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Determening whether research involves dual-use items can be (very) challenging. Innovative research does not easily allow itself to be labelled according to the existing control entries. A good understanding of the definition of “technology”, the technology notes set out in Annex I of the EU dual-use Reguation (namely Nuclear Technology Note and General Technology Note) and the de-control notes “basic scientific research” and “in the public domain” are essential to navigate through the technology controls. Please see for more information on notion of “technology” below and for more information on de-controls.

“Technology” in the context of the EU dual-use Regulation means specific information necessary for the “development”, “production” or “use” of listed dual-use items. This means that in order to be classified as listed dual-use technology, the technical data or technical assistance must contain specific information necessary for the development, production or use of the good specified in categories 0 through 9. The meaning of specific information is not defined in the EU dual-use regulation. The meaning of development, production and use is defined. The definitions of such terms are as follows:

• “Development” is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
• “Production” means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance. 
• “Use” means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing. 

For Category 0 (nuclear items), listed dual-use technology is the specific information that is ‘directly associated with any goods controlled in Category 0’ This is a broad definition; hence the range of controlled nuclear technology is larger compared to the controlled technology in Category 1 to 9.

For Categories 1 to 9, only that part of “technology” that is “required" for the “development”, “production” or “use” of the items  controlled in Categories 1 to 9 is controlled according to the provisions of Categories 1 to 9. Please see below the definition of “required”.

• “Required”, as applied to "technology", refers to only that portion of "technology" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required" "technology" may be shared by different goods.  

The performance levels, characteristics or functions referred to in the notion of “required” are generally very specific and high, thus limiting the technology that is capable of meeting the “required” threshold. Consequently, the scope of technology for which one may seek to apply the de-control notes “basic scientific research” and “in the public domain” is limited because of such very specific and high performance levels, characteristics and functions.

Generally, the following information is not considered to be specific enough to be falling under the technology definition:

• Safety data sheet (SDS), material safaty data sheet (MSDS), or product safety data sheet (PSDS)
• Brochures, catalogues and excerpts thereof, which, in their respective form, are intended or may be intended for an indefinite number of interested parties and which are made available to them without individual changes to the contents;
• Schematic diagrams, block diagrams, process diagrams (without detailed data);
• Technical performance data, key performance indicators;
• Electrical and mechanical connection and consumption data;
• Labelling characters;
• Parts lists if no reference can be made to drawings;
• Norms and standards that are generally available and not specific to a company product;
• Articles from trade journals and comparable publications;
• General process and procedure descriptions (in the case of production plants);
• Delivery specifications (e.g. for chemicals and other auxiliary materials);
• Photos (without detailed information on geometric sizes, materials used and electrical/electronic components);
• Exploded drawings/elevations without detailed dimensions;
• Sectional views (schematic and without material and detailed data);
• External dimensions.  

If you have any doubts or questions regarding the above, please consult your School’s or Departments technical export control expert or Aalto University’s compliance officer. 

Support organization for export control and sanctions matters at Aalto University

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