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Office of Export Control Policy and Cooperation NA-242. Adam M. Scheinman Director (202) 586-2331. June 2002. ECCO Seminar. OFFICE OF DEFENSE NUCLEAR NONPROLIFERATION (NA-20). Defense Nuclear Nonproliferation Linton Brooks Deputy Administrator. Nonproliferation

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office of export control policy and cooperation na 242
Office of

Export Control Policy and Cooperation

NA-242

Adam M. Scheinman

Director

(202) 586-2331

June 2002

ECCO Seminar

office of defense nuclear nonproliferation na 20
OFFICE OF DEFENSE NUCLEAR NONPROLIFERATION (NA-20)

Defense Nuclear Nonproliferation

Linton Brooks

Deputy Administrator

Nonproliferation

Research & Engineering

Robert Waldron

Assistant Deputy Administrator

NA-22

Nonproliferation &

International Security

Stephen Black, Acting

Assistant Deputy Administrator

NA-24

Nonproliferation Policy

Trisha Dedik, Director

NA-241

Export Control Policy

and Cooperation

Adam Scheinman, Director

NA-242

International Nuclear

Safety & Cooperation

James Turner

Assistant Deputy Administrator

NA-23

Materials Protection &

Emergency Management

Jack Caravelli

Assistant Deputy Administrator

NA-25

International Safeguards

Ron Cherry, Director

NA-243

Fissile Materials Disposition

Ed Siskin, Acting

Assistant Deputy Administrator

NA-26

na 242 technical lead on nuclear technology for usg
NA-242: Technical Lead on Nuclear Technology for USG

Functional Overview

Domestic Controls

International Controls

DOE Complex

Industry

Multilateral

INECP

  • Sensitive Subjects/
  • Countries Lists
  • Foreign Travel
  • Foreign Visits &
  • Assignments
  • CRADAs
  • NCI/IPP
  • Part 810
  • Authorizations
  • Munitions
  • Dual-Use
  • Iraq - Oil-for-Food
  • NSG
  • Zangger Cmtee
  • Wassenaar Arrgmt.
  • Iraq Action Team
  • Add’l Protocol
  • MTCR/AG
  • Russia/NIS
  • Middle East/SAsia
  • East Asia
  • Latin America
  • Southern Europe
overview
Licensing:

DECATS

Export Controlled Information

Technology Transfer

Surplus Material

Industry Export Control

Iraq – Oil for Food

Multilateral:

Purpose, Strategies & Mission

Nuclear Supplies Group

Non-Proliferation Treaty

Technical Projects

International NuclearExport Control Program (INECP)

OVERVIEW
licensing team areas of responsibility
Industry

Part 810 authorizations

Dual-use export licensing

Nuclear-related munitions licensing

Assurance requests for NRC exports

Nuclear safety

Export Controlled Information

Iraq - Oil for Food

Foreign national visas

DOE Complex

Sensitive Subjects/Countries Lists

Foreign travel by DOE scientists and engineers

Foreign national visits and assignments

International agreements (IPP, NCI, MPC&A, etc.)

Nuclear software

Transfer of surplus property

“Deemed exports”

DOE publications

“Pit-out” reviews

Licensing Team Areas of Responsibility
slide7

DOE ExportControlAwarenessTraining (DECAT) System

(Under Development)

Purpose:

  • Counter spread of weapons of mass destruction
  • Serve domestic and international export control and nonproliferation training needs
  • Provide an on-site awareness training of export control requirements
  • Test user’s knowledge of export control
  • Serve as early warning proliferation indicator
slide8

DOE ExportControlAwarenessTraining (DECAT) System

System Requirements:

  • Secure web-based client-server system
  • Online documentation and help
  • Usable at multiple DOE sites
  • Incorporate site-specific data into the system
    • contacts list
    • procedures
    • policies
    • test modules
    • manuals on-line
  • Ability to edit core content without programming skills
slide9

