**[Foreign National List and Controlled Technology Inventory Reporting
Guidelines]{.underline}** updated 1/13/09

[Internal Updating Requirements]{.underline}:

The Foreign National (FN) List must be updated at the facility level as
new FN guests enter facilities (Note: D**o not** delete FN when they
leave facilities). The Controlled Technology Inventory (CTI) must be
updated as new technology is acquired or developed or when technology is
removed from the facility. The FN list requires that your facility point
of contact assess whether the FN will have access to controlled
technology. Thus, this assessment should be completed prior to entrance
to the facility by an FN.

[Reporting Requirements to CAO:]{.underline}

Updated versions of the Foreign National (FN) list and controlled
technology inventory (CTI) must be submitted three weeks after the end
of the quarter to the Office of the CAO. The Fourth Quarter Submission
will be the LO/CO annual Deemed Exports Certification. This
Certification will certify the deemed export program data requirements
for the entire year (see <http://deemedexports.noaa.gov/cert.html>).

Send to: Ann Murphy ([Ann.Murphy@noaa.gov]{.underline}), Hugh
Schratwieser ([Hugh.c.Schratwieser@noaa.gov]{.underline}), Melanie
Caesar (<Melanie.Caesar@noaa.gov>)

[New Consolidated Reporting Instructions]{.underline}

**Who is listed**?

Please list foreign national "guests" on your spreadsheet. As foreign
national guests leave the facility, [shade the entry in grey to denote
that these individuals are no longer at your facility.]{.underline} [Do
not delete these individuals from your FN sheet until after the Line
Office (LO) DAA or Corporate Office (CO) Director submits the FN list to
the CAO as a part of the NOAA Deemed Export Certification the *end of
the fiscal year in October*.]{.underline} The FN list will be your
record of FN guests who have come to your facility, who have left, and
who are still present for the fiscal year. At the start of the new
fiscal year, individuals who have been shaded grey can be removed from
the FN list. The first quarter FN list would start off with FN guests
who are present at facilities or logically accessing NOAA infrastructure
at the beginning of the fiscal year.

**[Foreign National List]{.underline}**

Please follow the guidelines listed below to complete your Foreign
National list. This will assist you in maintaining consistency in your
record keeping to ensure that the OCAO compiles accurate records on your
behalf. The "country of birth, " and "Country Group," and "Date of
Birth" columns have been deleted from the revised Foreign National List
spreadsheet originally distributed in April 2006.

[General Trouble Shooting]{.underline}

> 1\) Do not list US citizens and permanent residents, protected
> persons, and US citizens with their dual citizenship. The deemed
> export rule does not apply to US citizens, permanent residents (issued
> a permanent resident visa), or "protected persons" granted status
> under 8 U.S.C. 1324b(a)(3) (e.g., those with formal refugee or asylum
> status). If you see "US" listed in the permanent residency or
> citizenship column for an entry, contact the person who placed the
> name on the FN List to advise them that these individuals should not
> be included in the deemed export FN list.
>
> 2\) [Is the home country field filled out correctly]{.underline}? Some
> foreign nationals are citizens of more than one foreign country, or
> have citizenship in one foreign country and permanent residence in
> another. The general policy is that the last permanent resident status
> or citizenship obtained governs the home country designation. For
> example, if an individual gained permanent residency in Canada after
> acquiring citizenship in India, the home country designation is
> Canada. For more examples, please refer to the BIS website,
> <http://www.bis.doc.gov/deemedexports/deemedexportsfaqs.html#5>
> section: Foreign Nationals.

3\) Please list any date in the dd/mm/yyyy format unless your LO/CO
chooses to use the mm/dd/yyyy Contact your Controlled Technology
Coordinator if you are unsure of which way to report dates for your
records. If your LO/CO has chosen to use the mm/dd/yyyy format, please
ensure that the heading at the top of the column to reflects this
change. Please highlight it so OCAO can determine the format you chose.

