Keeping a careful eye on exports
Sharing knowledge and technology with foreign countries may be subject to legal restrictions or even banned altogether. ETH’s export control service is on hand to advise ETH members and ensure that they comply with the necessary regulations.
At the start of the 1980s, it emerged that Western suppliers had played a part in the construction of a poison gas plant in Iraq. This discovery was one of the triggers that led to the establishment of international agreements on arms control. These agreements regulate the distribution of expertise, goods and software for the development or production of arms and dual-use (military and civilian) goods.
Switzerland followed suit and subsequently defined its own laws on export control. The EU has similar provisions, while the US is one of the most dominant global powers in this field: whenever controlled goods of US origin are involved, no matter where they are in the world, the country insists that its rules are followed to the letter.
This applies not only to companies looking to sell their products abroad, but also to all economic entities, including public institutions – and, hence, universities. “For researchers at a globally networked institution like ETH, this is a real challenge because, in principle, they are entitled to share their knowledge internationally,” says Silvia Nast, who works in export control at ETH Zurich.
Her task is to investigate matters relating to export control and to support researchers in this regard. Before coming to ETH Zurich, she spent over ten years as an export manager at a number of international companies, ensuring that export activities were carried out legally. She joined ETH Zurich in 2017 and is the only specialist with this focus at a Swiss university.
Teaching and fundamental research not affected
“Cases where research findings may be used for both destructive purposes as well as civilian applications are referred to as ‘dual-use’ cases. Researchers at ETH have to think about whether export control applies to their day-to-day work and whether they need to obtain official permission before sharing it internationally,” she says. “It isn’t always obvious. And I don’t want to be too dramatic, but breaching the regulations – even inadvertently – can result in heavy fines, or even jail sentences, for the individual in question.”
Export control considerations do not apply to teaching up to and including Bachelor’s level, as it is only at Master’s level that projects start to involve in-depth, active research. And two categories of research that are central to ETH are also excluded: any research results that have already been published, and any fundamental research, provided it does not involve producing prototypes and exporting them abroad.
So where exactly do you need to be careful? “Typical examples include goods in the fields of nuclear technology or infrared technologies, but semiconductor technology and telephony may also be affected. Goods in these fields may be used for numerous constructive purposes, but can also be used destructively in weapons systems,” Nast says. It does not matter whether someone produces a product themselves or obtains it from a supplier. “If the product is going to leave Switzerland, whether it is being sold, loaned or gifted, you have to check whether it comes under the export control regulations first.”
Personal interactions also require caution
According to the export specialist, even verbal exchanges can have consequences with regard to export control if there is a chance that critical, unpublished knowledge may be disclosed – whether at academic conferences with international participants, either in Switzerland or abroad, or on a business trip.
Furthermore, research contracts with academic or industrial partners may include export-specific clauses. “The entire partnership may depend on strict compliance with these clauses,” says Nast. It may present a problem, for example, if an individual from an internationally sanctioned country is involved in a collaboration project where export-controlled knowledge is being shared.
It’s not only goods that come under export control regulations, but people too. So it is important to be careful when hiring foreign employees or sharing information with academic guests.
Support in cases of doubt
When it comes to deciding whether something is subject to export control regulations, the devil is in the detail. And given that ETH’s research involves complex subjects, the classification rules can be a hard nut to crack. The Swiss government provides comprehensive, binding lists of dual-use goods and arms to help exporters in this regard; corresponding lists are also provided by the EU and the US. “These lists are the crucial source of information if you want to find out whether something comes under export laws,” says Nast.
“Anyone involved in research and development work and anyone who produces, buys or sells products should be familiar with these lists of goods, or should at least consult them on a regular basis.” The lists can be accessed via the ETH export control website. The website is there to help ETH members resolve any doubts or questions they might have about this subject. “My aim is to ensure that they are legally protected so they can focus on what they do best – research and development.”
Personal information
Silvia Nast holds an Advanced Federal Diploma of Higher Education in Export Management. She has worked as an export control officer for over 10 years – previously in industry and currently at ETH Zurich (since 2017). She has an additional qualification in law, possesses extensive knowledge of Swiss, European, and US export control legislation, and advises ETH members on all matters relating to goods exports.
