Trusted Research

Many of these risks, particularly in the context of international collaboration, can be described as ‘security related’ issues.

The UK and other national governments are taking an increasingly active interest in security related issues, including where they arise (or are perceived to arise) through research cooperation between universities and other organisations.

Universities UK define security related issues as:

‘an umbrella term that describes a broad range of issues and risks that are associated with internationalisation, that can be broadly grouped into two categories:
(i) attempts by overseas/external actors or those acting on their behalf to illegitimately acquire academic research and expertise; and/or
(ii) interfere with academic discourse.

“Universities must manage security-related issues and risks. If left unmanaged, these risks may impact reputation and values; people; campuses; and education and research partnerships of the UK HE sector.”

In the UK, principles and concepts have been developed, along with tools and materials to provide specific support to help to identify and address potential risks. These are contained in the Trusted Researcher Guidance.

• To secure the integrity of international research and collaboration which is “vital to the continued success of the UK’s research and innovation sector” (NPSA).
• To protect the UK from hostile states/actors whose democratic and ethical values are different and whose strategic intent is hostile to the UK.

Trusted Researcher principles inform and guide a range of important issues, subjects and actions, all of which play a part in the overall culture and application of Trusted Researcher.  

Concepts connected with Trusted Researcher include, GDPR, cyber security, IP and export control.

NPSA have produced a range of guidance materials, which provide a series of guides covering a range of Trusted Researcher situations.

The purpose of this guidance is to provide tools for researchers and academics to identify, understand and to manage issues or risks which may arise during international research and collaboration.

Trusted Research applies to anyone who has international collaborations. It is particularly relevant to researchers in:

• STEM subjects
• dual-use technologies
• emerging technologies
• commercially sensitive research areas.

Whilst there is direct relevance of Trusted Researcher in the areas outlined above, researchers in all areas are encouraged to review the concepts of Trusted Researcher broadly and to familiarise themselves with the principles outlined above.

Issues such as GDPR and information security, whilst relevant broadly, are specifically addressed in other University policies.

Individuals, with the support of the Schools Research Services department, are encouraged to carry out the NPSA Trusted Research Evaluation Framework in order to gauge the level of risk involved with their international collaborations.

The NPSA website contains a range of useful guides and checklists for use in a variety of different research and/or collaboration situations.

These include materials and guidance relating to travel and attendance at international seminars and events.

Please consult the UKRI Trusted Research FAQs  to provide further information and guidance.

The protection of research, innovation, including sensitive information and use, and IP are key issues in international research and collaboration. Further key issues include reputational risk to you and the University, the mis use of research and its applications and/or interference by way of malign influence such as limitations on research and dissemination of knowledge.

International collaboration takes on many forms including funding of research, participation in research consortia, informal academic interactions, overseas visits and international conferences, exchange of data, information, research materials and equipment, hosting of short and long-term visitors and recruitment of staff and students. When considering security related issues in these (and other) forms of interactions, three main areas should be considered before proceeding:

• Due Diligence on international collaboration
• Compliance with legal and regulatory frameworks
• Protection of intellectual assets.

Key messages to consider:

Below are examples of some of the questions and issues to consider in assessing risk.

Guidance and help are available from Schools Research Services department and from the UWS Trusted Researcher Champion, Helen Kennedy (Head of Research) supported by Veoeani Krishna (Contract Manager).

Further information

NPSA have a number of videos which explain, comment on and are of use in considering Trusted Researcher and its application to international research and collaboration and reputational risk.

Certain legal frameworks are applicable to international research collaborations:

• Will the collaboration lead to the physical movement of goods or the transfer of software, data, technology or know-how by any means from the UK to a destination outside the UK? If so, might this fall within the scope of UK Export Control Regulations? Failure to obtain an appropriate licence to export controlled goods is a criminal offence.
• If the collaboration will involve new international researchers (or students) coming to work with UWS the Academic Technology Approval Scheme (ATAS)may apply.

• If there is an acquisition of an entity or asset, which includes intangible assets such as Intellectual Property, then the National Security and Investment (NSI) Act may be applicable. More information can be found here: NSI Act.

UWS is committed to complying with export controls. The University aims to raise awareness within the institution of export control regulations and set out a Procedure on Export Control and Sanctions. It is the responsibility of each individual researcher to ensure that they do not export controlled items without an appropriate licence. Researchers are expected to familiarise themselves with this procedure.

The National Security and Investment Act (NS&I Act) came into force on 4 January 2022.

The Act gives the government the power to review and intervene in certain transactions that involve the acquisition of an entity or asset in (or closely linked to) 17 specified sectors of the economy, that could damage the UK’s national security. The government will be able to enforce certain conditions on an acquisition. If necessary, it will also have the power to undo or stop it.

Universities should be aware of the NS&I Act when collaborating with other parties to acquire, sell or develop certain qualifying entities and assets. The government has powers to assess an acquisition whether it is completed, in progress or in contemplation stage, if it reasonably suspects that it might give rise to a national security risk.