1. Export Control Contact Information: Debra L. Covey, Export Control Officer 311 TASF 515-294-1048; covey@ameslab.gov

2. Export Control

3. “Fundamentally, the responsibility for protecting classified and sensitive information and nuclear and other sensitive materials lies with the individual.” “We expect all Federal and contractor employees to support this commitment.” Secretarial Policy Statement: Security Incidents & Violations

4. Ames Laboratory Policy Summary of The USDOE Ames Laboratory Export Control Policy Statement (06/17/04):Policy Statement The Ames Laboratory and its employees comply with U.S. Export Control Regulations. The Ames Laboratory requires a review of all foreign nationals (both employees and visitors, and their work). Foreign nationals are defined as individuals from a foreign country, except those who are permanent resident aliens or asylees. The Ames Laboratory also requires a review of all proposed international shipments.

5. Export Control Regulations fall under the purview of the U.S. Department of Commerce’s Bureau of Industry and Security. Its Mission is to advance U.S. national security, foreign policy, and economic interests. BIS activities include: regulating the export of sensitive goods and technologies; enforcing export control, antiboycott, and public safety laws; cooperating with and assisting other countries on export control and strategic trade issues; assisting U.S. industry to comply with international arms control agreements; and monitoring the viability of the U.S. defense industrial base and seeking to ensure that it is capable of satisfying U.S. national and homeland security needs. Export Control Regulations

6. What is Export Control Export controls refer to government rules and regulations that govern the transfer of commodities (equipment, hardware, or materiel), technologies (technical data, information, or assistance), and software (commercial or custom) to any non-U.S. entity or individual, wherever the transfer may take place.

7. (1) Definition of export. ( b) Export and reexport "Export" means an actual shipment or transmission of items subject to the EAR out of the United States, or release of technology or software subject to the EAR to a foreign national in the United States, as described in paragraph (b)(2)(ii) or this section.paragraph (b)(2)(ii) EAR § 734.2 Definition of an Export

8. (2) Release of technology or software. (b) Export and reexport (ii) Any release of technology or source code subject to the EAR to a foreign national. Such release is deemed to be an export to the home country or countries of the foreign national. This deemed export rule does not apply to persons lawfully admitted for permanent residence in the United States and does not apply to persons who are protected individuals under the Immigration and Naturalization Act (8 U.S.C. 1324b(a)(3)). EAR § 734.2 Definition of a Deemed Export

9. “Deemed Export” Basically, any transfer to a citizen or representative of a foreign country, regardless of where the transfer occurs, is deemed by the US government to be an export to that country - unless the person is a permanent resident of the US, that is, holds a so-called “green card” or a political asylee.

10. When is something "export sensitive?" Unfortunately, it is not always easy to tell. Export controls serve multiple purposes - from guarding our national security, to protecting our national economy, to supporting U.S. foreign policy objectives.

11. Any - or - None - May Apply: As a result, different government agencies have designated areas of responsibility in export control and corresponding rules and lists regarding "who," "what," or "where" is considered export sensitive. What's more, these rules and lists are updated constantly. And, in a given situation, any - or none - may apply.

12. Examples: Direct exports; CRADAs; contracts; and donations, sales, or transfers of surplus equipment. International and domestic collaborations and technical exchange programs, including lab-to- lab programs. Publications, conference papers, abstracts, and journal articles. Written materials in general.

13. Examples (cont) Presentations at conferences and other public meetings, both domestic and foreign. Visits and assignments by foreign nationals to AL. Foreign travel by Ames Lab employees. Conversations with foreign nationals anywhere. Telephone calls, faxes, emails, websites postings, etc.

14. Possible research that may fall under Export Control at Ames Laboratory Genetic research, techniques, and specialized equipment related to chemical or biological agents Detection or identification of chemical or biological agents Business protected technical information –Protected CRADA data –Proprietary information

15. Fundamental Research Fortunately, most of the research conducted at Ames Laboratory is considered “Fundamental Research.” Fundamental Research is defined as: basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community. It is distinguished from proprietary research and from industrial development, design, production, and product utilizations, the results of which ordinarily are restricted for proprietary and/or specific national security reasons. Normally, the results of "fundamental research" are published in scientific literature, thus making it publicly available. Research which is intended for publication, whether it is ever accepted by scientific journals or not, is considered to be "fundamental research."

16. Laboratory Equipment Allowing certain foreign nationals access to Laboratory equipment could be considered a deemed export violation. This includes: –Allowing access to an operating system’s source code –Access to the internal design of the equipment –Visual inspection of repair manuals, installation manuals, parts If you teach a college class on using the equipment and it is open to all (i.e. anyone can register to take the class) then it is considered educational and not subject to deemed export.

17. International Shipping Orders ALL international shipments must have an Export Control Review –In order to expedite this Review, please provide the appropriate additional information on all international shipping orders. Guidance on additional information needed on international shipping and export control can be found at Shipping orders.Shipping orders

18. Contact the Export Control Manager for a technology review if your research effort: Is not going to be publicly disseminated; has eqiupment that may be controlled (i.e.ICP, HIPs, Mass Specs); has potential for "dual-use" by both civilians & the military; appears on the Ames Lab’s sensitive technologies list or the DOE sensitive subjects list; has any potential for communication to nations listed in the DOE sensitive countries list or the Terrorist Countries list; DOE sensitive countries list Terrorist Countries list has any potential for communication to nations listed in the EAR database; requires an international shipment; or you just don’t know and need help assessing.

19. It is our responsibility - yours and the Laboratory's - to know about and abide by all applicable U.S. export controls. Penalties for violation may include fines up to $1.5 million and/or imprisonment.

20. Additional Information Ames Lab export control website: www.internal.ameslab.gov/export www.internal.ameslab.gov/export BIS Homepage: http://w3.access.gpo.gov/bis/index.htmlhttp://w3.access.gpo.gov/bis/index.html Deemed Exports FAQs: http://www.bxa.doc.gov/DeemedExports/DeemedExport sFAQs.html http://www.bxa.doc.gov/DeemedExports/DeemedExport sFAQs.html Hosting a Foreign Visitor: http://www.ch.doe.gov/offices/oci/HostingVisit ors/index.htm. http://www.ch.doe.gov/offices/oci/HostingVisit ors/index.htm

21. Export Control For further information contact: Debra L. Covey, Export Control Officer 311 TASF 515-294-1048; covey@ameslab.gov

22. Foreign Visits & Assignments Program Contact Information: Mark Murphy, Counterintelligence Officer 311 TASF 515-294-2618 ; murphy@ameslab.gov