Export control and research safety

Export control comprises legally binding regulations that restrict the export and transfer of certain goods, software, technologies and information or make them subject to authorization. The aim is to prevent undesired military or security-critical use. Export controls can also affect the transfer of knowledge in research - for example in the case of international cooperation or digital data exchange.

Research security refers to the responsible handling of knowledge - especially where scientific openness meets security-relevant risks. The term was coined by the G7 science ministers in 2022 and taken up in the German BMBF position paper "Forschungssicherheit in der Zeitenwende" (March 2024). It combines export control, information and cyber security as well as integrity and ethics issues to form a holistic approach that protects scientific freedom while preventing the undesired outflow of know-how, foreign influence or misuse of research results.

Export control refers to legal requirements that regulate the transfer of certain goods, technologies, software or information. Research security is a broader concept that aims to protect research, knowledge and institutions from security-related risks.

Both topics overlap, particularly in the case of international research and sensitive technologies.

Export control can be relevant if you

• transfer technologies, software or construction plans abroad,
• work with dual-use goods,
• transfer knowledge to international cooperation partners or guests.

This can also apply without physical export, for example, when exchanging digital data or talking to researchers who are not based in Germany.

Although basic research is free in principle, the results of basic research can be relevant to safety or later misused. Whether export controls apply depends on the specific research content and the context.

The transfer of knowledge that has already been published is generally unproblematic. In certain exceptional cases, however, a security-related assessment may be required before publishing knowledge with dual-use relevance. In this context, it is important to know that a presentation to an international audience may already constitute an export of knowledge.

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Do not present or speak about technology related to military equipment or unpublished dual-use technology without consulting the Export Control Officer.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.

Cooperation with international researchers can be relevant under export control law if controlled goods, software or technology (e.g. dual-use technology) are made available. This applies regardless of whether the transfer is physical, digital or verbal. Activities within Germany can also be considered exports or technical assistance if, for example, guest researchers are categorised as foreigners within the meaning of foreign trade law or if there is a sensitive end use. The content of the research, access rights and end use are decisive, not just the place of residence.
Finally, the legal canon applicable in the country of cooperation may differ with regard to the handling of research data or export control regulations.

An early review - also in relation to the legal canon applicable in the country of cooperation - helps to avoid legal and security-related risks.

Yes, the digital transfer of data, software or know-how (e.g. via email, cloud services or collaboration platforms) can also be relevant under export control law.

All international guests of the University of Kassel must register in advance of their stay via the pages of the Welcome Centre to ensure that no embargo rules are violated during their stay.

Also Access to certain technologies, laboratories or data may be subject to approval. This applies regardless of whether the guest works on site or is digitally integrated.

The person's usual place of residence is decisive. Persons with permanent residence in Germany are considered nationals, regardless of their nationality. Persons who are permanently resident outside Germany or who are only staying in Germany for a limited period (e.g. up to 5 years) are subject to the export control check.

The requirement to register does not depend on the length of stay, but on whether guests use internal university resources (in particular laboratories, IT systems). Guests who only come to a conference for a short time and do not use any resources do not have to register.

The university would like to continue to actively promote international academic exchange. The central registration helps to provide guests with the best possible support while reliably complying with all legal requirements, particularly in the area of export controls. For hosts and guests, this means clearer processes, less uncertainty and a single point of contact. You can find further details on the corresponding Executive Board resolution here in the information letters.

Guests register centrally via the Welcome Center website before being invited. Approval is given by the Welcome Center; only then can the invitation be formally issued. The department remains responsible for support and automatically receives a message when the invitation may be issued.

Researchers who are only coming to the university to attend a conference do not need to register.

As a researcher, you have a central responsibility to assess and classify your own research in accordance with export control regulations. The University of Kassel supports you here with advice, checks and organisational measures. If in doubt, please contact the Export Control Officer.

A brief consultation can help to clarify uncertainties and avoid problems later on.

The receiving department shares responsibility for ensuring that the collaboration is organised in accordance with export control regulations. This includes, in particular, checking before the start of the activity

• whether controlled technology or software will be made available,
• whether there are restrictions due to embargoes, sanctions lists or end-use risks and
• whether exceptions such as basic research or generally accessible information actually apply.

If you have any questions about export control and research security, please contact the Export Controll Officer; you can find detailed information about IT security here.

Our information clip gives you a good initial overview of the topic of export controls. The online training course ‘Safeguarding Science’ provides broad information and raises awareness on the topic of research security and international cooperation.

In the web-based online training course on ‘Safeguarding Science’ you will learn everything you need to know to organise your international research responsibly and safely - similar to the mandatory training courses on laboratory safety or IT security.