Impact on academic personnel and visitors
The academic personnel in Aalto’s technical schools CHEM, ELEC, ENG and SCI will probably be the most effected by export control and sanctions laws as their research activities in technical disciplines, in collaboration with international partners, may fall in the scope of export control and sanction laws, depending on the circumstances. The extent to which export control and sanction laws affect an individual researcher needs to be determined case by case by the respective researcher depending on his/her research interests and profile, research network, and other relevant factors.
Academic freedom affords extensive rights and position of independence to the university’s academic personnel, in particular to professors, for the pursuit of their research interests. It comes with the responsibility to be aware of and comply with the legal framework of export control and sanctions laws applicable to the research. The university trusts that its academic personnel, on their own initiative, pay due attention to export control and sanctions legislation to ensure abstaining from activities that breach such laws, and seek advice from dedicated personnel at the university whenever needed.
Responsibility for compliance with export control and sanction laws thus ultimately rests with the individual researcher who engages in activity that is or may be caught by export control and sanction laws. In research projects, the principal investigator (PI) of the project is responsible for the activities associated with his/her research project being compliant with export control and sanctions laws. The academic personnel are encouraged to seek advice from dedicated Aalto service experts when needed.
The list below provides high-level guidance on what topics a researcher at University should focus on in his/her assessment to ensure compliance with export control and sanction laws. The considerations are applicable to any kind of research activity or collaboration irrespective of its categorization at the university, including also informal and non-institutional collaboration.
Recognize the applicable export control and sanction lists and whether your research has the potential to be covered by them. The following aspects of your research increase the likelihood that your research may be covered by the above-mentioned lists:
- Your research has technological readiness level (TRL) 3 or greater; or (more information on TRL can be read here Technology Readiness Level (TRL) | Aalto University)
- Your research involves innovative or alternative development, production or use of listed dual-use items (i.e. items listed in Annex I of the EU dual-use regulation) or military items (i.e. items listed in the common military list of the EU). For example, in the course of the research activity you may produce working physical equipment such as a satellite, or you may provide detailed instructions for the same. The latest versions of the Annex I of the EU dual-use regulation and the common military list of the EU can be read here Control lists | Aalto University; or
- Your research has known or suspected medium or high utility in dual-use or military applications.
The export control list given in the Annex I of the EU dual-use regulation is general (i.e. applicable on all exports from EU) and it catches items that meet with or exceed controlled performance levels, characteristics or functions. These requirements are generally very specific and high, usually implying that items meeting with these requirements are not easily accessible or developed. However, you may generate research results that qualify as technology related thereto.
Please note that Annex IV (Regulation - 2021/821 - FI - EUR-Lex (europa.eu) - find Annex IV in the document) of the EU dual-use regulation is a subset of Annex I of the same regulation. Intra-Union transfers (i.e. transfer from one EU member state to another) concerning items mentioned in the Annex IV require a permit from the authorities.
Sanction regulations, on the contrary, are case specific (e.g. sanction programs against a particular country) and if your research does not have any direct or indirect connection with a sanctioned country you do not have to be concerned of any sanction program targeted against that country. Please note, however, that if you have to be concerned with a particular sanction program, product coverage of such sanction program may entail day-to-day goods generally available in all stores (for example some EU sanctions imposed against Russia) and may not entail de-control of basic scientific research (for example some EU sanctions imposed against Russia) and may include extensive restrictions such as prohibition of other services (for example some EU sanctions imposed against Russia). Please see more information on EU sanctions programs | Aalto University.
Please note that sanctions imposed against Russia and Belarus are so extensive and strict that they effectively preclude all collaboration with any institution established in the said countries or any person affiliated with such institution.
Recognize if your research entails export of controlled items from EU (or intra-Union transfers of certain items). Typically, items generated in University’s research qualify as software or technology. However, it may be possible that University produces equipment (or parts thereof), chemicals or materials. Depending on circumstances, such outputs may qualify as controlled items.
In case of controlled item, it may be necessary to apply for, and receive, license from authorities before the contemplated export thereof may take place.
Recognize if you or University, in your research, qualifies as provider of technical assistance or other services in situation where provision of technical assistance or other services is subject to licensing requirement.
Please find more information on Controlled exports | Aalto University and Provision of technical assistance under EU Dual-Use Regulation | Aalto University.
Vast majority of University's collaborators are legitimate but there are some aspects that need to be considered. Please note that vigilance is needed for the end-users of research results generated at University and the end-uses to which such results are put. Consider new collaborators carefully. Please read more on End-use and end-user control | Aalto University and Export control and sanctions - list of red flags.pdf (aalto.fi (list of red flags explains situations that may give cause for concern). More scrutiny will be needed in the event concerns are raised about the end-use or end-user, or if any red flags are observed.
Recognize
- Collaborators (individuals or institutions) who are from a sanctioned or embargo country (please see EU Sanctions Map for information on EU sanction programs imposed on a particular country); and
- Collaborators (individuals or institutions) designated on any sanction list (such as EU Consolidated Financial Sanction List or US Entity List) or connected to designated parties by employment, ownership or control. (please use EU Sanctions Map and CSL Search (trade.gov) for sanction screening)
In case your collaborator is from a sanctioned or embargo country, consider if the collaborator is linked to the national military complex of its home country or if the collaborator is genuinely only civilian. Consider export restrictions applicable to that country specifically, which may be much broader than dual-use controls. Consider also if catch-all control applies or if research results may qualify as cyber-surveillance items. (please see Catch-all control and cyber-surveillance items | Aalto Universityfor more information)
Please note that sanctions imposed against Russia and Belarus are so extensive and strict that they effectively preclude all collaboration with any institution established in the said countries or any person affiliated with such institution.
Recognize the items used as inputs in your research. Usually, if such inputs include dual-use items, military items or items controlled under US laws additional measures are needed. In so far items controlled under US laws are relevant to your research, please check whether such items are subject to restrictions on providing access to nationals of a prohibited country (this may apply even if that individual is based in Finland, employee of University, member of the research team, or academic visitor).
Please check the export control and sanctions decision tree to assess whether export control and sanctions regulation apply to your research. The decision tree is intended to help a PI or an individual researcher to analyse whether his/her research activity may be caught by export control and sanction laws and to determine if more investigations will be needed on the matter.
Academic Visitor
Inviting academic visitors and offering opportunities related to research or artistic practice has a long tradition in the academia. At Aalto University, we are proud of our international reach, and we welcome visiting researchers and artistic practitioners. However, we must take into account the restrictions regarding export control and sanctions in academic visits as well. This page includes information on academic visitor, visitor agreement and visitor process.
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