FAQ
The term "export control" is used to refer to a body of international and national regulations on the export control of certain goods, technologies and software, as well as on embargoes of certain countries and sanctions of certain persons. The most important questions and answers can be found here.
If you have any further questions that should be listed here, we would be pleased to receive your feedback.
Is research not fundamentally free?
In principle, science, research and teaching are free according to Art. 20 of the Federal Constitution. However, this does not mean that universities, research institutions and scientists do not have to comply with export control regulations.
If goods are exported abroad, e.g. equipment is sent abroad, knowledge is transmitted abroad by e-mail, or knowledge is passed on to a foreign visiting scientist at an institute in Switzerland, researchers are also obliged to check whether this is prohibited by law or requires official authorisation. The freedom of science guaranteed by the Federal Constitution does not exempt researchers from complying with restrictions under foreign trade law. The aim of export controls is not to restrict research or censor its results, but solely to prevent their misuse.
Is my work affected by the requirements?
First of all, all purely domestic processes that do not involve foreign persons are exempt from export controls.
However, by no means all activities of Swiss universities with a foreign connection are subject to export control prohibitions or licensing requirements. In particular, exemption criteria apply to:
- Fundamental scientific research (applies only to technology, but not to goods such as equipment or samples);
- Publicly and generally accessible technology and software that is available without restriction on its further dissemination. Generally accessible means that the technologies have, for example, already been published in media such as books, journals or on the internet;
- Patent application information.
In addition, research and teaching that cannot be used for war purposes, human rights violations or for civilian nuclear energy operation, or that does not involve sanctioned persons or people from embargoed countries, are not regulated under export control law.
It is important to know that sanctions and embargo provisions can have extraterritorial effect. This is particularly relevant for EU- and US citizens in Switzerland. For example, they are not allowed - without permission - to enter into research collaborations with countries sanctioned by their country of origin. Teaching in Switzerland of persons from sanctioned and embargoed countries could also be problematic.
Is there any further help to assess whether my work is considered fundamental research or not?
It is advisable to check the Technology Readiness Level (TLR): A TRL 1-3 indicates basic scientific research, a TRL greater than 3 indicates applied research. Further indications for classification are as follows:
| Fundamental research | Applied research |
|---|---|
Focused
on new and fundamental insights into principles and phenomena |
Focused
on concrete processes and products, up to the point of market maturity |
Important: Research cooperation with industrial partners is usually no longer fundamental research, but application-oriented research. In these cases, a statement on a possible reference of the goods/technology to the export control lists should also be requested from the participating industrial partner, since every exporting company must have implemented an export control system in its business processes.
Many terms such as “export” or “dual use” are not clear to me. Where can I find explanations?
The most important export control terms are (the list will also be available here (UniIntern) as a download, for now, only in German):
| “Catch-all” rule: | The “catch-all” rule applies to non-listed goods of which the exporter knows or has reason to believe that they are intended for the development, production, use, transfer or application of NBC weapons (Art. 3 (4) Goods Control Ordinance, GCO). The purpose of this regulation is to prevent the export of goods that are suspected of being used for the production of weapons of mass destruction. The customer or recipient of the information must be contacted in order to determine the intended use of the goods. If the additional clarifications do not lead to a satisfactory result, the planned export must be reported to SECO or the export must be waived. If SECO assesses the export as not critical, the exporter receives a so called “zero decision” (“Nullbescheid”).
For the sale or provision of goods of US origin, the provisions under US Export Administration Regulation (EAR) § 744 “End-user and End-use based” must be checked. |
|---|---|
| Country of origin (goods & software): | The country of origin is the country in which the entirety of the good was obtained or manufactured or in which the last significant processing was carried out. |
| Country of origin (technology): | Technologies, such as results from experimental research, that originate in Switzerland have Swiss origin, regardless of who with which nationality achieves the results (composition of the research team).