> 4\) [How to list Country Names]{.underline}: The FN list now uses a
> drop down menu to ensure that individuals correctly identify FN in the
> permanent residency, country of citizenship, and home country columns.
> Please select a country from these drop-down menus. Do not copy and
> paste old information into these columns. The OCAO has amended your
> original entries to ensure that NOAA is consistently using the same
> standard names for countries. Please DO NOT use your original entries;
> rather, use the drop down list to select the country of permanent
> residency and citizenship for new entries.
>
> Also note: North Korea= Democratic People's Republic of Korea

South Korea = Republic of Korea

> 5\) [Are all of the codes filled out?]{.underline} It is critical that
> the sponsor's name and contact information, denied entities,
> controlled entities, license required, FN name, home country, and ECCN
> codes are filled in. All fields need to be completed; however, the
> above mentioned fields are most critical.
>
> 6\) *[Is a license required?]{.underline}* The individual completing
> the form must document that an assessment of controlled technology has
> been completed taking into account the scope of the FNs work and
> access to technology he or she may require. There should be a "yes" or
> "no" listed in this field.
>
> 7\) *[Is the FN on the denied entities/persons list]{.underline}?* The
> individual completing the form must check the denied entities and
> persons list to verify that the FN is not on these denial lists.
> Please refer to website.
> http://www.bis.doc.gov/ComplianceAndEnforcement/ListsToCheck.htm.
> There should be a "yes" or "no" listed in this field. If there is a
> "yes", this FN is prohibited from accessing all technology subject to
> the EAR
>
> 8\) [Description of Work]{.underline}: Please write a very brief
> description. Ex. Maintain, enhance, and transition numerical weather
> and climate prediction models
>
> 9\) [New Column "Total Count" (column E)-]{.underline} Please place a
> one in this column. This column is used for CAO internal record
> keeping.

Other Reminders:

15 CFR § 730-774, Export Administration Regulations (EAR), controls many
more technologies for an individual from North Korea, Sudan, Syria,
Cuba, and Iran than other Foreign Nationals. Individuals from these
countries can not access technology controlled for Anti-Terrorism (AT)
without a license. Some facilities may choose to prohibit entrance by
default to FN from theses countries rather than control access to all of
the technologies that would require a license to access. It is often
difficult for individuals from these countries to gain a visa unless
they are a protected person; thus it is important to ensure that you
correctly determine whether a foreign national is a protected person or
if they have permanent residency or citizenship in another country.

**[Controlled Technology Inventory]{.underline}**

Please follow the guidelines listed below to maintain consistent records
and to ensure the OCAO compiles accurate records on your behalf.

> 1\) You do not need to list EAR 99 technology on your controlled
> technology inventory; however, all facilities need to be aware that
> there are deemed export licensing implications for release of EAR99
> technology to a Cuban foreign national.
>
> 2\) Please list the ECCN for the source code (D) or technology (E) at
> your facility. [The second letter in the ECCN should be a Product
> Group D (for source code) or Product Group E (for
> technology).]{.underline} Export control regulations may differ to
> physically ship the item to another country. If it assists your record
> keeping, you may list the ECCN for the Product Group A (for equipment)
> in parentheses after the ECCN for the Product Group D or Product Group
> E. Remember that some items are controlled for shipment, but have
> associated technology that is publicly available. If you choose to
> list publicly available technology on your spreadsheet, please list
> NLRT (No License Required for Technology) followed by the ECCN for
> Product Group A in parentheses. The NOAA controlled technology
> inventory **manages the risk for the release of controlled technology
> to a foreign national in the US.** You are responsible for checking
> the EAR to determine if rules apply to ship items to other countries.
>
> 3\) Controlled technology may be regulated for development,
> production, or use. If the only technology you have associated with an
> item is publicly available, you do not need to list the technology on
> your excel sheet. Publicly available technology is not subject to 15
> CFR § 730-774, EAR, regulations. Technology is considered publicly
> available if it is published or will be published, arises during or
> results from fundamental research, or is educational information.

[Additional Assistance]{.underline}

For assistance with NOAA's deemed exports policy or procedural
requirements, please contact the Line Office/Corporate Office Deemed
Export Steering Committee Representative/Controlled Technology
Coordinators (CTC) (see attached list), or the Office of the Chief
Administrative Officer and NOAA General Counsel Deemed Export Team: Ann
Murphy, [ann.murphy@noaa.gov]{.underline}; Melanie Caesar,
[Melanie.caesar@noaa.gov]{.underline}; Hugh Schratwieser,
[Hugh.C.schratwieser@noaa.gov]{.underline}; and Paul Barker,
Paul.Barker@noaa.gov. For specific questions related to commodity
classification or identifying whether an item is subject to the Export
Administration Regulations, 15 CFR § 730-774, contact Alex Lopes,
[alopes@bis.doc.gov]{.underline}, at the Bureau of Industry and Security
(BIS).