NOAA Deemed Exports Compliance Program

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NOAA Deemed Exports Compliance Program

• Ann Murphy/Melanie Caesar
• Office of the Chief Administrative Officer
• Hugh Schratwieser
• NOAA General Counsel
• June 10-11, 2009
• July 21-22, 2009

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Outline

• Background
• How NOAA has ensured ongoing compliance
• Annual Certification requirements

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Background

• The Office of the Inspector General (OIG)
  reported that NOAA lacks an overall deemed
  export control policy to effectively monitor
  foreign national access to controlled
  technology
• NOAA was required to develop a Deemed Export
  Compliance Program to
• respond to the OIG recommendations
• manage and mitigate risk of unauthorized release
  of controlled US technology to foreign nationals
  in the United States

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What happened next?

• BIS trained over 175 NOAA employees on deemed
  exports in 2005
• These individuals conducted assessments at
• NOAA facilities with foreign nationals
• NOAA Critical Infrastructure sites
• How did they document the assessment?
• Foreign National List (October 2005)
• Controlled Technology Inventory (October 2005)
• Access Control Plans (December 2005)
• NOAA added Deemed Exports Compliance to Grants
  Standard Award Agreement and Research and
  Development Contracts

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What did NOAA do with the findings?

• Locations that identified controlled technology
• Determined whether BIS export licenses were
  needed for foreign nationals that required access
  to the controlled technology
• Prepared Access Control Plans to safeguard
  controlled technology
• Facilities that have conducted assessments must
  prepare an Access Control Plan, even if there is
  only EAR 99 technology

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How did NOAA formalize Deemed Export compliance
measures?

• Ongoing Deemed Export Compliance Requirements
• Line Offices (LO)/Corporate Offices (CO) maintain
  live updates of Foreign National Lists, LO/CO
  Controlled Technology Inventories, and Access
  Control Plans of assessed facilities
• LOs/COs send quarterly updates of Foreign
  National Lists and Controlled Technology
  Inventories to the Chief Administrative Officer
  (CAO)
• Access Control Plans are updated as needed (e.g.
  if you acquire new technology, if you move to a
  new building, etc..)

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Deemed Export Annual Certification Who? When?
What?

• Signed by Deputy Assistant Administrators/Corporat
  e Office Directors and submitted to the Chief
  Administrative Officer
• Due third week of October every year
• What is due?
• Certification Statement
• Foreign National List
• Controlled Technology Inventory
• List of Facilities assessed for Controlled
  Technology and Points of Contact at these
  facilities
• List of Facilities not assessed for Controlled
  Technology
• List of Export Licenses applied for and/or
  obtained
• Access Control Plans

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How did NOAA formalize deemed export compliance
and DOC foreign national access procedures?

• Promulgated NOAA Administrative Order (NAO)
  207-12, Technology Controls and Foreign National
  Access (May 11, 2006)
• The NAO
• Formalizes management model and Line
  Office/Corporate Office roles and
  responsibilities (Controlled Technology
  Coordinator/Steering Committee)
• Incorporates requirements from Department
  Administrative Order (DAO) 207-12, Foreign
  National Visitor and Guest Access Program
• Still required under HSPD-12 badge policies
• DAO 207-12 requires Senior Administrative
  Official (NOAA CAO) endorsement of foreign
  national guests
• --The CAO will endorse guests for up to one
  year requests must be renewed for length of stay
  beyond one year
• NOAA CAO reviews Endorsement Supplement Form
  (ESF)
• What is that?

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NOAA Line Office (LO)/Corporate Office (CO)
Endorsement Supplement for the NOAA Sponsor of
Foreign National Guests (Endorsement
Supplement)

• The Chief Administrative Officer must receive
  this form before signing Appendix B for foreign
  national guests
• Provides justification that the value gained from
  collaborative efforts is balanced with the need
  to protect information
• Provides assurance that a controlled technology
  assessment has been conducted prior to arrival of
  a foreign national guest
• Provides instruction to consult with Office of
  Marine and Aviation Operations (OMAO) if the
  foreign national will access an OMAO platform
• ESF does not grant access to controlled
  technology or facilities
• NMFS employees use FNRS to process guest
  requests

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Foreign National Access Procedures

• The Department Sponsor/NOAA (DSN) determines if
  the foreign national is a visitor or guest
  and sends required data to OSY.
• If guest, the DSN completes the required
  sections of the ESF and Appendix B.
• - Appendix B, paragraph 3, Normal Work Area-
  DSN is responsible for NOAAs assets in this area
  and others
• Has a Controlled Technology assessment been
  completed at all facilities in the DSNs LO or
  CO?
• Once OSY authorizes the visit, submit Appendix C
  directly to the servicing security office
• Flow Chart outlines this process

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Violations of NAO 207-12

• Internal Post-Assessments
• Required for foreign nationals not processed in
  accordance with the NAO
• Document potential risk to agency
• Not a punitive action
• Serve as awareness and education tool

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QUESTIONS?

• Where can you learn more?
• http//deemedexports.noaa.gov
• You may also contact your LO/CO Controlled
  Technology Coordinators (CTC)
• http//deemedexports.noaa.gov/contacts.html
• OCAO/GC Deemed Export Team Ann Murphy, Melanie
  Caesar, Hugh Schratwieser, Paul Barker