DOE ExportControlAwarenessTraining (DECAT) System

Reporting Requirements:

  • Individual user information
  • Site statistics:
    • Tool access and usage reports
    • Training completion reports
    • Annual reminders for refresher training
    • Access to employee information for update of site training records
  • DOE compliance reports:
    • Number of sites participating in Awareness Training
    • Percent of employees who have completed training
    • Percent of employees who failed training
slide10

DOE ExportControlAwarenessTraining (DECAT) System

Favorable Features:

  • Consistent information to all sites:
    • Eliminates duplication of effort
    • Allows easy dissemination of latest information and features
  • Enhances sites that lack own training capabilities
  • Compliance reporting capability
  • Training scheduled to user’s convenience reaches a wider audience
  • Documentation of material presented
  • Leverages infrastructure resources
slide11

DOE ExportControlAwarenessTraining (DECAT) System

Current Status:

  • Preparing for implementation
  • Pending cyber security approval
export controlled information eci
Export Controlled Information (ECI)

Export Controlled Information (ECI) - Technical information whose export requires a license

  • ECI should be protected if uncontrolled dissemination would adversely affect U.S. national security or nonproliferation objectives
  • DOE policy on dissemination of ECI must balance commitments to:
    • U.S. nonproliferation and national security goals
    • Scientific and technological advance
    • Benefit to U.S. industry
    • Benefit to U.S. taxpayer
    • Freedom of Information Act (FOIA) requirements
export controlled information eci13
Export Controlled Information (ECI)

ECI (continued):

DOE reviews technical documents to identify ECI whose release must be controlled

ECI review may require::

  • For publications:
    • Edit sensitive data
    • Limit distribution
  • For presentations:
    • Edit sensitive data
    • Limit audience
export controlled information eci14
Export Controlled Information (ECI)

ECI (continued):

NA-242 initiatives to control release of ECI under FOIA:

  • Proposed legislation similar to DOD’s enacted in 1984
  • DOE would gain authority to withhold ECI
  • But even now DOE may require FOIA requestor of ECI to disclose citizenship and, if foreign, to obtain export license
  • And if FOIA requester is U.S. citizen, DOE should advise of export licensing requirements for ECI transfer out of the country
technology transfer control
Technology Transfer Control

Objectives:

  • To identify materials, equipment, and technology of proliferation concern
  • To prevent transfers to proliferants
  • To protect against inadvertent transfers
  • To weigh proliferation and security concerns against value of scholarship, technology advance, and economic benefit
  • To implement U.S. Government policy on transfers
technology transfer control16
Technology Transfer Control

Mechanisms of Transfer:

  • Sales, donations, loans, leases, exports
  • Technical exchanges and communications
  • Work-for-others, Cooperative Agreements, patent assignments
  • Publications and presentations
  • Visits and assignments to DOE sites
  • Foreign travel by DOE personnel
technology transfer control17
Technology Transfer Control

Transfer Control Principle:

  • Whatever the transfer mechanism, export control review is a must

Control Measures:

  • Export control review of all proposed transfers, exchanges, publications, presentations, visits and assignments, and foreign travel
  • Export control requirements placed in all transfer agreements
  • DOE/NNSA approval required for retransfers
technology transfer control18
Technology Transfer Control

Tools for Export Control Review:

  • Nuclear Suppliers Group (NSG) lists – Trigger and Dual-Use
  • Export control regulations – Departments of Energy, Commerce, and State, and Nuclear Regulatory Commission
  • DOE/NNSA
    • Guidelines on Export Control and Nonproliferation
    • Sensitive Countries List
    • Sensitive Subjects List
    • Technology experts and export control personnel
surplus property
Surplus Property

Transfer of Surplus Property:

  • Equipment and materials must be made useless for nuclear purposes
  • Transfer agreement must include strict nonproliferation conditions
  • There is a presumption of destruction for NSG Trigger list items and for weapons components
  • For items deemed too valuable to destroy:
    • Request exception from DOE/NNSA Deputy Administrator for Defense Nuclear Nonproliferation
    • May require modifying equipment to render it useless for nuclear purposes
    • Must get DOE/NNSA approval for retransfer or export
slide20

