Websites

• • Council On Governmental Relations (COGR)
  • Higher Education Compliance Alliance
  • AUECO – Association of University Export Control Officers
  • Foreign Malign Influence and Higher Education – FBI
  • Export Law Blog
  • White House Directive on Fundamental Research – National Security Decision Directive 189

PowerPoint Presentations and Audio Presentations

• • 2013: The Impact of Export Controls on Higher Education Scientific Institutions Conference
  • COGR Deemed Export Controls Presentation
  • BIS Essentials of Export Controls

Other Resources

• • Deemed Export Form

Export Administration Regulations (EAR)

• U.S. Department of Commerce
• Commerce Department Export Controls
• Commerce Control List Index

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 and Blocked Persons

The University of Connecticut has implemented 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 the CITI Program.  The Export Control Course offers eleven modules.  They are:

Introduction to Export Compliance (ID: 16800)
Export Compliance for Researchers: Part I (ID: 16801)
Export Compliance for Researchers: Part II (ID: 16802)
Export Compliance for Research Administrators (ID: 16803)
Export Compliance and Biosafety (ID: 16805)
Export Compliance for Operational Departments (ID: 16806)
Export Compliance for International Shipping (ID: 16807)
Export Compliance and Purchasing (ID: 16808)
Export Compliance and International and Foreign Waters (ID: 16809)
Export Compliance and Collaborations (ID: 16810)
Export Compliance and United States Sanctions Programs (ID: 16812)

You will need to complete three modules to meet the training requirement. 

Under Required, complete Introduction to Export Compliance (ID: 16800).
And under Supplemental, complete:
Export Compliance for Researchers: Part I (ID: 16801).
Export Compliance for Researchers: Part II (ID: 16802)

You may be required to complete other modules based on the nature of the regulations that apply to your research project.  Research Integrity and Compliance Services 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.

Policy

UConn’s Export Control Policy can be found here.

Note that, as outlined in UConn’s Export Control Policy, certain national and state export and economic sanctions restrict transactions with certain countries, institutions, and individuals. UConn cannot accept sponsorships or engage in procurement with entities or individuals on a US or State of Connecticut barred party list. Direct questions to UConn Export Control exportcontrol@uconn.edu early in the process if exploring unique international sponsorships or engagements.

Guidelines

These guidelines and sample documents are designed to determine if the EAR or the 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 Package (Blank)
• Investigator Compliance Letter (Sample)
• Final Compliance Report (Sample)

Marking Documents

In order to ensure that items are appropriately identified as EAR or ITAR controlled, the following processes will be implemented for all hardcopy or electronic documents that contain EAR or ITAR controlled Technical Data:

The following statement shall be included on the cover page, sleeve, or cover of any design file, software disc, or document (hardcopy or electronic) containing EAR or ITAR controlled Technical Data:

This document contains technical data whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Sec 2751, et q.) or the Export Administration Act of 1979, as amended, Title 50, U.S.C., App. 2401 et seq. Violations of these export laws are subject to severe criminal penalties.

Include the appropriate following statement in the footer on each page of design files or documents (hardcopy or electronic) which contains EAR or ITAR controlled Technical Data:

This page contains EAR Restricted Data.

This page contains ITAR Restricted Data.

Export: Any oral, written, electronic (such as email, internet, etc.) or visual disclosure, shipment, transfer or transmission outside the U.S. to anyone, including a U.S. citizen, of any commodity, technology (information, technical data, or assistance), software, source codes, or equipment.

Deemed Export: A deemed export refers to the sharing or release of controlled technology, technical data or source code to a foreign person within the United States. Deemed exports may occur through such means as an in-person demonstration of lab processes, an oral briefing, or a lab visit, as well as electronic transmission of non-public data to a foreign person. This exchange is “deemed” to be an export to the country of the foreign national.

Commerce Control List: The US Department of Commerce’s Export Administration Regulation (EAR) Commerce Control List (CCL) categorizes items by type and function.

(0) Nuclear Materials, Facilities and Equipment, Firearms, Ammunition, and Miscellaneous Items

(1) Special Materials and Related Equipment, Chemicals, “Microorganisms,” and “Toxins”

(2) Materials Processing

(3) Electronics

(4) Computers

(5) Telecommunications and Information Security

(6) Sensors and Lasers

(7) Navigation and Avionics

(8) Marine

(9) Aerospace, Propulsion Systems, Space Vehicles, and Related Equipment

If an item is subject to the EAR but not specifically listed on the CCL, then it may considered “EAR99” with some restrictions.

US Munitions List: The US Department of State’s  International Traffic in Arms Regulations (ITAR) U.S. Munitions List (USML) regulates defense articles, services, and related technical data through 21 categories of articles.

