The University of Tübingen has a broad international presence and therefore sometimes participates in foreign trade, which is subject to export control regulations. The University, researchers and administration come under export control regulations in numerous fields of activity. These include in particular:
international research collaborations
travel for work
the export of scientific equipment, materials or software
the development of new technologies
knowledge and data transfers
publications
cooperation with international researchers, e.g. visiting academics
the hiring of staff.
All these activities may be subject to approval; under certain conditions they may even be prohibited. In this context, export controls do not seek to restrict the freedom of academia and research or of foreign trade. Rather, the provisions are intended to prevent the misuse of sensitive research assets and know-how to the point of endangering national security. Critical individual cases must therefore be identified so as not to violate the relevant laws.
The Federal Office for Economic Affairs and Export Control (BAFA) has compiled detailed information on export controls on its website. For the research sector in particular you will find explanations and advice in English on how to deal with export controls including information on the targeted fields of activity/technologies, practical cases etc. in BAFA's publications:
Dealing with Risks in International Research Cooperation
The potential risks involved in international research cooperation projects funded by the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) shall henceforth be subjected to a more thorough and systematic reflection. To this end, the DFG has put forward recommendations. These recommendations, which apply particularly to the cooperation with researchers in authoritarian countries, aim to enable researchers to realistically assess the risks of misuse of research results, on the basis of which carefully balanced decisions can be reached. While primarily aimed at individual and institutional applicants, the recommendations can also be drawn on in the DFG’s review and decision-making process. (Quoted from the DFG press release of 29.09.2023)
The University will offer regular training courses for employees in the area of export controls starting in autumn 2023. The courses seek to sensitize the participants to the goals and objectives of export controls and indicate possible solutions for the practical handling of export controls at a university. The registration takes place via ILIAS. You will find the corresponding links on the homepage of the personnel development department.
“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).
Responsibility and sanctions in the area of export controls
"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.