It should be noted that if US technology is used to obtain a result, the result may acquire US origin. The latter depends on how high the US technology share in the result is (§ 734.3 Commercial Control List (CCL) of the EAR. If a result has US origin and is subject to export controls and is not published (made generally available), the export control laws of Switzerland and the USA must be observed in the event of an export. Results/technologies intended for unrestricted publication are, however, not subject to export controls under US law – which is different under Swiss law. |
| Deemed Export: | Deemed export is the provision of export-controlled technology and source code by a US citizen to a non-US citizen, including students and staff, in the US. Such an exchange of information on US soil is considered an export to the home country of the foreign recipient of the information for purposes of US export control law. |
| Deemed Re-Export: | Deemed re-export refers to the provision of export-controlled technology and source code outside the US from a non-US citizen to a non-US citizen. Example: Transfer of export-controlled software with US origin in Switzerland to a Cuban national who is currently in Switzerland for the transfer. |
| Dual-use goods: | Goods that can be used for both civilian and military purposes (Art. 3 lit. b Goods Control Act, GCA). A guide through the dual-use goods lists can be found among the information sheets (UniIntern) (for now, only in German). |
| ECCN number: | ECCN numbers are used to classify goods. Based on the goods control lists of Switzerland/EU and USA, individual goods are assigned to a predefined export control classification number (ECCN). The EU and Swiss goods control lists are identical. The export control classification number is made up of “category - class - identification number” and additional numbers and letters as they appear in the goods list. |
| Elic (e-licensing): | Elic is SECO’s electronic authorisation system for the export clearance of controlled goods and for deliveries to a sanctioned country. It is used for the electronic recording and processing of transactions in the areas of industrial products (Goods Control Act) and war material (War Material Act). For assistance in applying for licences, please contact the Export Control Office of the University of Bern by email. |
| Embargo: | Economic sanctions imposed on a state that either partially restricts (arms and partial embargo) or completely prohibits (total embargo) foreign trade with that state. |
| EORI number: | The EORI number (Economic Operators' Registration and Identification Number) is a single number assigned by the competent authorities in the European Union which serves to identify economic operators and, where applicable, other persons to the customs authorities. The EORI number of the University of Bern can be found here. |
| Export: | Export is the transfer of goods abroad and the transfer of software or technology by means of electronic media such as fax, telephone, electronic mail or other electronic media to a destination outside Switzerland; this also includes the provision of such software or technology in electronic form to legal entities or natural persons or associations of persons outside Switzerland. The oral transmission of technology is also deemed to be an export if the technology is described over the telephone. |
| Exporter: | An exporter is any natural or legal person or association of persons that 1) decides to export software or technology by means of electronic media such as fax, telephone, electronic mail or other electronic means, 2) or that intends to deliver goods to an addressee abroad based on an export contract and receives an export declaration from customs for this purpose. |
| Fundamental scientific research: | Fundamental scientific research is “experimental or theoretical work undertaken primarily to acquire new knowledge about fundamental principles of phenomena or facts, which is not directed primarily towards a specific practical aim or purpose” (Annex 1 GCO). This definition is equivalent to a general understanding of science, which states that fundamental research is purely knowledge-oriented or knowledge-driven and is related to fundamental questions and problems in a given subject area. |
| Goods: | Goods, technologies and software (Art. 3 lit. a GCA).
Goods can be divided into the following groups: They are either equipment/products purchased for research, e.g. portable spectrometer, laser camera, etc., or purchased parts included in a self-developed research item. Associated technology and software also fall under this category. |
| NBC weapons: | Nuclear explosive devices, biological and chemical weapons as well as their delivery systems (Art. 2 (1) lit. a GCO). |
| "Red flags": | In export control, early recognition of the intended use of the goods to be exported is essential in order to avoid unintentionally supporting the planning or implementation of a programme for weapons of mass destruction. “Red flags” are indications that may be indicative of export-critical facts. “Red flags” lists can especially help to determine whether the “catch-all” regulation applies to goods that do not actually require a licence (and thus, due to the intended use), a licence must be obtained after all. |
| Re-export: | Re-export is the delivery of export-controlled goods of US origin from a country outside the USA to a country outside the USA (cross-border transaction). Examples: Delivery of an export-controlled laser camera with US origin from Switzerland to Germany; knowledge exchange of an unpublished and not freely available US export-controlled technology over the phone between a Swiss-based researcher and a colleague in France. |
| Special military goods: | Goods which have been designed or modified for military purposes but which are neither weapons, ammunition, explosives nor other means of combat or warfare, as well as military training aircraft with suspension points (Art. 3 lit. c GCA). |
| Strategic goods: | Goods that are part of a critical infrastructure (Art. 3 lit. cbis GCA). |
| Technical assistance: | Technical assistance is any technical support related to repair, development, manufacture, assembly, testing, maintenance or any other technical service. |
| Technology: | Information for the development, production or use of a good which is neither generally accessible nor used for fundamental scientific research (Art. 3 lit. d GCA). |
| “Zero decision”: | A “zero decision” is issued by SECO if the review of the export licence application via Elic shows that the export project does not actually require a licence. The zero decision facilitates the cross-border export of goods by Swiss customs. |
Are there any departments at the University of Bern that are particularly affected by export control?
