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Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training Silver Spring, MD October 2014 National Oceanic and Atmospheric Administration Deemed Export Compliance Program

Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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National Oceanic and Atmospheric Administration Deemed Export Compliance Program. Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training Silver Spring, MD October 2014. Outline. Background How NOAA ensures ongoing compliance Annual Certification requirements. - PowerPoint PPT Presentation

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Page 1: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Ann Murphy, Office of the Chief Administrative OfficerNOAA Trusted Agent Training

Silver Spring, MD October 2014

National Oceanic and Atmospheric Administration Deemed Export Compliance Program

Page 2: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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Outline

• Background• How NOAA ensures ongoing compliance• Annual Certification requirements

Page 3: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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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

Page 4: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

International Collaboration and Export Controls

-NOAA values foreign national contributions to our science and research

Challenge is to balance:--the need to collaborate to accomplish our mission

(good science) with

---the inherent national security risks and the need to protect sensitive assets, including export controlled technology and intellectual property

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Page 5: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

NOAA’s Export Control Compliance Program-

Key Components

-NOAA Administrative Order 207-12, Technology Controls and Foreign National Access (policies for foreign national access to EAR technology)

-Assessments to complete a list of foreign nationals (FN) working at NOAA (FN List)

-Assessments to create an inventory of EAR-controlled technology (CT) at facilities --Required: 1) Access Control Plans for all assessed facilities to manage risk

2) Access Control Information Sheets for all controlled items in ACP

3) CT assessments at all facilities before FNs are permitted access

-Outreach for NOAA staff who work with FNs and/or EAR-controlled technology

 -Determine applicability of deemed export controls to NOAA-sponsored research ---Issued: 1) clause for contracts/grants to ensure EAR compliance 2) Guidance to

protect against unauthorized release of EAR-controlled technology related to NOAA research (Research Tool)

 -Included the Department of Commerce (DOC) security procedures in the NOAA policy to ensure foreign national visits comply with DOC policy (DAO 207-12)

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Page 6: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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NOAA Deemed Export Compliance Measures

• Ongoing Deemed Export Compliance Requirements:– Line Offices (LO)/Staff Offices (SO) maintain “live” updates

of Foreign National Lists, LO/SO Controlled Technology Inventories, and Access Control Plans of assessed facilities

– LOs/SOs 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..)

--Facilities that have conducted assessments must prepare an Access Control Plan, even if there is only EAR 99 technology

Page 7: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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Deemed Export Annual Certification

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

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

Page 8: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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NOAA Deemed Export Compliance and

DOC Foreign National Access Procedures

• NOAA Administrative Order (NAO) 207-12, Technology Controls and Foreign National Access (May 11, 2006)

• The NAO:1. Formalizes NOAA Management Model and Line Office/Staff Office Roles and Responsibilities (Controlled Technology Coordinator)

2. Incorporates requirements from Department Administrative Order (DAO) 207-12, Foreign National Visitor and Guest Access Program

-DAO 207-12 requires Senior Administrative Official (NOAA CAO) endorsement of all foreign national guests (CAO endorsements are valid 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?

Page 9: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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“Endorsement Supplement” (ESF)for the NOAA Sponsor of Foreign National Guests

The Chief Administrative Officer must receive the ESF before providing concurrence on Appendix B for foreign national guests

• DSNs and CTCs:– Provide justification that the value gained from the collaboration is

balanced with the need to protect information– Provide assurance that a controlled technology assessment has been

conducted and an Access Control Plan is in place prior to access by a foreign national guest

– Agree to Office of Marine and Aviation Operations (OMAO) reporting requirements if the foreign national will access an OMAO platform (Vessel or Aircraft)

• ESF does not grant access to controlled technology or facilities • NMFS employees use FNRS to process “guest” requests

Page 10: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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Foreign National Access Request Process

• The Department Sponsor/NOAA (DSN) determines if the foreign national is a “visitor” or “guest” and sends required data to OSY.

• Visit Data: Each Sponsor sends Bio data/PII (NAO 207-12, Section 5.08) to directly to OSY (Do not e-mail PII; encrypt or fax)

-OSY conducts checks the foreign nationals against internal and interagency databases

• ESF and Appendix B: If “guest,” the DSN completes the required sections of the ESF and Appendix B and submits to CTC for CAO endorsement (NMFS uses FNRS)

Page 11: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Foreign National Access Request Process- continued

• Some things to consider while filling out ESF or FNRS:--Appendix B, paragraph 3, “Normal Work Area”- DSN is responsible for NOAA’s assets in this area--Has a Controlled Technology assessment been completed at all facilities in the DSN’s LO or SO? CTC certifies this--OSY requires NOAA concurrence on each foreign national mission justification (does the visit support NOAA’s goals?)

• Appendix C: Once OSY provides “conditional approval” for the

visit, DSN sends signed Appendix C directly to OSY within 72 hours of the FN’s arrival

• Flow Chart outlines this process

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Page 12: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Deemed Export Website

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Page 13: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

How to Sponsor a Foreign National at NOAA

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Page 14: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

The NOAA Foreign National Registration System (FNRS)

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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

Page 17: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

NOAA Organization

• Approx. 12,500 employees• Approx. 7000 contractors• 800 facilities nationwide• NOAA Corps has Civilians and Officers of the

NOAA Commissioned Corps– -Manages approx. 19 large vessels, small boats,

and approx. 12 aircraft

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Page 18: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Balance Between Openness and Security

Dept. of Commerce (DOC) recognizes the value of foreignnational contributions to U.S. science, technology, and research• Foreign Nationals are offered access to DOC facilities,

staff and information However, there is an element of risk associated with access tofederal facilities• Sponsors must:-Balance the need to collaborate with the need to protect sensitive

assets (risk), including export controlled technology -Take responsibility for the successful completion of the visit -Ensure an Access Control Plan is in place for their facility

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Page 19: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Key points for NOAA Managers

NOAA needs to:• Use the expertise of engineers and technical

specialists to classify technology used in their Line Offices

• Identify who is responsible for the controlled technology (CT) and prepare access control plans to document the safeguards for the CT

• Be aware of BIS specific definition of terms such as “technology” and “use”

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Page 20: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Key points for NOAA Employees

-All NOAA employees: - Awareness of policies (e.g. NAO/DAO 207-12) and

laws (e.g. EAR, ITAR); -Ensure exports and deemed exports are authorized

and licensed, if applicable;

-Sponsor foreign nationals in accordance with policies (DAO/NAO 207-12)

-Protect sensitive assets in your program area from unauthorized release to foreign nationals

-- including, but not limited to, export controlled items20

Page 21: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

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/contact.htmlNOAA Deemed Export Team: Ann Murphy,

Hugh Schratwieser

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Page 22: Ann Murphy, Office of the Chief Administrative Officer NOAA Trusted Agent Training

Helpful Links: Export Control and Sponsoring Foreign Nationals

• http://deemedexports.noaa.gov

• http://deemedexports.noaa.gov/compliance_access_control_procedures/how-to-sponsor-a-foreign-national-at-a-noaa-facility.html

• http://deemedexports.noaa.gov/compliance_access_control_procedures/031411_hosting_a_foreign_national_flowchart.pptx

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