Export control

The constitutionally guaranteed academic freedom and the university's civil clause do not exempt you from complying with foreign trade law. The export control regulations are intended to prevent the misuse of research results. Export control is not an exclusively German concern, but is carried out by almost all industrialized nations worldwide.

Violations of export control regulations can be punished with heavy fines or even imprisonment. In addition, there is a loss of reputation for the persons or institutions concerned.

Export control regulations mainly concern:

• Biology including biotechnology and medicine
• Chemistry and biochemistry
• electrical engineering
• Energy and environmental technology
• Information and communication technology
• Aerospace and process engineering
• Mechanical Engineering
• Nuclear engineering
• Physics
• Process engineering
• Materials engineering

• hiring staff who work in a context that is subject to export control regulations (e.g. a research project with dual-use aspects)
• collaboration with international researchers, e.g. visiting researchers or doctoral candidates, as well as international research collaborations
• the provision of research results or prototypes as part of a research and development contract

• knowledge and data transfers - for example by passing on information in emails or via a cloud that can be accessed from third countries
• the sending of scientific equipment, materials and software, e.g. to cooperation partners
• the development of new technologies
• Publications that go beyond basic scientific research
• Business trips and participation in conferences

Whenever things or knowledge are involved that could go abroad or be used there. This includes

• the shipment of goods that can be used for both civilian and military purposes (dual-use goods)
• the transfer of knowledge and skills (so-called technical assistance)

Attention! Even within Germany, export control regulations must be implemented in a binding manner (for example, if you impart "sensitive" knowledge to a foreign colleague).

"Sensitive" means a possible use in connection with

• with the development, production, handling, operation, maintenance, storage, detection, identification or proliferation of chemical, biological or nuclear weapons and missiles
• with a military end-use if the purchasing country or country of destination is an arms embargoed country
• with digital surveillance for the purpose of internal repression involving serious human rights violations or violations of international humanitarian law
• with the construction or operation of a facility for nuclear purposes in specific countries of destination: Algeria, Iraq, Iran, Israel, Jordan, Libya, North Korea, Pakistan, Syria (current status September 2024)

Not everything falls under the export control rules. Generally accessible information or pure basic research are usually not affected. General accessibility applies to technology and software that is available without restrictions on its wider distribution. It does not matter whether access to information has to be paid for or not. Special regulations apply to goods (devices, prototypes, samples, etc.).

Basic scientific research is understood to mean experimental or theoretical work that is primarily aimed at gaining new knowledge about fundamental principles of phenomena or facts that are not primarily directed towards a specific practical goal or purpose. Work that can be clearly assigned to the development/application-related research area no longer falls under basic research.

A final assessment is always made on the basis of the circumstances of the individual case. The Export Control Officer at the University of Kassel will support you in making the classification.

An export control check is required if the person was resident and domiciled in one of these countries or is a national of the country. A visa does not release the person from the licensing requirements under foreign trade law.

The export control regulations must also be adhered to for business trips if you wish to take critical goods or laptops/smartphones/USB sticks with data, software or access to cloud content requiring approval stored on them with you on your trip. It is irrelevant whether you are only staying in the third country for a short period of time. When planning and carrying out the trip, please refer to the University of Kassel's guidelines on information security on business trips.

If the conference is to be held in or hosted by an embargoed country, please always contact the Export Control Officer before registering.

Do not present or speak about technology related to military equipment or unpublished dual-use technology without consulting the Export Control Officer. It is irrelevant whether you wish to publish the data in the future, as the first internationally accessible publication/presentation already constitutes an act relevant to export control.

You may require authorization for shipping. This depends on

• what you want to deliver
• which country you want to deliver to
• to whom you want to deliver
• the purposes for which the goods can be used.

On the one hand, so-called "listed goods" and on the other hand "non-listed goods" that could be associated with a critical use are subject to an authorization requirement.

This includes military equipment and dual-use goods. Dual-use goods are goods that are primarily used for civilian purposes but can also be used for military purposes. The following areas in particular are affected:

• General electronics
• Propulsion systems, spacecraft and related equipment
• Nuclear materials, facilities and equipment
• Aeronautical electronics and navigation
• Marine and ship technology
• Computers
• Sensors and lasers
• Telecommunications, information security
• Materials processing
• Materials, chemicals, microorganisms and toxins

A permit is always required for the delivery of listed goods abroad, regardless of the specific intended use in the individual case.

This includes goods that are affected by other legal provisions. Such legal provisions may result from the Embargo Regulations, the Anti-Torture Regulation or the Firearms Regulation. It also includes goods for which you as the exporting person are aware or should be aware of a sensitive end use.

This is the case if the specific technical knowledge is indispensable for the manufacture, development or use of "listed goods". Indispensable means that this knowledge is particularly responsible for the fulfillment of essential elements of the respective technical parameters. If you are researching dual-use technology and are planning a publication that is accessible outside the EU and cannot be safely classified as basic research, please contact the Export Control Officer.