• Firearms, Close Assault Weapons and Combat Shotgun
• Guns and Armament
• Ammunition/Ordnance
• Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines
• Explosives and Energetic Materials, Propellants, Incendiary Agents, and Their Constituents
• Surface Vessels of War and Special Naval Equipment
• Ground Vehicles
• Aircraft and Related Articles
• Military Training Equipment and Training
• Personal Protective Equipment
• Military Electronics
• Fire Control, Range Finder, Optical and Guidance and Control Equipment, Night vision goggles
• Materials and Miscellaneous Articles
• Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment
• Spacecraft and Related Articles
• Nuclear Weapons Related Articles
• Classified Articles, Technical Data, and Defense Services Not Otherwise Enumerated
• Directed Energy Weapons
• Gas Turbine Engines and Associated Equipment
• Submersible Vessels and Related Articles
• Articles, Technical Data, and Defense Services Not Otherwise Enumerated

US Person: A citizen of United States, a lawful permanent resident of the US (a “Green Card” holder), a refugee, or someone here as a protected political asylee or under amnesty. US Persons also include organizations and entities in the US, including US universities. The general rule is that only US Persons are eligible to receive controlled items, software or information without first obtaining an export license from the appropriate agency unless a license exception or exclusion is available.

Foreign Person: Any person who is not a US Person. It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States. Examples of foreign persons include those in F-1, J-1, or H-1B status at UConn, such as international students, post-doctoral scholars, research staff, and UConn/UCHC foreign national employees.

Fundamental Research: Research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.

Technical Data: Information that is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions and documentation. It also includes software directly related to defense articles. This definition does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities. This definition also does not include basic marketing information on function or purpose or general system descriptions of defense articles.

Technology: Technology refers to specific information necessary for the development, production, or use of a product. Under U.S. export control regulations, this includes technical data, blueprints, plans, diagrams, models, formulas, and instructions, whether in tangible or intangible form. Technology is controlled when it is listed on the Commerce Control List (CCL) or U.S. Munitions List (USML) and may require authorization before being shared with foreign persons or entities.

Dual Use: Dual use refers to items, information, and software that are primarily commercial or civil in nature but also have potential military applications. Dual use items that are identified on the Export Administration Regulation‘s Commerce Control List (CCL) have an Export Control Commodity Number (ECCN) and are of elevated strategic concern. Dual use items that are subject to regulation but are not identified on the CCL are termed “EAR99.” Dual use items may require an export license depending on the item, the recipient, the recipient’s citizenship or country of destination, and the item’s application.

Defense Service: The following situations are considered Defense Service:

• Furnishing assistance (including training) to foreign persons, whether in the United States or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles.
• Furnishing to foreign persons any technical data controlled under the ITAR, whether in the United States or abroad.
• Military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the United States or abroad or by correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice.

Controlled Unclassified Information (CUI): Information that the U.S. Government creates or possesses—or that an entity creates or possesses for or on behalf of the government—that requires safeguarding or dissemination controls in accordance with applicable laws, regulations, and government-wide policies.

Country of Concern: A foreign country of concern (FCOC) is a nation identified by the U.S. government as posing heightened risks to national security, research integrity, or economic competitiveness. Entities outside these countries but owned or controlled by them are also subject to restrictions.

License: A formal authorization issued by a U.S. government agency—such as the Department of Commerce (BIS) or Department of State (DDTC)—that permits the export, reexport, transfer, or disclosure of controlled items, technology, or services to a foreign person or destination. A license is typically required when an export cannot be made under a license exception or general authorization due to the item’s classification, end use, end user, or destination.

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 Research Integrity and Compliance Services 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.

If you have any questions about Export Control, please email exportcontrol@uconn.edu.

Over the past two decades, government agencies and the International Committee of Medical Journal Editors (ICMJE) have issued laws and directives on the subject of clinical trial registration. All parties have consistently agreed that the purpose of trial registration is to promote the public good by ensuring that the existence and design of clinical trials are publicly available. The registration effort began with the development of a publicly available website, ClinicalTrials.gov, a service of the National Institutes of Health (NIH), developed by the National Library of Medicine.

In 1997, the Food and Drug Administration (FDA)/NIH began requiring registration for only a limited number of trials. Then in September 2007, the FDA Amendments Act (Title VIII. Sec. 801) significantly expanded the scope of clinical trials that must be registered and set civil monetary penalties for failing to register “applicable trials.” In 2004, the ICMJE defined trials that must be registered in order to be considered for publication in journals that adhere to ICMJE standards. In 2007, the ICMJE expanded the definition of trials that must be registered. Scores of journals (not limited to medical journals) have adopted the registration policy. In 2016, the final rule for Clinical Trials Registration and Results Information Submission (42 CFR Part 11), which clarifies and expands the requirements in FDAAA 801, was released, and the NIH Policy on the Dissemination of NIH-Funded Clinical Trial Information was published.

The bottom line:
The FDA, NIH and the ICMJE each have their own requirements for registration, and while some of the requirements overlap, there are some differences. In order to comply with the law and preserve the ability to publish in many journals, all sets of requirements must be met. UConn Health is committed to supporting Principal Investigators (PIs) with meeting the requirements concerning the public availability of clinical trial data in ClinicalTrials.gov, as outlined in our University ClinicalTrials.gov policy.

How is “clinical trial” defined and what are the registration deadlines?

