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Publishing (including open science) and export controls

In general, publication of an article or giving of a presentation is not problematic from the export control law point of view. However, the decisive factor is what was researched and how detailed the contents of the publication or presentation are.

Publishing an article or giving a presentation may constitute an export of dual-use item and thus may need a license from the authorities. However, this is not typically the case, as:

generic information does not constitute a dual-use item.
dual-use items have high performance, capabilities and functions, and the threshold for information to qualify as dual-use item is quite high.
basic scientific research and in the public domain are de-controlled.
oftentimes, research teams do not have access to such detailed information that is relevant for a dual-use item, and such information is typically held in confidence by companies developing and producing dual-use items.

Open science publishing

Open science is a special case of publication as not just an article (word file containing text, tables etc.) or a seminar presentation (pptx slide set) is made public. In open science, some or all of the following may also be made public:

Protocols, methods, algorithms, workflows, electronic notebooks
Research data (existing data, data collected for the project, data produced as outcome of the project)
Software codes, novel software packages and related documentation or models
Derivative outputs such as research result depicted as figures or tables reporting statistical analyses

Please see Aalto University Open Science and Research Policy and information on Open science and research.

Case study of open science publication

Case 1: Research on phenomenon that may not exist	Case 2: Research on underwater sensor technology
AIM	AIM
Research team aims to verify existence or non-existence of certain phenomenon Existence or non-existence cannot be verified in the research All data etc. are made available for global science community for future research	Research team aims to develop new technology for underwater sonar navigation system and validate it Progress from technology readiness level TRL 2 (technology concept formulated) to TRL 5 (technology validated in relevant environment) achieved
CONSIDERATIONS	CONSIDERATIONS
Basic scientific research de-control applies (low TRL) No concerns with export control laws Open science publication not problematic	Achieved TRL 5 – basic scientific research de-control does not apply Result of the research (underwater sonar system) is a functioning system – team has detailed information on its design and production Underwater capabilities are prone to dual-use regulation because they have obvious military application Controlled dual-use items can be found in the most recent version of the EU list of dual-use items (Annex 1), copy of which is provided at Control lists. In this particular example, the research team should check several categories and sub-categories of the Annex I in the control status of equipment for submersible vehicles is set out in Category 6 for sensors, Categories 7 and 8 for navigation equipment and Category 8 for underwater equipment Open science publication is problematic in this example as it may cause unauthorized export of dual-use items. The dual-use items considered here are technology (specific information) or computer software. Please find out more on technology Subcategory E - Technology controls and software Subcategory D - Software controls as dual-use items.

What can/cannot be published?

Publication is not possible if following is included (whether open science or not)

Detailed design or manufacturing drawings of a dual-use item
Essential parameters of a functioning dual-use item not publicly available elsewhere
Other detailed information that allows for reaching or exceeding the capabilities, features and functions controlled as dual-use item

Publication is possible if

Information referred to above is not included

Challenge with the legalistic approach

In practice time-consuming exercise to determine whether the draft publication qualifies as dual-use item
Proliferation concern remains if the capabilities, features and functions discussed in the draft publication are just below the bar of dual-use item (after small tweaks threshold reached?)

Avoid publication of extensive or detailed information in the following circumstances

Evident military application (somebody can use as a weapon)
Evident cybersurveillance application (somebody can use in covert surveillance)
Otherwise serious concerns related to safety and security (e.g. instructions on how to make a deadly virus)

The purpose is not to practice censorship but to raise awareness that in certain limited cases involving sensitive research domains or sensitive applications extensive open science publication may not be a smart action.

The publication should be formulated so that too detailed pieces of information are removed from the draft article or presentation before it is published. The intention is to strike a balance between scientific interests and fair security aspects.

Published: 10.12.2024
Updated: 11.12.2024