“German and European export controls focus on preventing both a proliferation of weapons of mass destruction and the uncontrolled transfer of conventional military equipment. At the same time, the aim is to stop sensitive items from being used for internal repression or other serious human rights violations, as well as to prevent the acquisition of those items by terrorists.” (Export Control and Academia Manual, p. 13). 

In addition to conventional military equipment, goods (= items/goods, technology or software) that are normally used for civilian purposes but can also be used in the military sector ("dual-use goods") are also subject to controls. Affected are goods mentioned in lists of goods on the national (Export List, Annex AL to the Foreign Trade and Payments Ordinance (AWV), Part I Sections A and B) and EU levels (Annexes I and IV of the EU Dual Use Regulation). However, non-listed goods may also be relevant if an intended critical use is known (Article 4 para. 1, 2 EU Dual Use Regulation). In reference to specific goods or uses, technical assistance (e.g. instruction, consulting services) is also subject to export controls. Country-specific embargoes (embargo countries) also apply. Furthermore, personal sanctions must be observed. These prohibit the direct or indirect provision of funds or assets of any kind (including, for example, commercially exploitable research results) to certain natural persons or legal entities included in the sanctions lists. For the University of Tübingen, this means that we must ensure that individuals and institutions with whom we enter into collaborations are not included in the sanctions lists (European sanctions list check via https://www.sanctionsmap.eu/#/main).
 

"All researchers and research institutions must step up and assume responsibility in relation to export control. On the one hand, this concerns the export of goods (e.g. laboratory equipment, test equipment), especially including the export of tangible technology (in e-mails, on data carriers, in clouds, etc.), and on the other hand, the intangible transfer of knowledge or „technical support”.” (Brochure Export Control in Science & Research, p. 12)

Export control regulations apply to both natural persons, such as academics, and legal entities, such as the University. Violations of export control regulations are punishable by heavy fines or even imprisonment (up to 10 years) for individuals and heavy fines (up to 10 million euros, or more in some cases) for institutions of higher education. This is accompanied by corresponding reputational losses. Activities at research institutions and universities may also be subject to U.S. export regulations in individual cases; failure to comply with these foreign regulations may also have serious consequences. 

In export control law, how a prohibited export takes place in the scientific context is not relevant. Examples could include:

• An e-mail sent to foreign scientists or organizations as part of a scientific collaboration.
• Software placed in a cloud accessible from third countries.
• The publication of technical papers abroad or on a website.
• Export as part of providing results under a research and development contract.
• When knowledge is passed on orally during foreign travel.
• If University of Tübingen academics take technical equipment abroad that contains critical components or on which data sensitive to export control law is kept, which is scanned, for example, by foreign authorities upon crossing the border. 
• This may also apply to the supervision of student research projects and theses as well as doctoral and post-doctoral students. Technical support requiring approval may also be required in the course of collaboration with visiting academics or the employment of foreign staff.

Please send an e-mail to: exportkontrollespam prevention@uni-tuebingen.de