NOAA Deemed Exports Compliance Program

Ann Murphy/Michele PeruchOffice of the Chief Administrative Officer

Hugh SchratwieserGeneral Counsel

Washington, DC June 7-9, 2011Seattle, WA June 28-30, 2011

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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, after the OIG report was issued

• 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 Clause to Grants and Contract Agreements

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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..)

Deemed Export Website

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Deemed Export Annual Certification

Who? When? What?• Signed by Deputy Assistant Administrators/Corporate

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• Access Control Plans• List of Export Licenses applied for and/or obtained

Deemed Export Website

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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 Bureau 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 the

collaboration 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 NOAA’s assets in this area and others • Has a Controlled Technology assessment been

completed at all facilities in the DSN’s LO or CO? • Once OSY authorizes the visit, submit Appendix C

directly to the servicing security office• Flow Chart outlines this process

How to Sponsor a Foreign National to NOAA

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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, Michele Peruch, Hugh Schratwieser