Dual use and sanctions: these applications require security screening
Security questions are becoming increasingly important for the admission of doctoral candidates and Master's students, the invitation of guests and for employing new staff. ETH has defined the procedure for this more precisely.
People from throughout the world teach and research at ETH, which is crucial for the university’s success. Because the global political situation is changing and wars have broken out, this internationality is also giving rise to challenges that are affecting more and more ETH members.
When admitting students to Master’s and doctoral degrees, issuing invitations to scientific guests and appointing new staff, ETH members are required to take into account prevailing national and international sanctions and the regulations concerning export control as they otherwise run the risk of unintentionally violating statutory provisions and ETH compliance requirements. ETH has to protect its employees against such violations within the scope of its duty of care.
This primarily concerns professors, as they are the recipients of doctorate applications and issue invitations to scientific guests. Should uncertainties arise, they receive support from the Export Control Office or points of contact in the departments. Responsibility for the admission of Master’s students lies with the Central Admissions Office and the departments, while for the employment of new staff it lies with the respective supervisor.
The most important questions and answers concerning the new procedure:
Why are more precise regulations needed?
Technology developed at ETH and suitable for military use – including knowledge – is subject to statutory export control and sanction provisions. These can also include sanctions that other countries have imposed. ETH has to minimise the risk of misuse. If students, staff or guests from abroad are able to obtain access to dual-use goods or key technologies, security screening must therefore be carried out for their applications.
ETH wishes to uphold academic freedom within its institution: everyone admitted or employed is as far as possible to be able to conduct research, teach, learn and work without barriers.
The Federal Intelligence Service (FIS) has made clear in a broad-based awareness programme that universities are a popular target for espionage and proliferation by foreign intelligence services (see Internal news report of April 2023). The issue is currently a matter of concern for many universities and colleges. Legal cases such as external page those in the US and external page Norway indicate a growing need for action.
Which subject areas are affected by this?
Almost all subject areas at ETH are affected by this as most technologies can also be used for military purposes or count as key technologies. These particularly (but not exclusively) include:
additive manufacturing, applied chemistry, applied physics, biochemistry and chemical engineering, biotechnologies, blockchain, chemical technology, cyber surveillance, digital technologies, electrical and mechanical engineering, engineering and manufacturing, advanced and intelligent materials, artificial intelligence, aerospace technology, measurement technology and sensors, nanotechnology, nuclear technologies, photonics and lighting technology, production and process engineering, quantum technologies, telecommunications and information technology.
Security screening is required for applied research as of Technology Readiness Level 4 (external page TRL). Fundamental research is generally not affected.
What has to be screened?
First of all: screening does not apply to persons already employed, admitted or invited.
Screening applies to all applications for doctoral studies, a Master’s degree, an employment vacancy or a guest stay from countries subject to sanctions imposed by the United Nations Security Council (UNSC), the US or the EU. It also applies to persons from countries categorised by Switzerland as risk countries with regard to proliferation. The Export Control Office has compiled a list of embargo and risk countries to serve as an aid.
According to which criteria is security screened?
Prior to admitting, employing or inviting persons affected, the following criteria are screened. If multiple such criteria are fulfilled, ETH recommends rejecting an application. There are no automatic mechanisms for this: each application is reviewed individually and no criterion by itself always results in an exclusion.
- Previous education at an institution with a security risk. Such institutions comprise military-related universities and institutions subject to sanctions. ETH takes sanctions lists of Switzerland, the EU, the US and the UK as the basis for this.
- The country of origin if it is subject to sanctions (see above) or export control provisions for dual-use goods apply. As well as nationality, a person’s place of residence and biography are also taken into account here.
- Funding through a scholarship from a sanctioned state, through a critical scholarship or exchange programme or from improper or questionable sources.
- The subject area or degree programme if it counts as applied research (from TRL 4), is subject to increased official supervision (embargo), falls under applicable export control regulations for dual-use goods, or if the research topic falls into the category of critical research areas or uses critical technologies.
Who is responsible for screening?
- The professors review applications for doctoral studies and the employment of academic and administrative-technical staff. They also screen scientific guests they intend to invite. Should uncertainties arise, they receive support from the Export Control Office or points of contact in the departments.
- The Admissions Office is jointly responsible with the Export Control Office for the formal screening of applications for Master’s degrees. It subsequently forwards them to the departments for academic assessment. Security issues play a role for both assessments.
- Leaders from all other areas review applications for employment if they originate from the aforementioned countries.
What happens in case of doubt?
In this case the Export Control Office analyses the documents, if necessary in consultation with the State Secretariat for Economic Affairs (SECO), the federal authority responsible for ensuring compliance with export control provisions.
If multiple criteria for an application are fulfilled and the Export Control Office recommends a rejection, the professor or supervisor can apply for reconsideration via the Export Control Office (except in the case of Master’s degrees). These documents are submitted to a committee of the Executive Board comprising Rector Günther Dissertori, Vice President for Personnel Development and Leadership Julia Dannath and Vice President for Research Christian Wolfrum. The committee makes the final decision.