The following departments could conduct export control-relevant research:
- Biology, chemistry, biochemistry, microbiology: e.g. research results on pathogenic micro-organisms and toxins for the development of new bioweapons; analyses in molecular plant genetics for bio-attacks on seeds;
- Pharmacy, medicine, veterinary medicine: e.g. experiments to clarify the transmissibility of highly pathogenic influenza viruses (“bird flu viruses”);
- Psychology: e.g. research on post-traumatic stress disorders in soldiers after war missions, the results of which can in turn be used in psychological warfare;
- Mathematics and computer science: e.g. dual-use AI tools (as software for facial recognition - or for equipping armed drones to recognise specific people);
- Earth sciences: e.g. research into equipment supplied to NASA;
- Physical, aerospace engineering: e.g. research into lasers; materials research and nano-technology for the development of offensive weapons;
- Information and communication technology: work on protection against viruses and computer viruses not to prevent but to spread cyberwar.
I would like to export a good (not of US origin). How exactly should I proceed in order to check possible licensing obligations?
Simplified (for details, please read the information sheets on exporting goods here (for now only in German) or contact the Export Control Contact Point of the University of Bern):
Step 1: Where do you ship to? (Embargo check)
The Federal Council is responsible for issuing coercive measures in the form of specific embargo ordinances (Art. 2 (1) Embargo Act). The coercive measures can take the form of goods embargoes, services embargoes, financial sanctions, entry and transit bans or a combination of these and other measures. These provisions must be complied with by all economic operators, regardless of which products are exported.
You can find an overview of Swiss sanction measures here (UniIntern) (for now only in German). Once you have gained an overview, you will find the respective (country-specific) embargo ordinances here.
Depending on the ordinance and measures therein, the export of a good to an embargo country is either prohibited or subject to authorisation. Licences are applied for via SECO’s Elic portal. If you need assistance with this, please contact the Export Control Contact Point at the University of Bern.
If no export to an embargoed country is planned, go to step 2.
Step 2: To whom will the good be delivered? (Sanctions list check)
The Confederation can issue coercive measures to enforce sanctions issued by the United Nations, the Organisation for Security and Cooperation in Europe or by Switzerland’s most important trade partners and which serve to ensure compliance with international law, in particular respect for human rights (Art. 1 (1) Embargo Act). The Federal Council is responsible for enacting coercive measures (Art. 2 (1) Embargo Act).
A sanctions list check can be carried out here. Exports to sanctioned persons require a SECO licence. If you need assistance with the application, please contact the Export Control Contact Point at the University of Bern.
If no export to a sanctioned natural or legal person is planned, go to step 3.
Step 3: What is being supplied? (Goods list check)
Is the item (or components of the item) covered by the list of war material in the War Material Ordinance, by Annex 3, Annex 4, Annex 1 or Annex 2 of the Goods Control Ordinance (check in this order!)?
If you answer “yes” to this question, you probably need a licence. Continue checking with step 5.
If you answer this question with “no”, go to step 4.
Step 4: What is the delivery for? (Intended use check)
Are there any indications that the goods are to be used in connection with NBC weapons?
Based on the goods control legislation, goods whose export would not actually require a licence can also be subject to a licence requirement. In these cases, an export may only take place with the authorisation of SECO. The purpose of this so-called “catch-all” regulation is to prevent the export of goods that are suspected of being used for the production of weapons of mass destruction.
So, if you have to answer “yes” to this question, you must inform SECO. This is done via the Elic portal. If you need assistance with this, please contact the Export Control Contact Point at the University of Bern.
If you can also answer “no” to this question, no authorisation is required.
Step 5: Is there an exception for the export of a listed good? (Exception check)
Is the good to be exported technology that is part of fundamental scientific research or technology or software that is in the public domain?
If you can answer “yes” to this question, no authorisation is required. If you answer “no”, you will probably need a licence. Continue checking with step 6.
Step 6: Is an export planned to a country covered by the Ordinary General Export Licence of the University of Bern?
