Export control and Dual use

The University of Jena understands internationality as enrichment and as a resource, the use of which represents a significant added value for research, teaching and studies, innovation and transfer. Openness and appreciation towards students, teachers and researchers from all over the world contribute significantly to the success of network building and international perception.

However, international research collaborations, missions, exports of scientific equipment, development of new technologies or collaboration with international (visiting) scientists may be affected by export control restrictions.

With its participation in foreign trade, the Friedrich Schiller University is obliged to comply with the legal framework of foreign trade law and export control.

Friedrich Schiller University has set up an internal compliance program to ensure adherence to these rules. A steering group consisting of representatives of the Office of the Vice President for Research, the Legal Office and the Service Center Research and Transfer monitors compliance with the rules and advises researchers in particular on the subject.

For questions, please contact: exportkontrolle@uni-jena.de 

In addition to the legal dimensions of safety and environmentally relevant research, an ethical dimension must also be taken into account. The Committee for Environmentally and Security-Relevant Research assesses planned research projects and advises on safety and environmentally relevant protection goals.

Which research areas are particularly affected by export control?

The German Federal Office of Economics and Export Control (BAFA) lists the following research areas as potentially affected (Handbook „Export control and Academia” BAFA, p. 13External link):

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

What is being controlled?

Export control applies to matters that have a foreign connection. This also includes situations within the country or within the European Economic Area where technical assistance is provided to a person or institution located in a third country and temporarily present in the customs territory of the European Union.

The transfer of conventional military equipment (weapons, ammunition and armaments) is controlled, as are goods that are normally used for civilian purposes but can also be used in the military sector. The latter are referred to as dual-use goods.

The lists of goods for the EU Dual Use Regulation and the export lists of BAFA provide an overview: BAFA - list of goodsExternal link

For questions and support on the use of the lists of goods, please contact: exportkontrolle@uni-jena.de

Furthermore, both the transfer of samples, models, experimental setups and materials and the intangible transfer of knowledge (so-called "technical assistance") may be subject to export control restrictions. This includes the oral transfer of knowledge, but also the transfer of knowledge via e-mail, cloud and other data carriers.

Note: If you are working with equipment, technology or software that has a US connection, US export control law applies. US export control law is the only national export control law with extraterritorial eff 

Is science not free in principle?

The freedom of science guaranteed by the Basic Law does not exempt from compliance with the provisions of foreign trade law. The aim is to prevent the misuse of research results.

Not everything is subject to export control restrictions. The transfer of knowledge that is "generally available" or part of basic scientific research does not require a license. However, this only applies to technology and not to goods (devices, prototypes, samples, etc.).

I'm doing basic research. Is this also affected?

Basic research is generally exempt from export licensing requirements.

The definition of basic research for purposes of foreign affairs law is: "Experimental or theoretical work primarily aimed at obtaining new knowledge of fundamental principles of phenomena or facts, not primarily directed toward a specific practical goal or purpose."

The following control questions can help with the assessment:

• Is the work theoretical or experimental?
• Are fundamental principles being researched?
• Is the research not aimed at a practical purpose or goal? For example, is no concrete application envisaged and is not aimed at the development of a product (samples, prototypes or demonstrators)?
• Is the research carried out without or not for industrial partners?
• Is research funded without research grants from industry?
• Basic scientific research typically has a Technology Readiness Level (TRL)External link of 1-3. Is the technological readiness level in this area?

Which countries are affected by embargoes?

An overview of current embargoed countries is provided by the EU Sanctions MapExternal link.

What do I have to consider when hiring people from third countries or visiting researchers?

The employment of a foreign employee may also result in technical assistance requiring approval. A visa does not release the employee from the licensing requirements under foreign trade law.

Before hiring an applicant, it is advisable to check whether a personal embargo (also called a financial sanction) has been imposed on the specific person or whether the knowledge transfer associated with the hiring violates country-specific embargo regulations (an overview is provided by the EU Sanctions MapExternal link).

The following control questions can help with the assessment:

• From which country and from which institution (university, etc.) does the person come?
• Where was the person's regular place of residence in the last 5 years?
• Is the person himself or the sending institution listed?
• Is the person to have access to knowledge, procedures, technologies that are not generally available? If yes, which ones?
• Is the research basic or applied?

Contact persons at the University of Jena for specific questions:

• international PhDs and Postdocs: Dr. Alexander Schwarzkopf, Graduiertenakademie de
• international staff: Dr. Stefanie Buchmann, Dezernat 5 de
• visiting scientists: Dr. Claudia Hillinger, International Office de

I have questions about exporting goods. Who can I contact?

The export of scientifically used goods (laboratory equipment, drones, lasers, chemical substances, etc.) to countries outside the European Economic Area (EEA) is subject to the strict legal requirements of European and German foreign trade law.

Goods to be exported must already be registered for liability reasons in Department 2 -  Tax and Customs Division de

The cooperation of the implementing departments and their scientific staff is urgently required for legally compliant export control.

Due to the involvement of the Tax/Customs Department, the Exporting Department and the Legal Department for the purpose of preparing the Export Control Memorandum, we kindly ask you to submit your export applications in time (at least 2 weeks in advance).

Guidance on the export of goods can be found here.

ATTENTION! It is not possible to export a good before the inspection is completed (creation of the export control note).

I am planning a business trip. What do I need to consider?

In principle, exports subject to approval may also be present during business trips, for example if prototypes or technologies included in list of goodsExternal link are transported to third countries in this context, or if business laptops, smartphones, USB sticks or other storage media that enable access to technology or software subject to approval are carried along.

The fact that the export is only temporary does not affect the licensing requirement. However, the temporary nature of the export may have an impact on the licensability of the project.

What are the regulations regarding lectures, conferences and teaching content?

Educational material that is not generally available may be subject to export control. However, this does not mean that all university teaching is generally subject to export control. Lectures and presentations at professional conferences, as well as course content do not generally contain information that is subject to export control. Information passed on orally must meet the requirements of a goods list number. However, the requirements of the goods list numbers are generally very specific and so high that they are usually not met by oral presentations in the context of lectures and talks.

Do publications also need to be checked?

The publication of listed technology constitutes an export or transfer if the publication is also available abroad. In particular, the first-time publication of knowledge may be related to export control law.

Scientific publications rarely contain information that is subject to export control. The requirements of the goods list numbers are generally very specific and so high that they are usually not fulfilled by scientific publications. However, a list check is strongly recommended as far as dual-use or arms-related information is available, especially in areas designated by BAFA (see above).

Information, notes and links

BAFA-Handbook Export control and AcademiaExternal link

BAFA-list of goodsExternal link

DAAD-Kompetenzzentrum Internationale Wissenschaftskooperationen (KIWi) - DAADExternal link

EU-Dual Use regulation (20 May 2021) External link