Universities, scientific institutions, and their employees are subject to the same foreign trade restrictions as all other persons and institutions when engaging in international exchange. This applies not only to activities requiring authorization, such as the export of goods, e.g., scientific samples, chemicals, or equipment as classic exports, but also to the transfer of knowledge, for example through email correspondence with foreign colleagues, through presentations at conferences abroad, or the transfer of knowledge and access to foreign visiting scientists (see p. 17 in the Export Control and Academia Handbook).
 
Security-related research affects all departments. It refers to scientific work where there is a risk that findings, technologies, or products could be misused—for example, to endanger human dignity, life, health, freedom, property, the environment, or social peace. Such research is considered particularly critical if misuse is immediately possible and could potentially cause significant damage. Security-related research also involves collaboration with individuals, organizations, and institutions that are listed on so-called sanctions lists or originate from countries subject to embargo regulations, regardless of the research topic.

Researchers and employees involved in research and teaching have a central responsibility to assess and classify their own work in accordance with export control regulations. The University of Greifswald supports you in this by providing advice, reviews, and organizational measures. If in doubt, please contact the export control officer—this can help to clarify uncertainties and avoid problems later on.

The permit requirements under foreign trade law essentially relate to the following activities:

• Export and transfer of items

  The terms “export” (Ausfuhr) and “transfer” (Verbringung) describe processes in which items (goods, software, or technology) are sent abroad. While the term ‘transfer’ refers to the delivery or transfer of items to another EU member state, the term ‘export’ refers to the delivery or transfer of items to a third country, i.e., a country outside the EU. Items subject to licensing requirements include, on the one hand, items specified in the item-lists (so-called listed items) and, on the other hand, unlisted items that are exported or transferred in connection with a critical use (catch-all clause).

   

• Supply ban and technical support

  A supply ban (Bereitstellungsverbot) refers to measures that are also known as sanctions or embargoes. It can be directed against individuals, organizations, institutions, or an entire country. In addition, various items, commodities, services, technical assistance (such as repairs), or financial transactions in general may be affected, or certain groups of items, such as weapons or military equipment, may be subject to a supply ban. A wide variety of combinations are possible. For example, a country may be subject to a general supply ban (total embargo), but humanitarian items and goods may be delivered/supplied, however, they require special permits from the Federal Office for Economic Affairs and Export Control (BAFA).

  Technical support (Technische Unterstützung) refers to the transfer of intangible knowledge and skills (“knowledge in the head”); primarily, therefore, the verbal transfer of information, e.g., in seminars, workshops, research collaborations, or when working with foreign guest students and researchers.

  This is to be distinguished from the export or transfer of technology, i.e., the cross-border transfer of embodied technology, for example, in the form of an email, a data carrier (storage media or end devices), or by making it available in a cloud to which persons from abroad can also gain access.

   

• Trading and brokerage transactions

  A trading or brokerage transaction may exist, for example, if a person contributes through a trading or brokerage activity to goods located in a third country being shipped to another third country.

Yes, compliance with export control laws is monitored by the Federal Office of Econom Affairs and Export Control, e.g., as part of foreign trade audits conducted by federal customs (Zoll) or the federal bank (Bundesbank). Export control laws are punishable by law, i.e., violations can be punished with heavy fines or imprisonment of up to 5 years, e.g., in the case of exports requiring permits without approval, or violations of EU embargoes or sanctions regulations.

Certain knowledge and certain items can potentially be used for military purposes or misused in a variety of ways—this is referred to as items of dual or multiple use. The decisive factor here is not the actual or general use, but solely the possibility that this knowledge or these items could be used or misused for military or security-threatening purposes. For this reason, export—i.e., transfer to certain countries or recipients—may be restricted or subject to authorization.

This applies not only to the physical export of devices or laboratory equipment, but also to the transfer of knowledge—for example, by email, (mobile) data storage devices, cloud systems, or in personal conversations, for example with visiting scientists.

As a rule, the transfer of knowledge that is already publicly available or of research that is considered basic research (from the perspective of foreign trade regulations, not necessarily from the perspective of the field) is not a cause for concern. These are often exempt from permitting requirements.

Researchers have a duty of care (due diligence) and must carefully check items and potential cooperation partners—whether individuals or institutions—in advance. This involves evaluating objectives, strategies, ethical standards, and potential risks. The aim is to make informed decisions for trusting, secure, and long-term sustainable collaborations. A structured due diligence process helps to identify risks at an early stage and avoid potential damage.