Is the item listed in Annex 2 Part 2 of the GCO and is it intended for export to Argentina, Australia, Austria, Belgium, Bulgaria, Canada, Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Poland, Portugal, South Korea, Spain, Sweden, Turkey, United Kingdom, or United States of America? If you answer “yes” to this question, your export is covered by the Ordinary General Export Licence of the University of Bern. If you answer “no”, you will need an additional authorisation. You can obtain this via SECO’s Elic portal. If you need assistance with the application, please contact the Export Control Contact Point of the University of Bern.
I would like to export a good of US origin. How exactly should I proceed in order to check possible licens-ing requirements?
Goods that are of US origin and are to be exported from Switzerland may have to be cleared (licenced) for export from Switzerland by the relevant government agency in the USA if the goods are listed in one of the goods lists of the US export control regulations and/or are subject to other export control restrictions (e.g. 10 Prohibitions, § 736 EAR).
Step 1:
Do you want to export a good, technology or software of US origin? If you want to export a good, go to step 2. If you want to export technology or software, note the following:
Do you want to export technology or software with US origin that is the result of fundamental research and that is made freely available and not subject to any restrictions by contract (EAR § 734.8)? Then you do not need a licence (note, however, that technology and software used as support for fundamental research remains export-controlled even if the research result obtained from it is published (EAR § 734.8, Note 1). The research result obtained and published is not itself subject to export controls.
Step 2:
The next step is to classify your goods. Listed military goods can be found on the USML United States Munitions List. Dual-use items are listed on the Commerce Control List. Depending on the category of goods, the US Department of State (military equipment) or the US Department of Commerce (dual-use goods) is responsible for licensing.
Please note that – even if you have already obtained a US licence for export – you still have to comply with the Swiss embargo and sanctions regulations. The export may therefore still be subject to authorisation or prohibited in Switzerland despite the US licence.
For further information, please consult the relevant information sheets here (UniIntern) (for now only in German).
What rules must be observed concerning business/research trips?
A business/research trip can, under certain circumstances, also be considered an export, for example if prototypes or technologies are transported to third countries. It is irrelevant whether these items are only temporarily transported to a third country or whether they are to remain there. If you are unsure whether export control issues need to be taken into account during your business trip, please contact the Export Control Contact Point of the University of Bern.
Are employees of the University of Bern who are travelling abroad on a professional/research visit allowed to remotely access listed technology or software that is located on the server of the University of Bern?
Employees accessing listed technology or software as part of a professional/research visit abroad must generally apply for authorisation before travelling.
What about scientific publications?
First-time publications of research results that fall under Annexes 1 and 2 of the Goods Control Ordinance are to be considered as exports, since the research results are not yet publicly accessible at the time of publication and the exception from the General Technology Annotation (ATA) of these Annexes does not apply. This may not apply to purely print publications in Switzerland. It depends on the contractual relationship with the publisher whether the publisher or the researcher applies for an authorisation.
If, after examining your planned publication, you come to the conclusion that it is a first-time publication of research results, please contact the Export Control Contact Point of the University of Bern.
Who must apply for an export authorisation in the case of a research consortium with partners in several states?
The exporter, and thus the person who must apply for an authorisation, is the contractual partner of the recipient in the third country. S/he is authorised to decide on the transfer or shipment of goods from Switzerland. In other words, the consortium partner or the consortium leader him/herself may have to apply for authorisation before sending the dual-use items. This depends on the contractual arrangements between the consortium partners and the consortium leader.
I would like to apply for an export licence – how do I proceed?
The best way to apply for an export licence is via SECO’s Elic portal. If you need access to this portal, please contact the Export Control Contact Point of the University of Bern.
What should I bear in mind when hiring staff?
In some cases, the employment of foreign persons may be subject to a licence. The Export Control Contact Point of the University of Bern will check these matters during the recruitment process.
Please contact the Export Control Contact Point in case you want to hire someone from an embargo country.
What is the current status of the sanctions against Russia? What do I have to bear in mind?
You can find the current status of sanctions against Russia on the SECO website. In addition, you can find an informative overview of the various sanctions imposed by the European Union (to which Switzerland subscribes) on the website of the EU Commission. However, there are often very specific case constellations that raise questions that are not easy to answer. The EU Commission’s FAQ, which is constantly updated, can help here. If you have any further questions, please contact the Export Control Contact Point at the University of Bern.
What about other country-specific embargoes?
An overview of all country-specific embargoes can be found on the SECO website. We have compiled a consolidated overview here (UniIntern) (for now only in German).
It is important to note that, in addition to military equipment, goods are sometimes listed that at first glance do not appear to be relevant to export control regulations, but whose export to the respective countries is nevertheless prohibited.