NOAA Deemed Exports Compliance Program Ann Murphy/Michele Peruch Office of the Chief Administrative Officer Hugh Schratwieser General Counsel Washington, DC June 7-9, 2011 Seattle, WA June 28-30, 2011

2 Outline Background How NOAA has ensured ongoing compliance Annual Certification requirements

3 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

4 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

5 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

6 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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8 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

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10 How did NOAA formalize deemed export compliance and DOC foreign national access procedures? Promulgated NOAA Administrative Order (NAO) , 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) , Foreign National Visitor and Guest Access Program –Still required under HSPD-12 badge policies –DAO 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?

11 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

12 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

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16 Violations of NAO 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

17 QUESTIONS? Where can you learn more? You may also contact your LO/CO Controlled Technology Coordinators (CTC) OCAO/GC Deemed Export Team: Ann Murphy, Michele Peruch, Hugh Schratwieser