Export Control - Criteria for checking:

1. A first indication of whether your own research could be subject to export control permitting requirements is to carefully review your own research work with regard to the lists of items (military equipment and dual-use goods). A connection to the items-lists exists regardless of whether the listed items are physically available for your own work and are only used methodologically (e.g., high-power lasers in imaging procedures) or whether research is being conducted on or with listed items (e.g., the development of high-power laser technology).
2. Another indicator is references to embargoed countries. This applies to the employment of persons or exchanges or cooperation with persons from embargoed countries, as well as travel (research or conference trips) to these countries.
3. The employment of or cooperation with individual persons or cooperation with certain organizations may also be subject to export control regulations, e.g., in the context of national or European sanctions. Therefore, when initiating a potential cooperation or business relationship, check whether your future cooperation or business partners are listed on national or European sanctions lists (a quick guide to checking sanctions lists for individuals or organizations can be found under “Further information and resources/Downloadable content”).  

If you suspect that your research/activities may be subject to export control licensing requirements, after an initial self-assessment, you can obtain assistance with the assessment and a possible BAFA permit application from the export control officer. 

Yes, export control regulations also apply to business trips, both for research stays and for attending conferences or lecture tours. Taking controlled items such as samples, data and software, chemicals, or prototypes to third countries constitutes an export requiring authorization (even if it is only temporary). Before any business trip abroad, please also refer to the information provided by the The German domestic intelligence services on “Business Travel Security”, “Business Travel Security: China” (both in English) and the country-specific travel advice (in German only) provided by the Federal Foreign Office for your own safety.

The disclosure of already published findings is generally unproblematic and therefore does not require approval. It should be noted that even the first publicly accessible presentation of unpublished data with possible dual-use relevance to an international audience in the form of lectures or poster presentations can be considered knowledge export and thus constitute an export requiring approval under foreign trade law. 

Lectures or presentations on technologies related to military equipment or unpublished dual-use technology should only be given for security-related assessment purposes after prior consultation with the export control officer. It is irrelevant whether publication is planned at a later date.

If a conference is taking place in or is being organized from an embargoed country, please contact the export control officer before registering.

The publication of scientific articles is one of the central tasks of science. Knowledge that has already been published is not subject to approval. Nevertheless, the publication of research results is also subject to legal requirements, compliance with which must be ensured by the university if there is a security-related connection (e.g., in the case of defense equipment or dual-use goods).

According to the standard practice of the Federal Office for Economic Affairs and Export Control, the first-time publication of previously unpublished data (e.g., manuscripts, preprints, lectures prior to approval) can be considered a controlled export. The exception for knowledge that is already publicly available does not apply in this case, as research results are only considered “generally accessible” once they have been published.

If you believe that this could be the first publication of research results that are potentially relevant to export controls, please contact the export control officer at an early stage.

Collaboration with international researchers and other organizations (companies/service providers) may be relevant under export control law if controlled items, software, or technologies (e.g., dual-use-items) are made available—regardless of whether this is done physically, digitally, or verbally. Activities in Germany can also be considered exports, for example, when collaborating with foreign guest researchers or in the case of sensitive end uses. The content of the research, access rights, and end use are decisive factors—not just the location.

In the case of international cooperation, other national export control regulations may apply in addition to German ones. An early check during the initial phase helps to avoid legal and security-related risks.

There are several exceptions to the licensing requirements relating to export controls. For example, licensing requirements do not generally apply to technologies derived from basic scientific research or to information that is already publicly available. Information required for patent applications is also exempt. In addition, there are export facilitations such as the so-called General (Export) Authorisations (GEAs or AGG - only available in German), which can be used in specific cases and thus replace an application for a license.

Technologies or software that are publicly available on their further distribution (copyright restrictions or paywalls do not prevent general accessibility in this sense) are generally accessible. These include, for example:

• Publications such as books, magazines, or newspapers in bookstores or public libraries
• Information that is freely accessible on the Internet (without registration)
• Freely accessible information from open conferences, seminars, trade fairs, or exhibitions (handouts, flyers, brochures, etc.)
• Information published by patent offices
• Basic scientific principles as commonly taught in schools and universities (textbook knowledge)
• Dissertations or theses, provided they are publicly accessible in accordance with the usual regulations

Basic scientific research encompasses experimental or theoretical work that primarily serves to gain knowledge about fundamental principles and is not geared toward a specific practical goal. This includes, for example:

• Research aimed at expanding fundamental scientific knowledge
• Investigations into fundamental solutions or procedural approaches
• Theoretical and experimental work without direct product development

However, work that is clearly aimed at developmental steps towards specific products or applications is no longer considered basic research.

In addition to the technology readiness level, the origin of the research funds or the type of cooperation partners (e.g., industrial cooperation) may also be relevant for classification. However, a final assessment is always made on a case-by-case basis. The use of general licenses must be reported to the BAFA no later than 30 days after export.

Whether and to what extent an export project is exempt from the permitting requirement depends on many conditions and is specific to each individual case. If you have any questions or uncertainties as to whether any of the exemptions listed here apply to your research/activity/project, please contact the export control officer.