Industry Export Control

Dual-Use Export Licensing:

  • Export Administration Act of 1979 gives Commerce the lead
  • Export Administration Regulations (EAR) implement
  • EAR sections of note:
    • 15 CFR Part 738, Special country policies
    • 15 CFR Part 742, Control Policy – CCL-based controls
    • 15 CFR Part 744, Control Policy – Catch-all controls based on end-user and end-use
    • 15 CFR Part 752, Special Comprehensive Licenses
    • 15 CFR Part 774, Commerce Control List (includes Nuclear Referral List of items requiring DOE/NNSA review)
slide21

Industry Export Control

Munitions Licensing:

  • Under jurisdiction of the Department of State, Office of Defense Trade Controls
  • Authority
    • Arms Export Control Act 1976
  • International Traffic in Arms Regulations, 22 CFR Part 121
  • DOE reviews nuclear-related cases
    • Category V - Explosives, Propellants, Incendiary Agents
    • Category XVI - Nuclear Weapons Design and Test Equipment
  • Review process similar to dual-use cases, except without time limits or escalation
slide22

Industry Export Control

NRC Exports:

  • Special or general licenses required for nuclear facilities, components, fuel, and source or byproduct materials
  • Authority
    • Atomic Energy Act of 1954
  • 10 CFR Part 110 – implementing regulations
  • DOE/NNSA participates in Executive Branch review of NRC export licenses and obtains foreign government peaceful use assurances
  • DOE provides general license request confirmations
slide23

Iraq - Oil for Food

  • NA-242 reviews about 4,000 applications annually for exports to Iraq from various countries under the UN Oil for Food program
  • Cases referred to DOE/NNSA from US UN Mission in New York
    • Review responsibility shifted to the IAEA Action Team as of June 1, 2002
  • LLNL performs reviews; NA-242 recommends to approve, deny, or hold
slide24

U.S. Export Controls Activities

  • Maintain DOE/NNSA Guidelines on Export Control and Nonproliferation
  • Export control training seminars for industry, academia, and federal government agencies
  • Maintenance of Proliferation Information Network System (PINS)
  • Review and approval of “deemed exports,” dual-use, and nuclear-related munitions cases
  • Individual validation licensing for overseas activities
  • DOE Export Control Awareness Training (DECAT) System through NA-242 web site coming soon
slide25

U.S. Export Controls Activities

continued:

  • Review technology transfer cases referred to DOE/NNSA by the Departments of Commerce and State.
  • Participation in the DOC Bureau of Industrial Security Operating Committee on export policy and the Assistant Secretary-level Advisory Committee for Export Policy (ACEP)
  • Review of Foreign Access Tracking System database (foreign visitors to DOE/NNSA and contractors)
  • Review of Foreign Travel Management System (foreign travel by DOE and contractor personnel)
  • Participation in Export Control Coordinators Organization (ECCO) seminars
slide26

AREAS FOR ASSISTANCE

  • Continue to maintain existing and develop new expertise necessary to support NA-242 initiatives
  • Incorporate export licensing and nonproliferation awareness into security briefings for new personnel
  • In the interim, ensure that “deemed exports” and ECI applicability review are done for all foreign national visits and assignments and foreign travel by federal and contractor personnel
  • Target professional societies and groups of industry for nonproliferation awareness training
  • Actively participate in Nuclear Nonproliferation Workshops and Seminars
multilateral team areas of responsibility
Multilateral Regime Support

Nuclear Suppliers Group

NPT Export Committee (Zangger)

International Atomic Energy Agency (IAEA)

