Export Control Compliance Program


Export control laws are federal regulations that govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil. The scope of the regulations is broad: they cover exports in virtually all fields of science, engineering, and technology and apply to research activities regardless of the source of funding. Failure to comply with these laws can have serious consequences, both for the institution and for the individual researcher. Potential penalties include fines and possibly imprisonment. It is thus critical for UConn researchers to understand their obligations under these regulations and to work with the Office for Sponsored Programs to ensure that the University is in compliance.

The International Traffic in Arms Regulations (ITAR) regulate defense articles, services, and related technical data that are identified on the Munitions Control List. They are administered by the Department of State. The Export Administration Regulations regulate the export of dual use items, i.e. items with both military and commercial applications, identified on the Commerce Control List. They are administered by the Department of Commerce. The Office of Foreign Assets Control Regulations (OFAC Regulations) regulate economic trade with foreign countries and administer the statutory economic trade sanctions imposed against several foreign countries. They are administered by the U.S. Department of the Treasury, through the Office of Foreign Assets Control.

Material on this website is intended to assist faculty and staff in understanding the regulations. Furthermore it outlines UConn guidelines and procedures that are designed to ensure compliance. Please contact Antje Harnisch, Assistant Director, Pre-Award & Contracts Services if you have any questions.


Lists of Export Controlled Items, Information and Software

Export Controlled or Embargoed Countries, Entities and Persons

UConn Guidelines and Procedures

These guidelines and procedures are designed to determine if the EAR and/or ITAR affect a particular research project and to take appropriate action to ensure compliance with the Federal Export Control regulations.

  • Decision Tree: Overview of Process

  • Export Control Compliance Requirements for Project Personnel:
    • Export control compliance package (technical review, project personnel information, technology control plan)
    • Annual Training
    • Compliance letter to be signed/certified
    Project account will not be set up and no funding will be released until the compliance requirements are complete.

  • Investigator Compliance Letter (Sample)
  • Final Compliance Report (Sample)

Investigator Training on Export Controls

The University of Connecticut is implementing mandatory export control training for UConn researchers involved in any research that is export controlled.

As a result, any UConn investigator listed as project personnel for a grant, contract, or cooperative agreement where export control regulations apply must complete export control training certification prior to starting any work on that project. Such certification is valid for one (1) year from the date the training is completed. Certification must be completed annually if the investigator is still personnel on a project where export control regulations apply.

The training is available online and offered through CITI. The Export Control Course contains four modules. Two of the modules are considered mandatory and will fulfill UConn's requirements for the export control training. They are:

  • U. S. Export Controls - General Overview
  • Export Administration Regulations (EAR)

You may be required to complete other modules based on the nature of the regulations that apply to your research project. OSP will let you know if additional modules are required.

Once the required training certification has been completed, you will have met your export control training requirements for the year. Please make a note of the date of the certification as you will be required to complete the training again prior to the annual expiration date.

For more information about how to access the online training, please click here.

International Travel

For more information about international travel and export control, please click here.

Federal Regulations

Other Resources

Powerpoint Presentations