Export Control Compliance Program

Introduction

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, Manager of Contract Services, by email or phone (860-486-3994), or Carol Welt, Executive Director, by email or phone (860-486-8704), if you have any questions.

Definitions

• Commodity Jurisdiction Ruling
• Export
• Export Administration Regulations
• Foreign Persons
• Fundamental Research
• International Traffic in Arms Regulations
• Office of Foreign Assets Control Regulations
• Public Domain

List of Controlled Technologies

List of Countries

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
• Forms
  • Export Control Contract Review Form
  • Export Control Technical Review Form
  • Certification of Foreign Nationals Form
• Investigator Compliance Letter (Sample)
• Policy: Graduate Student Participation on Restricted Projects
• Final Compliance Report (Sample)

Federal Regulations

• Export Administration Regulations (EAR)
  • U.S. Department of Commerce
  • EAR Homepage
  • EAR Database
  • Commerce Control List Index (alphabetical list)
• International Traffic in Arms Regulations (ITAR)
  • U.S. Department of State
  • ITAR Regulations and Reference
• Office of Foreign Assets Control (OFAC)
  • U.S. Department of Treasury ~ Office of Foreign Assets Control
  • List of Specially Designated Nationals & Blocked Persons

Other Resources

• Council On Governmental Relations (COGR)
• Export Controls & Universities: Information & Case Studies
• MIT Export Controls
• University of Maryland - College Park Export Controls
• Yale University Guidelines on Export Controls
• University of Pennsylvania Export Control Laws
• Carnegie Mellon University Export Compliance Manual

Powerpoint Presentations

• University of Pennsylvania
• National Council of University Research Administrators (NCURA)
• University of Maryland