Missile Technology Control Regime (MTCR) in FY’03

NPT Review Conference – 2005

Working Groups

Other Issues

Export Control Workshops

Bilaterals

IAEA Action Team

IAEA Additional Protocol

Technical Projects

Stockpile Stewardship

Economic Globalization

Characterization of DOE Complex

Nuclear Propulsion

Machine Tools

SNET List Review

Technical Review Group

Commercialization of DOE lab technology (CRADAs)

Plutonium Isotope Separation

Multilateral Team – Areas of Responsibility
slide29

Multilateral

Purpose:

  • International export control regimes prevent nuclear proliferation by:
    • delaying a nuclear program and allowing other means, such as diplomacy, to help;
    • causing proliferants to accept less capable and more costly options; and
    • Establishing international guidelines and principles for nuclear suppliers with the objective of averting the proliferation of nuclear weapons.
strategies

Multilateral

Strategies:

Strengthen the multilateral supplier regimes through continued U.S. technical leadership

Promote adherence to multilateral nuclear supplier arrangements in support of USG nonproliferation policy

Cooperate with the U.S. interagency, DOE and NNSA offices, and like-minded multilateral partners to promote peaceful nuclear trade and nonproliferation objectives

Ensure that DOE and NNSA program offices and contractors are fully apprised of all multilateral commitments and obligations

Strategies

mission

Multilateral

Mission:
  • Initiate studies on rapidly developing technologies and initiatives before problems arise
    • Technical studies: Accelerator Production of Tritium; Naval Reactor Technologies
    • Multilateral negotiations: Conversion technologies; Plutonium Isotope Separation
    • Policy studies: Globalization study
  • Pursue an active role in preventing proliferation.
  • Protect U.S. national security interests and peaceful nuclear trade.
  • Conceptual change from “export control” to “supplier policy.”
multilateral32
Multilateral

Role of NA-242:

  • Multilateral Regime Support
    • Nuclear Suppliers Group (NSG)
    • NPT Export Committee (Zangger)
    • International Atomic Energy Agency (IAEA)
    • Missile Technology Control Regime (MTCR) in FY’03
  • Technical Team Projects
    • Stockpile Stewardship, Globalization, Characterization of the Complex, etc.
  • Other Issues
    • Export Control Workshops
    • Bilaterals
    • IAEA Action Team
nuclear suppliers group nsg
Nuclear Suppliers Group (NSG)

NA-242 Participation:

  • Consultative Group (working to revise the NSG Guidelines and improve the structure and effectiveness of the regime)
  • U.S. Chair (Richard Goorevich, NA-242) to chair the Consultative Group during the 2002-2003 term.
slide34

INTERNATIONAL TECHNICAL SUPPORT

Nuclear Suppliers Group (NSG)

Membership (40 countries):

Argentina Germany Portugal

Australia Greece Romania

Austria Hungary Russia

Belarus Ireland Slovakia

Belgium Italy Slovenia

Brazil Japan South Africa

Bulgaria Kazakhstan (new) Spain

Canada Korea, Republic of Sweden

Cyprus Latvia Switzerland

Czech Republic Luxembourg Turkey

Denmark Netherlands Ukraine

Finland New Zealand United Kingdom

France Norway United States

Poland

slide35

NTP Exporters (Zangger) Committee

  • Conversion Technology
    • successfully completed
    • led by NA-242
  • Plutonium Isotope Separation
    • on going
    • NA-242 provides technical lead
  • Full Scope Safeguards
    • U.S. member of Friends of Chair Committee to examine issue
  • Next NPT Revcon – 2005 & international outreach
    • U.S. member of Friends of Chair Committee to examine issue
team projects
Team Projects

Examples of NA-242 / Multilateral Team Projects:

  • Technical Review Group (TRG) Phase II
    • Stockpile Stewardship
    • Collaboration with the UK on Machine Tools, Technical Review Group (TRG) Peer Review, and SNET List Review
    • Economic Globalization and Nuclear Technology Supply
    • Nuclear Propulsion
    • Characterization of the DOE Complex
slide37

