INSIDER-Newsletter, June 2024

“I want to ensure HZDR research doesn’t get into the wrong hands”

Interview with Pedro Roldan-Vazquez, Officer for International Compliance at the Helmholtz-Zentrum Dresden-Rossendorf.

A few months ago, a new member of staff joined the HZDR’s Board Office. Since the fall of 2023, Pedro Roldan-Vazquez has been supporting the staff department by designing and implementing a compliance program on issues involving an international dimension. As part of the project, which is set to run for three years, the lawyer will develop a risk analysis system that should help the center to make its cooperation with research establishments around the world much safer. How does the system function and what does it mean for international research collaborations? INSIDER asked Pedro Roldan-Vazquez.

Mr. Roldan-Vazquez, Your project is about compliance in foreign trade. What does that mean?

It means continuously analyzing all the internal and external regulations that have to be observed when doing business abroad. Primarily, it has to do with the consequences and risks that are involved in an exchange of goods and services. At HZDR, this largely takes place in the context of research collaborations and technology transfer, for example software licenses, technical documents or recruiting and employing foreign researchers. It’s my job to analyze and document the decisions made during these processes in order to identify potential or actual problems at an early stage.

HZDR created a new position for you and raised the funding through the Helmholtz Association’s Initiative and Networking Fund. Why is this such a hot topic?

The need to be compliant has not just become more important in industry but in science, too. In the last three years alone, a raft of new directives, regulations and legislative amendments have come into force both in Germany and in the EU. They prohibit the export and transfer of goods that could be used for non-peaceful or criminal activities. National as well as European legislators require research facilities to take even more care, not only with regard to their own behavior but also, and especially, with partners.

What are the consequences if institutions don’t comply with this due diligence?

Much of the work that is done at HZDR pertains to activities, knowledge or products deriving from research which could cause major damage if used improperly. The loss or unauthorized transfer of sensitive technologies or information, even if it happened unintentionally, would constitute an offense. For example: last year, it emerged that at least 11 British universities were supposed to have helped the regime in Iran to develop so-called kamikaze drones by transferring technology. That not only violates peaceful research goals but could also damage reputations or lead to the withdrawal of licenses. To prevent this, HZDR cooperates with an export officer in the Procurement Department on export control and obtaining export licenses.

As there are already preventive measures in place, what is your particular contribution and what challenges do you face?

I want to ensure HZDR research doesn’t get into the wrong hands. My focus is on addressing new, complex problems or special cases. This should lead to standards that can be integrated into normal processes. During my analysis, I initially consider the political and legal context of the countries and institutions that contribute to our research. Then I look, on the one hand, at our formal cooperation with these countries which includes things like research and employment contracts. On the other, I also take a look at informal paths like conferences and workshops. The next step is to gauge the probability of failures or non-compliance with regulations. As soon as I have a diagnosis, I can develop monitoring and control guidelines to avoid the risk of fines and penalties. This is all part of the internal compliance program, or ICP for short, that I have been helping to design since joining HZDR.

What impact does the ICP have on staff involved in collaborations?

An effective compliance model requires everyone to engage with it, especially those who make decisions relating to the law on foreign trade. The model is designed to identify problems at an early stage and ensure frictionless internal communications. One core measure is staff training to raise awareness of the topic and promote safety-conscious behavior. In the Board Office, we are already working on it and intend to offer the relevant formats during this year.

You have been at HZDR for a few months now. Have you settled in? What’s your impression of the center?

When I arrived at HZDR, I met many open, wonderful people and found a very team-based, efficient way of working. I made contact with researchers and administrative staff right from the word go in order to support them in evaluating internal control measures and identify risks related to export controls. I am very happy and feel privileged to work for such a distinguished research institution. The dedication and excellence of all the people who work here inspire me to do my best every single day.

Brief bio:

Pedro Roldan-Vazquez was born and grew up in Argentina. He studied law at the University of Tucumán and, after graduation, moved to Germany where he completed the Master’s program in European Integration Law at Leipzig University. An expert on international law, he gained extensive experience in compliance, human rights and international humanitarian law in countries like Argentina, Colombia, Spain, the United States and Germany. Moreover, he spent many years working as a teacher and academic trainer.

Contact:

Pedro Roldan-Vazquez
HZDR Board Office
Phone: +49 351 260 3037 | Email: p.roldan-vazquez@hzdr.de