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. . . ID: 535036
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NOAA Deemed Exports Compliance Program
Ann Murphy/Michele PeruchOffice of the Chief Administrative OfficerHugh SchratwieserGeneral CounselWashington, DC June 7-9, 2011Seattle, WA June 28-30, 2011
Slide2
2
Outline
Background
How NOAA has ensured ongoing compliance
Annual Certification requirements
Slide33
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
Slide44
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
Slide55
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
Slide66
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..)
Slide7Deemed Export Website
7
Slide88
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
Slide9Deemed Export Website
9
Slide1010
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?
Slide1111
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
Slide1212
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
Slide13How to Sponsor a Foreign National to NOAA
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Slide1414
Slide1515
Slide1616
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
Slide1717
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
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