Export Controls

Policy ID

035-0008

Effective Date

Friday, January 1, 2016

Division

Office of the Provost

Office of Primary Responsibility

Office of Sponsored Projects (OSP)

Summary of Policy

Dartmouth researchers are responsible for recognizing whether any technology or equipment involved in their research might be subject to export controls, and for complying with all export control laws and regulations. These include the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR) and the sanctions administered by the U.S. Treasury Department and the Office of Foreign Assets Control (OFAC).

Affected Parties

All Groups

Policy Statement

Dartmouth is fully committed to export control compliance. Export Controls are a complex set of Federal laws and regulations that govern how physical items, technology, information and data may be exported from the United States or shared with foreign persons within the United States. Export controls are designed to protect U.S. national security, to further U.S. foreign policy goals, and to maintain U.S. economic competitiveness.

Research and other activities at Dartmouth may be subject to export controls, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals. Export controls may apply to research activities on campus, to the temporary export of controlled Dartmouth owned equipment including laptop computers containing controlled software or technical data, and to the shipment of research materials to foreign collaborators. Failure to comply with export controls can result in severe consequences for Dartmouth as well as the individual researchers, including fines of up to $1 million per violation, up to 20 years imprisonment, and debarment from future exporting activities.

Dartmouth faculty, staff, and students may encounter these laws when engaging in several activities (examples not meant to include all activities):

  • Hand carrying items that export controlled outside of the US
  • Receiving equipment from a vendor that is restricted
  • Shipping chemical or biological materials
  • Receiving materials from another institution
  • Temporary Export of Equipment
  • It is important to note that most information and software that Dartmouth develops, shares or receives from colleagues or other is not export controlled.
  • Dartmouth faculty should become familiar with export control rules. A number of resources are available at Dartmouth to assist with Export Control compliance. OSP's website provides comprehensive information on export control regulations, definitions and applicability. It includes information on what kind of research may be associated with exports controls and how to go about an export control license if necessary. A decision tree tool assists researchers in making the determination whether their project may be export controlled or may require additional analysis.

Fundamental Research Exemption:

Even if an item appears on one of the U.S. government's lists of controlled technologies, generally there is an exclusion for fundamental research. "Fundamental research" means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community. Most research done at Dartmouth will be exempt from export controls as long as the PI has not accepted restrictions on publication of results and thus falls under the fundamental research exclusion. The Office of Sponsored Projects, the Research Compliance Office and TTO assure compliance with the College's Dissemination Policy that generally prohibits accepting publication restrictions.

   If you have specific questions or need assistance in determining when the regulations apply, please contact Henrike Frowein, Research Compliance Officer at Henrike.Frowein@dartmouth.edu or Jill Mortali, Director of the Office of Sponsored Projects at jill.m.mortali@dartmouth.edu.

Dartmouth Resources

Office of Sponsored Projects OSP

  • Jill Mortali
  • Review T&Cs sponsored projects, research abroad, export controlled technology, foreign national involvement 

Research Compliance Office (RCO)

  • Henrike Frowein
  • Review T&Cs sponsored projects, research abroad, export controlled technology, foreign national involvement, training

Office of Visa and Immigration Services (OVIS)

  • Susan Ellison
  • Inbound and outbound visa and immigration services, travel to sanctioned countries

Environmental Health & Safety (EHS)

  • Maureen O'Leary
  • Training on shipping, hazmat shipping

Procurement

  • Tammy Moffatt
  • Shipping equipment or materials abroad, interfacing with vendors, Customs clearance, purchasing services

Technology Transfer Office (TTO)

  • Nila Bhakuni
  • Licensing and patent arrangements, material transfer agreements

Office of General Counsel

  • Sandhya Iyer
  • Legal support for RCO, OSP, and others