Export Controls and Material Transfers

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). OSP and the Research Compliance Office are available to assist researchers in their compliance efforts and, if necessary, can seek support from outside consultants and counsel.

Export controls may apply to a broad range of research activities, technologies, and data. An export license may be required to ship or otherwise transport controlled technology to a foreign country or to provide it to foreign nationals in the U.S. under certain circumstances (deemed exports).

To determine whether export controls may apply to your research please consult the information on export controls available on OSP's website, including the decision tree.

Shipments from Dartmouth / MTAs

1) Any shipment of biological and chemical materials outside of the U.S. (or to a foreign national person inside the U.S.) must be compliant with U.S. export control laws and regulations. Please consult the information available on OSP's website, including the decision tree. It will help you determine if export controls apply to your shipment.

2) Please get in touch with the Research Compliance Office or OSP if you want to send material to Cuba, Iran, North Korea, Sudan, Syria, the Crimea region of Russia or any country that is mentioned on the attached list or that you have doubts about. Sanctioned countries: http://www.ustreas.gov/offices/enforcement/ofac/programs/

3) Please get in touch with the Research Compliance Office or OSP of if you have any reason to believe that the material to be shipped is listed on either the Department of Commerce's Commerce Control List (e.g. certain human or animal pathogens, toxins and viruses identified on the Australia Group list, please consult

https://australiagroup.net/en/controllists.html  for details), or the Departments of State's US Munitions list (defense related equipment, software or technology, nuclear devices, chemical or biological weapons, missiles). If you are in doubt, please consult the Research Compliance Office or OSP.

Deemed Exports

A deemed exports is a release of export controlled technology to a foreign person in the US. Such a transfer is "deemed" to be to the country where the person is a resident or a citizen.

However,

1) The routine "use" of controlled equipment by foreign nationals (e.g., using it in the ordinary way specified in the user manual, in a manner that does not disclose technical information about the equipment beyond what is publicly available would not be considered a deemed export. However, a deemed export may occur if a foreign national is "using" the equipment in such a way as to access technical information beyond what is publicly available (for example, accessing the source code of software or modifying a piece of equipment in such a way as to gain non-publicly available technical information about its design.)

2) Visual Inspection (access only is not sufficient) would only be considered release of the technology and as such a deemed export to the observer, if it reveals export controlled information (for example information that would enable the observer to replicate or improve the item, such as technical specifications, blueprints etc.).

3) Fundamental Research: Export controls (including research involving controlled technologies or deemed exports) do not apply to research conducted at Dartmouth, if there are no publication or access restrictions on the research. If this is the case, the Fundamental Research Exemption (FRE) most likely applies1. Foreign nationals including students, faculty and visitors can participate in research projects on campus, provided they are covered by the FRE. Note that although the FRE is broadly applicable, it generally does not authorize the transfer of physical items outside the U.S. (see above "Shipments")

Footnote 1: Fundamental research includes basic or applied research in science and/or engineering at an accredited institution of higher learning in the United States where the resulting information, is ordinarily published and shared broadly in the scientific community.