Research and Grants Office Research and Grants Office

Switzerland is committed at the international level to preventing the proliferation of weapons of mass destruction and the uncontrolled accumulation of conventional military equipment. As part of this commitment, it regulates the transfer of sensitive goods, including certain technologies and software.

In addition, for security and foreign policy reasons, Switzerland may impose restrictions or prohibitions on the export, import, or transit of specific goods, as well as on transactions involving certain countries, individuals, or entities (sanctions and embargoes).

These measures are implemented and administered by the State Secretariat for Economic Affairs (SECO), which is responsible for overseeing Swiss export controls, sanctions, and embargoes.

Sanctions are restrictive measures imposed to influence the behaviour of countries – but also of organisations (including research institutions) or individuals (including researchers). They can include financial restrictions, travel bans, or limits on specific goods, services, or technologies, and are often targeted. Embargoes are a stricter form of sanctions, involving broad or complete prohibitions on trade with a particular country or on certain categories of goods.

The Swiss sanctions regimes can be found on SECO's website (in French).  

In the university context, dual-use goods are materials, equipment, software, and research knowledge developed for academic purposes that could also be used for military or security applications.
Typical dual-use areas in academia include:

1. Advanced materials & chemical technologies: advanced materials (e.g., high-performance alloys, intelligent/smart materials, nanomaterials); chemical substances and precursors (including toxic agents); applied chemistry and chemical engineering; additive manufacturing (e.g., 3D printing with specialized materials); signature-reduction materials (e.g., stealth-related materials)
2. Biotechnology & life sciences: biotechnology and biotechnological processes; genetic engineering and synthetic biology; pathogens and biological research; biochemistry and life-science-related chemical processes
3. Advanced manufacturing & engineering: precision manufacturing (e.g., CNC machines, high-precision tools and measurement systems); production and process engineering; mechanical and electrical engineering; industrial manufacturing systems and automation
4. Computing, electronics & digital technologies: semiconductor technologies and microelectronics; high-performance computing (HPC) and radiation-hardened systems; general and specialized electronics (e.g., integrated circuits); digital technologies and software development; blockchain technologies
5. Information security & cyber technologies : encryption technologies ; cybersecurity (offensive and defensive capabilities); surveillance and interception technologies; telecommunications systems (including jamming and radio equipment)
6. Artificial intelligence & emerging technologies: artificial intelligence (AI) and machine learning; robotics and autonomous systems; quantum technologies (computing, sensing); emerging and enabling digital technologies
7. Aerospace, defense & marine technologies: aerospace systems (including unmanned aerial vehicles and propulsion systems such as gas turbine engines); navigation systems (e.g., inertial measurement units, missile guidance systems); avionics and flight control technologies; marine and naval systems (e.g., submarines, air-independent propulsion systems)
8. Sensors, photonics & measurement technologies: sensors (e.g., radar, sonar, inertial sensors); measurement and instrumentation technologies; photonics and optical systems; lasers (including high-power lasers and laser materials)
9. Nuclear & energy-related technologies: nuclear materials and facilities (e.g., reactors, gas centrifuges, isotope separation technologies); nuclear engineering and related systems. 

These activities are regulated under Swiss law (in particular, the Goods Control Ordinance).

Under certain circumstances, Unige researchers might also be required to comply with foreign law. In particular, US export control law, embargoes and sanctions are applicable to all US citizens, even when working and living outside of the United States. Researchers with US grants will often also have to comply with US regulations in the context of the US-financed project. Lastly, researchers using US-origin goods are bound by US rules on the matter. EU citizens have to comply with EU embargoes and sanctions even outside the European Union.

Because researchers produce hard- or software or technology that is covered by export controls, embargoes and sanctions – and they share them with foreign partners or collaborators, and hence “export” them. 
In fact, the following research or teaching activities are considered to be an “export”:

• Export (including temporary, e.g. on research vessels or for repair, or electronically), sale, donation or other transfer of equipment, prototypes, software, materials or technologies in the form of information/data;
• Travel abroad by researchers from Swiss universities if controlled goods are carried (including if information on such goods is stored on a notebook, USB stick or mobile phone);
• Contract research and research collaborations with foreign partners, including informal exchanges or by email; or technical assistance in the form of advice, training or knowledge transfer;
• Initial publications of relevant research results;
• Organisation of (virtual) conferences/meetings/seminars on research related to controlled goods or presentation of such research at (virtual) conferences/meetings/seminars inside and outside Switzerland;
• Use of cloud services whose servers are located abroad;
• Accessing technology or software requiring authorisation stored on servers in Switzerland via VPN from abroad;
• Sharing controlled knowledge/data/technology or software in the context of teaching (e.g. supervision of MA or PhD theses), or within internationally composed research groups at Unige or with guest researchers.

Fundamental research is not controlled under export control laws. However, the limits between fundamental and applied research are sometimes difficult to determine. 

You are, in any case, required to assess this question carefully, for instance, using the following questions (if you can answer all questions with a YES, your research is probably not covered by export controls):

• Is the work theoretical or experimental?
• Is the research exploring fundamental principles?
• Is the research not geared towards a practical purpose or objective? For example, is there no specific application envisaged and is the research not aimed at developing a product (prototypes, demonstrators)?
• Is the research being carried out without, or not for, industrial partners?
• Is the research funded without research grants from industry?
• Basic scientific research typically has a Technology Readiness Level (TRL) of 1–3. Is the technology readiness level within this range?

