ETSU Export Control Compliance

Overview of Export Controls

Export Control Regulations (ECRs) are comprised of several regulatory regimes designed to prevent the unlicensed transfer of items (i.e., technology, technical data, commodities and services) that are subject to trade restrictions or have proprietary, military, or economic applications to foreign nationals.Through various regulatory regimes, the U.S. government controls the flow of technology and technical data, information, commodities and services to foreign entities.  

Export Control Regulations (ECR) constitute a body of law enacted by the federal government by A number of federal agencies and departments have a degree of responsibility for administering and enforcing ECR, however, primary jurisdiction resides within the Departments of Treasury, State, and Commerce, specifically:

• The Department of the Treasury Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions against known terrorists, narcotics traffickers, proliferators of weapons of mass destruction (as named on the Specially Designated Nationals & Blocked Persons List),  as well as targeted foreign countries and regimes that are hostile to the U.S. (as identified on the Country Sanctions List).
• The Department of State Directorate of Defense Trade Controls (DDTC), through the International Traffic in Arms Regulations (ITAR), controls the permanent and temporary export, re-export/re-transfer, and temporary import of defense articles and defense services covered by the United States Munitions List (USML), and restricts exports of any ITAR-controlled items to individuals and entities subject to Foreign Assets Controls or Nonproliferation Sanctions or identified on the Debarred List, or any OFAC or EAR entity lists.
• The Department of Commerce Bureau of Industry and Security (BIS), through the Export Administration Regulations (EAR), controls the export and re-export/re-transfer of dual-use items covered by the Commerce Control List (CCL). It also restricts exports of any EAR-controlled items to individuals and entities subject to Foreign Assets Control or Department of State Nonproliferation Sanctions or exports identified on the Denied Persons Lists, Entity List, Unverified List, or any OFAC or ITAR entity lists.

Impact of Export Control Regulations on University Activities
Export control regulations apply to the transfer of controlled items to foreign nationals by actual shipment out of the U.S., and also by transfer of controlled technology/technical data and/or encryption software by written, oral, or visual release or disclosure to foreign nationals both in- and outside of U.S. borders.  Consequently, export controls can impact University activities on-campus as well as abroad, including:

International travel, fieldwork & conferences
International shipping
International financial transactions
Hosting a foreign visitor/scholar
Foreign national participation in research activities
International collaboration
Using 3rd party proprietary information/restricted materials
Teaching courses abroad or online
Additionally, the Department of Homeland Security requires all new, renewed, or amended H1-B, H-1B1 Chile/Singapore, L-1, and O-1A visa petitions filed with the United States Citizenship and Immigration Service (USCIS) include a Certification Regarding the Release of Controlled Technology or Technical Data to Foreign Persons in the United States (PDF).  This ‘Deemed Export Attestation’, as it is also known, can affect the University’s ability to hire a candidate of foreign nationality and preclude an employee of foreign nationality from participating in research that involves controlled items.

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