Team Projects

Other

  • Hosted the 2001 NSG Plenary - Aspen, Colorado
  • Implementation of NSG Information Sharing System (NISS) upgrade.
  • Bilateral discussions on technical supplier issues and export controls (e.g. Russia, Ukraine, Kazakhstan, Baltic States)
  • Promote broader international adherence to the IAEA Additional Protocol
    • Focus on export/import reporting requirements
international export control program inecp team areas of responsibility
Developing effective exportcontrol licensing processes

Developing industry compliance by ensuring exporters of controlled equipment, materials, and technology are aware of national and international requirements

Helping customs officials to recognize nuclear-related dual-use commodities

Providing tools of export control

Information technology

Publications and handbooks

Communication systems

Dual-use material analyzers

Remote inspection systems

International ExportControl Program (INECP) Team – Areas of Responsibility

Provide training and assistance to Russia, FSU and others by:

slide40

International Nuclear ExportControl

Program (INECP)

Mission:

  • Provide training and assistance to develop national systems of nuclear export control worldwide.

Approach:

  • Three tiered approach:
    • U.S. Interagency (State Department lead)
    • Government-to-Government
    • Technical interactions
inecp promoting effective nuclear export controls worldwide
INECP: Promoting Effective Nuclear Export Controls Worldwide

Transparent and standardized national licensing system

Industry awareness and outreach

Ability to detect and prevent illicit shipments

Maturing Cooperation

Expanding Assistance

Future Priorities

slide42

INECP – Export Control Licensing Process

  • Leverage off Department of Commerce Export Control Assistance Program
  • Assist with implementation of nuclear-related legal and parliamentary requirements
  • Provide training to government and industry in U.S. and international nuclear export control and nonproliferation processes and norms
  • Provide tools
    • Automated information systems for licensing and exports
    • Publications, handbooks, and technical guides
    • Communication systems
slide43

INECP – Export Control Licensing Process

(continued):

  • Assist in strengthening controls on transfer of:
    • Surplus/decommissioned equipment – especially NSG Trigger List and Dual-Use List items
    • Technology
slide44

INECP – Internal Compliance/Industry Outreach

  • Industry Outreach
    • Partner with Department of Commerce
    • Assist in identifying potential exporters of controlled equipment, materials, and technology
    • Provide training to exporters in national and international export control laws, policies, regulations, norms
  • Internal Compliance
    • Encourage nuclear exporter compliance through training and assistance
    • Assist exporters in establishing internal compliance programs
slide45

INECP - Enforcement

  • Partner with U.S. Customs international assistance programs and export control and border security program
  • Assist in the prevention of illicit exports of nuclear materials, equipment, and technology
  • Provide and sponsor training to recognize nuclear-related dual-use commodities
  • Provide tools and equipment
    • Remote inspection systems, handbooks, and publications
    • Dual-use material analyzers
    • Communication systems and databases
slide47

Looking Ahead

  • Following 9/11, nonproliferation of weapons of mass destruction (WMD) has moved to the fore of the U.S. national security agenda
  • NA-242 funding will rise in FY03
  • New program areas:
    • Add missile technology dual-use export reviews in FY03
    • Add CBW in FY04
    • Broaden reach of INECP – South Asia, Middle East, East and Central Asia, the Caucasus, major transshipment states
    • Proliferation Research and Analysis Project – anticipate emerging proliferation threats and identify chokepoints
    • Support U.S. Customs role in enforcing domestic export controls
slide48

Looking Ahead – Other Ideas

  • Continue to work toward ECI exemption from FOIA
  • Propose mandatory check-off block in FACTS to ensure that visited offices conduct “deemed export” review
  • Propose mandatory check-off block in FTMS to ensure DOE and contractor travelers conduct export control review
  • Develop an unclassified database of questions and responding NA-242 guidance
  • Develop introductory export licensing and nonproliferation awareness material for new DOE and contractor employees as part of security briefing
  • Expand outreach to scientific and technical communities to raise export licensing and nonproliferation awareness