctions, and vetting. Breakout groups tackled questions such as how to bridge diverging technology control regulations across borders in the realm of publications, patents, transnational collaborative research partnerships and emerging technologies.
- EMEA Online Workshop (March 2021): King's College London supported by the James Martin Center for Nonproliferation Studies and in cooperation with CRDF Global offered an online workshop on managing sensitive technology transfer in research settings. The workshop hosted online over a one-week period consisted of both an e-learning component, and webinar component. Participants learned about technology control frameworks, the current proliferation environment, internal compliance programmes, and implementing risk management in research organisations. The series was attended by university representatives from EMEA countries including Armenia, Kuwait, Morocco, Slovakia, Turkey, and Ukraine. Speakers included government and university representatives from Germany, Belgium, and the United States.
- Asia Online Event Series (January – February 2021): King's College London supported by the James Martin Center for Nonproliferation Studies and in cooperation with CRDF Global offered an online event series on preventing sensitive technology transfer from universities and research institutes to countries of proliferation concern. The series was hosted online over a four-week period and consisted of three components: an e-learning component, a webinar component, and an office-hours component. The series was attended by university representatives from Asian universities, particularly India, Singapore and Taiwan with speakers from Australia, America, and Japan.
- Munich Workshop (January 2020): King's College London in cooperation with Fraunhofer-Gesellschaft held a three-day workshop in Munich, Germany, from 13-15 January 2020. The purpose of the Munich workshop was to raise awareness and encourage information sharing at the European and international level on tangible and intangible technology transfers from universities and research institutes. The event was attended by representatives from three European Union countries (Poland, Germany, and Italy) and eight international countries (Belarus, India, North Macedonia, Serbia, Singapore, Taiwan, Turkey, and Ukraine). On day one and two of the workshop, presentations were given by German government representatives, as well as EU Commission representatives, Fraunhofer-Gesellschaft, and King’s College London. On day three of the workshop, training exercises sensitised participants on ways to implement controls to prevent technology transfer from research settings.
- UK Event (November 2019): King's College London in cooperation with the UK’s Export Control Joint Unit (ECJU) and the Foreign and Commonwealth Office (FCO) held a one-day outreach and engagement event on export controls for academia in the UK. Attended by representatives from 29 UK institutions, it served as a forum for representatives from government and universities to discuss current developments in export controls and their application in university settings.
Principal Investigator
Ross Peel
Research and Knowledge Transfer Manager