Note, however, that embargoes or sanctions might still restrict certain collaborations, depending on the partner – even when concerning fundamental research

No, not under Swiss law (yes, under US law). Controls stay in place even if the end-result will be published in scientific journals.

In theory, yes. However, the Swiss export control authority SECO does currently not control the publication of research results (this might change in the future). The same cannot be said for enforcement authorities of other countries. A case-by-case assessment is hence necessary.

Export control laws, embargoes and sanctions regimes of several countries apply extraterritorially. For Unige researchers, the most important legal regimes are that of the United States of America and the European Union (aside from Swiss law, of course). 

US export controls, embargoes and sanctions apply to:

• US citizens, anywhere;
• Researchers with US grants, in the context of the US-financed project;
• Researchers using certain US origin goods for their activities
• Research done on US soil.

EU embargoes and sanctions have to be respected by all EU citizens, no matter where they are located. EU export control laws, embargoes and sanctions apply to research conducted on EU soil.

Yes. Swiss law on export control laws also apply towards EU/European partners. It is, however, easy to obtain a licence for partnerships with European partners. Certain European natural and legal persons are also sanctioned under Swiss law. 

In addition, US law might apply. 

Yes, if you are a US citizen, you need to comply with US laws on export controls, embargoes and sanctions. As an EU citizen, you are bound by EU embargoes and sanctions. 

Laws of other countries might also apply extraterritorially, but Unige cannot support you in complying with those.

The whole range of export control rules: The US system is similar to the Swiss system and is built on three main regimes. The Export Administration Regulations (EAR), administered by the Bureau of Industry and Security, cover dual-use items and rely on classification (ECCNs) and licensing requirements based on destination, end user, and end use. The International Traffic in Arms Regulations (ITAR), overseen by the Directorate of Defense Trade Controls, control defense-related items and impose stricter rules, particularly on technical data and foreign access. In parallel, sanctions programs administered by the Office of Foreign Assets Control restrict dealings with certain countries, entities, and individuals. Overall, compliance depends on assessing what is being exported, where it is going, who will use it, and for what purpose, with violations carrying significant legal and financial penalties.

An overview of Swiss embargoes and sanctions can be found here: in French, German or Italian.

There is no such comprehensive overview on US sanctions, as different US authorities apply different sanctions regimes to different countries. A first start are the OFAC sanctions: Sanctions Programs and Country Information | Office of Foreign Assets Control.

An overview of EU embargoes and sanctions is accessible here: EU Sanctions Map.

A consolidated list of countries under Swiss, US and EU embargo or sanction can be requested at the RGO.

Yes, but before you do, we advise you to contact the Export control officer at the RGO, in order to check for any red flags in a possible collaboration.

No. First of all, export controls, embargoes and sanctions also apply to partners that you trust, depending on their nationality, affiliation or location. Second, you never know what explicit or hidden pressures your partners are exposed to in their home countries.

All departments have to respect embargoes and sanctions, so – no!

Export controls are likely to affect only members of the faculties of Science and of Medicine – and in very specific constellations, the Faculty of Psychology and Educational Science

You need to take the following steps:

1. Evaluate which legal framework is applicable to your situation. You are of course bound by Swiss law. Are there indications that US-, EU-law or any other legal regimes could be applicable (e.g., are you a foreign citizens, is your project financed by a foreign entity, do you use certain US-origin goods for your project?)?
2. Check whether your partners/collaborators are personally sanctioned under the applicable legal regime, or whether their home institution is.
3. Check whether a specific country embargo or sanction regime applies to the country where your partner is located or comes from, under the legal framework that you determined to be applicable in step 1. Check which goods or services you may exchange with people from that country. 
4. Check whether the goods or technology or software you want to share fall under export control regulations of the countries whose legal framework you determined to be applicable in step 1. 

If you need help with these steps, feel free to contact the Export control officer. 

Yes, they do. Controls also apply to temporary exports, as well as for donations, loans, or exports for purposes of repairing an item. They apply no matter the means the export happens, whether that is through delivery, shipment, travel, or electronic transmission.

You first have to know whether any legal regime, in addition to the Swiss one, applies to your situation. For instance, if you are US citizen, or you are hiring collaborators for your project financed by a US government agency, there might be restrictions on whom you can hire. The same can happen if you are an EU citizen.
Second, check whether the person you wish to hire is personally sanctioned or holds close ties to a sanctioned institution, under the legal regime that you determined to be applicable in step 1. 

Next, you need to check whether country-specific sanctions/embargoes apply on the country of origin or of affiliation of the candidate. Again, you need to consider Swiss sanctions next to those of all other countries whose legal frameworks are applicable to your situation. If so, find out whether the respective embargo/sanctions restrict sharing of goods, technology or software in your field of research.

Lastly, country-agnostic export controls from Switzerland and all other applicable regimes might likewise restrict your collaboration.

If you need help with these steps, feel free to contact the Export control officer. 

Depending on the situation, in most cases, you will simply have to apply for a licence to the responsible export control authority. In Switzerland, this a quick and easy process and responses can be expected within 48h. If you need to apply for a US licence, the process can take up to several years and in those cases, the Export control officer would advise to rather avoid such situations.

Fines, imprisonment in the worst case – and reputational damage for you and the University of Geneva. 

In addition, you might be excluded from funding programmes, blacklisted by certain partners, and – under US law – face restrictions on visa or entry and professional opportunities.

Yes, but academic freedom is not absolute and can be restricted by law.

With the Export control officer within the Research and Grants Office.

Contact research-grants-office(at)unige.ch for help.