# Presentation: 498628

## ECCO 2006

**ECCO 2006**

**Sandia Import/Export Control **
**Awareness Presentations**
**May 2006**

**Notes:**
Good afternoon.  I am Steve Sultemeier and I am here with Ron Williams to give you a sample of what we do at Sandia for import/export control awareness activities.  If you have any questions during this presentation, do not hesitate to ask.

## Presentation

**Training – EC100**
**Specific Training**
**Program/Center/Department**
**Software**
**Procurement**
**Questions**

**Notes:**
The session is centered around the areas displayed.  The main focus today is to make all Sandians aware of the things they must accomplish prior to an export or import.  Special emphasis is placed on your responsibility to comply with the import and the export regulations.  The folks who work these issues at Sandia NM and CA are here to ensure the protection of Sandia and Lockheed/Martin Corporations to provide support to Sandia’s program.  I emphasize that the protection of Sandia and Lockheed/Martin are our primary duties when it comes to import and export controls.  We do this by establishing processes to mitigate the risks to the corporations.  We are not in our jobs to protect you, only Sandia and Lockheed/Martin.  You violate the corporate processes and you are your own if you have an import or export violation.

## Training

- Export Control Awareness Training, (EC100)
- Foreign Corrupt Practices Act, (FCPA100)
- Managing Contracts Effectively: For Requestors and SDRs (SBS700)
**Plan** Ahead, **Plan** Ahead, **Plan** Ahead

**Notes:**
If you deal in any shape, form or fashion with a foreign national, you are required to be trained.  The key to the training is to know when an export situation might arise and to know who to contact.  Ultimately you must plan ahead to ensure programmatic delays will not take place. 

## EC100 - Export Control Awareness Training 

- All who participate in international interactions by any means
- Every 12 months thereafter
- A series of modules
- No end-of-course exam
- End-of-module questions will be graded to 100%
- 30 to 60 minutes - Corporate time charge
- LMC basic content (copyrighted)
- Sandia supplemented information
- Manual option w/ end-of-course exam

## EC100 - Export Control Awareness Training Copyright Lockheed Martin Corp. Supplemental information added by Sandia Corporation. 

## EC100 - Export Control Awareness Training Copyright Lockheed Martin Corp. Supplemental information added by Sandia Corporation. 

## EC100 - Export Control Awareness Training Copyright Lockheed Martin Corp. Supplemental information added by Sandia Corporation. 

## Foreign National Requests

- Define Purpose
- Provide complete information
- Do not assume we will remember previous requests
- Recommend you identify equipment that will be used by the  foreign national
- No Acronyms

**Notes:**
If you are going to interact with a foreign national at Sandia, use the FNR process.  Be complete when describing the purpose.  Remember the reviewers are not experts in all subject matters and may need to be spoon feed.  Contact Classification if you would like to discuss your situation.  Indicate in the purpose if Classification has been contacted and highlight your discussions.  There are about 3000 FNRs each year so please do not expect us to remember one you submitted last week.  If at all possible try to identify the Sandia equipment the foreign national will be using.   In very unusual circumstances an export situation might arise in the use of equipment, a “deemed export.”  If you are uncertain, contact Classification for “deemed export”assistance.

## Review & Approval

- CPR 400.2.20
- SME responsibility prior to release - Controlled vs. Public
- Assistance/Consultation w/Classification
- TWO Options
- Formal - Electronic
- Programmatic – DC & SME
- CPR 400.3.3
- When ECI, mark OUO
- Transmitting
- Notify Recipient

- OFFICIAL USE ONLY
- _May_ be exempt from public release under the Freedom of Information Act (5 U.S.C. 552), exemption number and category ___Statutory Exemption #3  Export Controlled Information ____________________.
- Department of Energy review required before public release
- Name/Org: __Joe Smith /12347______ Date: __12/25/04_____
- Guidance (if applicable) _____________________________________

**Notes:**
The Review and Approval process has gone through years of development and is part of Sandia’s contract defined under DOE Orders.  Unclassified information may be controlled.  The Subject Matter Expert, his manager (normally a DC), and classification play key roles in the process.  Ultimately the SME is responsible for the determination whether to control information or not.  If it is official Sandia/DOE information, the formal electronic R&A process is required by DOE Order.  If the information is technical in nature and determined to be controlled, it is “Export Controlled Information (ECI)” requiring markings per the OUO process.  OUO information may require an export license prior to transfer to a foreign national.  It depends on the controlling agency, the technologies involved and country of origin of the person the information is being given to.  Resident status is an important aspect of export licensing.  Contact the Import/Export Control Office or Classification for assistance.

## WebShippers

- Specify Technical POC
- Export Determination (ITAR or ECCN)
- EC100 compliance
- Complete & accurate description
- Accurate piece count and value per item
- Specify if Sandia or recipient will clear Customs duties, taxes, etc. at destination

**Notes:**
When you fill out a WebShipper, ensure a technical point of contact is identified.  To the maximum extent possible, determine through the manufacturer the export classification of a commodity or software.  If you are uncertain how to get the export classification, contact the Import/Export Control Office for assistance.  As indicated before, be compliant with the proper training.  Be accurate and complete on the WebShipper and indicate who will be responsible for any Customs duties or taxes.  Be complete and ask for help if you need it.  Allow at least 10 work days for processing.

## Handcarries

- International Handcarry Form
- Temporary Export
- Items to be taken and brought back on same trip!!
- WebShipper required for **permanent **export of handcarried items.
- No Exceptions!!
- Prior to final disposition

**Notes:**
Handcarry of items to foreign destinations have very specific processes to mitigate the risk of an export violation.  If you do not follow Sandia’s process, you are subject to any penalties both administrative and criminal.  Use Sandia’s processes to protect the corporation and you.  Use the International Handcarry Form to temporarily take a commodity to a foreign destination - take and return items on the same trip.  Allow 5 work days for processing.

A WebShipper and in some cases an export license is required prior to leaving a commodity at a foreign location .  

Mention the LMC letter was written in Russian and English for travelers to use in the event that they were detained/questioned on the use of encryption products by Russian Officials. 

## Software

- Exporting Sandia developed software
- Configuration (version) Control
- Intellectual property/copyright issues
- Exporting other Lab developed software

**Notes:**
Continuing issues for exporting software as noted in last years presentations by ORNL and Sandia.

## Procurement Clauses

- 13 Individual International Commercial Terms (INCOTERMS) 2000.  We selected three:
**FCA**  (+ the named point of departure) - Free Carrier
**DDU**   (+ the named point of destination) - Delivered Duty Unpaid
**DDP**   (+ the named point of destination) - Delivered Duty Paid
- We also revised FOB Destination and FOB Origin for US Shipments

**Notes:**
When you fill out a WebShipper, ensure a technical point of contact is identified.  To the maximum extent possible, determine through the manufacturer the export classification of a commodity or software.  If you are uncertain how to get the export classification, contact the Import/Export Control Office for assistance.  As indicated before take the proper training.  Be accurate and complete on the WebShipper and indicate who will be responsible for any duties or taxes.  Be complete and ask for help if you need it.  Allow at least 10 work days for processing.

## Import/Export Control Questions

*Got Questions?*