How German academia is becoming more aware of China risks

China's position on the war in Ukraine has triggered a rethink in German academia. Since numerous pieces of evidence emerged that Beijing is providing military support to its close friend and strategic partner Vladimir Putin, a number of collaborations between German universities and research institutes and Chinese institutions have been cast in a different light.

"The war in Ukraine has changed perceptions. We cannot deny that there is a rivalry alongside the partnership with China," says Yannick Ringot, coordinator of the Hamburg Network on Compliance in Cooperation with China (HNC³) at the University of Hamburg.

There is still a considerable need for knowledge and instructions in areas where an extensive exchange with Chinese partners was largely approved without hesitation just a few years ago. Scientists are faced with the dilemma of having to weigh up the risks and opportunities of cooperation.

Ringot told Table Briefings that "researchers and universities have to be very careful" in all research fields that expand China's military or surveillance potential.

The HNC³ network is funded by the German Federal Ministry of Education and Research and pools the China expertise of nine academic institutions in Hamburg. The central player in the network is the University of Hamburg.

Earlier than others, it started to look closer at who it works with. The usual review of international cooperation requests was significantly intensified at the end of 2020. Since then, requests have been undergoing a more in-depth review process.

The implementation of this detailed evaluation resulted from the "dynamic global political situation," from which a systemic rivalry between democracies and autocracies has increasingly crystallised.

‘Cannot arm the military’

"Our universities have a social responsibility. They cannot be allowed to help arm the Chinese military," says Ringot. The review process has already been adjusted in detail several times to increasingly take account of the risk potential. These frequent readjustments are symbolic of the deficits that existed in the examinations at German universities just a few years ago.

With China, it is not always easy to say "no." The country offers generous research project funding, well-trained guest scientists and partner institutions with state-of-the-art equipment. For many years, the opportunities for cooperation outweighed the potential threats to Germany's sovereignty, national security and freedom of research. But that has now changed.

"We are seeing a much greater awareness and concern, particularly in export control," says Alicia Hennig, a business ethicist specialising in China from the International University Institute (IHI) Zittau at the Dresden University of Technology.

This became clear at the German Federal Working Group on Export Controls and Science, where around 130 representatives from universities and research institutions debated how to deal with the risks and consequences of cooperation, in mid-June. Hennig herself worked as a lecturer at a Chinese university for five years before she was no longer willing to abide by ideological boundaries in teaching, and left the country.

Frustration

Within the working group, however, Hennig has recognised "a lot of frustration that the German government does not play a central role in risk assessment for universities."

In its position paper on research safety in March 2024, the Federal Ministry of Education and Research (BMBF) announced plans to "actively support the review and (continued) development of corresponding guidelines and instruments by the scientific community”. Despite this, universities are still forced to make the final decision.

The problem here is that many academics have little or no China expertise. They evaluate risks based on their personal values and experiences. They can neither classify the individual backgrounds of Chinese scientists nor identify the ties between partner institutions and the state arms industry or surveillance programs.

The University of Hamburg wants to close these gaps. Its in-depth examination procedure is not country-specific. Requests from other countries are also closely scrutinised, especially if they are autocratic. Nevertheless, requests for cooperation with Chinese partners initiate most of the procedures.

AI project cancelled

The vast majority of the approximately 20 procedures examined to date involve science, technology, engineering and mathematics. Most of them have been given the green light. In one case, however, an ongoing collaboration was terminated. The third party-funded project in question focussed on machine learning and AI. When the application for the third phase began, several open and critical questions emerged, which, after extensive debate and consideration, spoke against a continuation.

The procedure takes time: After a classification based on the country list of the Academic Freedom Index, a subject-related classification by research areas with increased risk or export control relevance is performed, if necessary.

If the criteria of the German Federal Office for Export Control also indicate a high risk, the review goes into detail. The university then obtains information from project managers and the assessments of a handful of departments, coordinates them with each other, holds consultations and finally drafts a proposal for the presidential board. This is where the final decision is made whether or not a cooperation will be established.

More caution

The Technical University of Munich has also become cautious. "In recent years, we have noticed a high level of sensitivity as well as an increased need for consultation among our researchers with regard to international collaborations," the university says.China is a particular focus.

As part of its global engagement principles developed in 2022, the Technical University of Darmstadt has set up a "China Roundtable," which provides researchers with specific information and recommendations.

On the one hand, this is intended to contribute to further awareness raising. On the other hand, the aim is to create opportunities for the best possible organisation of scientific cooperation. In general, the guiding questions of the German Rectors' Conference on cooperation with Chinese partners are used as a basis.

At the Free University of Berlin, an awareness-raising process is also being driven forward, primarily by the international and legal departments. An in-depth review process has been in a test phase since the beginning of the year.

So far, applications for third party funding have only received a recommendation or, "in the case of certain countries such as China," the university administration has been able to request a review. In addition, the Free University has set up a China advisory board to advise university management on cooperation with China.

Risks not yet averted

Applications for third party funding with China are reviewed by the international department – particularly by the country officers – after consultation with the research department. Here, too, the key questions are: is there a risk of encroachment on academic freedom or violations of export control law?

Currently, the Free University's research database lists six ongoing collaborations with China, all of which are fully funded by the EU’s Horizon Europe programme, the German Academic Exchange Service (DAAD), the German Research Foundation (DFG) or other international organisations.

In addition, there are two long-term projects with partial Chinese funding – the Centre for German Studies, supported by Peking University, the Free University, and Humboldt University, and the German Academic Exchange Service. China also funds the University's Confucius Institute, "which operates separately from university teaching and primarily offers language courses and cultural events," a statement by the university says.

These examples show that parts of the scientific community in Germany are no longer willing to accept Chinese cooperation inquiries at any price. Have the risks been averted? Not by a long shot, says Hennig. "There has been significant progress in some areas of German academia. In other areas, it is still very difficult or there is a lack of will to counter the risks with suitable mechanisms."