According to NIH:

A clinical trial is a research study¹  in which one or more human subjects² are prospectively assigned³ to one or more interventions⁴ (which may include placebo or other control) to evaluate the effects of those interventions on health-related biomedical or behavioral outcomes.⁵  All clinical trials must be registered within 21 days of enrollment of the first participant.

¹See Common Rule definition of research at 45 CFR 46.102(d).

²See Common Rule definition of human subject at 45 CFR 46.102(f).

³The term “prospectively assigned” refers to a pre-defined process (e.g., randomization) specified in an approved protocol that stipulates the assignment of research subjects (individually or in clusters) to one or more arms (e.g., intervention, placebo, or other control) of a clinical trial.

⁴An intervention is defined as a manipulation of the subject or subject’s environment for the purpose of modifying one or more health-related biomedical or behavioral processes and/or endpoints.  Examples include:  drugs/small molecules/compounds; biologics; devices; procedures (e.g., surgical techniques); delivery systems (e.g., telemedicine, face-to-face interviews); strategies to change health-related behavior (e.g., diet, cognitive therapy, exercise, development of new habits); treatment strategies; prevention strategies; and, diagnostic strategies.

⁵Health-related biomedical or behavioral outcome is defined as the pre-specified goal(s) or condition(s) that reflect the effect of one or more interventions on human subjects’ biomedical or behavioral status or quality of life.  Examples include:  positive or negative changes to physiological or biological parameters (e.g., improvement of lung capacity, gene expression); positive or negative changes to psychological or neurodevelopmental parameters (e.g., mood management intervention for smokers; reading comprehension and /or information retention); positive or negative changes to disease processes; positive or negative changes to health-related behaviors; and, positive or negative changes to quality of life.

Registration Deadline: The NIH Policy on Dissemination of NIH-funded Clinical Trial Information applies to applications for funding submitted to NIH on or after 1/18/17. Registration is required no later than 21 days after the first patient is enrolled. The consent form for the trial is required to include the following language: “A description of this clinical trial will be available on http://www.ClinicalTrials.gov, as required by U.S. Law.  This Website will not include information that can identify you.  At most, the Website will include a summary of the results.  You can search this Website at any time.”

According to the ICMJE:

A clinical trial is any research project that prospectively assigns people or a group of people to an intervention, with or without concurrent comparison or control groups, to study the cause-and-effect relationship between a health-related intervention and a health outcome. Health-related interventions are those used to modify a biomedical or health-related outcome; examples include drugs, surgical procedures, devices, behavioral treatments, educational programs, dietary interventions, quality improvement interventions, and process-of-care changes. Health outcomes are any biomedical or health-related measures obtained in patients or participants, including pharmacokinetic measures and adverse events. Those who are uncertain whether their trial meets the expanded ICMJE definition should err on the side of registration if they wish to seek publication in an ICMJE journal.

Registration Deadline: Registration at or before the time of first patient enrollment is as a condition of consideration for publication in an ICMJE journal.

According to the FDA:

The U.S. Department of Health and Human Services in September 2016 issued a final rule that specifies requirements for registering certain clinical trials and submitting summary results information to ClinicalTrials.gov. The new rule expands the legal requirements for submitting registration and results information for clinical trials involving U.S. Food and Drug Administration-regulated drug, biological, and device products. The FDA Amendments Act (Title VIII. Sec. 801) requires registration for all “applicable clinical trials,” regardless of funder, that are:

1. Trials of drugs and biologics: Controlled, clinical investigations, other than Phase I investigations, of a product subject to FDA regulation, and
2. Trials of devices: Prospective clinical studies of health outcomes comparing an intervention with a device against a control in human subjects (other than small clinical trials to determine the feasibility of a device, or clinical trials to test prototype devices where the primary outcome measure relates to feasibility and not to health outcomes); and pediatric postmarket surveillance studies, as required under the Federal Food, Drug and Cosmetic Act.

Registration Deadline: The FDA Amendments Act of 2007 requires that all trials, regardless of sponsor, must be registered in full no later than 21 days after the first patient was enrolled.

Who is responsible for registering a trial?

The PI is ultimately responsible for determining that registration requirements are met. Although some industry sponsors will do the actual registration work, it is still the PI’s responsibility to ensure that the registration has been accomplished and is accurate.

What are the penalties for failing to register?

According to the ICMJE:

Unregistered trials will not be considered for publication in journals that adhere to ICMJE standards. Questions about policies of a specific journal should be addressed to that journal directly.

According to the FDA/NIH:

Penalties may include civil monetary penalties up to $14,724 fine for failing to submit or for submitting fraudulent information to ClinicalTrials.gov. After notification of noncompliance, the fine may go up to $14,724 per day until resolved. For federally-funded grants, penalties may include the withholding or recovery of grant funds.

Who can help with questions about meeting the requirements?

To comply with University policy regarding ClinicalTrials.gov, please direct any questions to the local Protocol Registration and Results System (PRS) Administrator for UConn/UConn Health, Ellen Ciesielski, Research Integrity & Compliance. The local PRS Administrator serves as a point of contact for resolving requests by ClinicalTrials.gov and regularly monitors to promote compliance with the requirements.