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Export Control Compliance Policy

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    Title:

    Export Control Compliance Policy

    Publication date:

    9/17/2021

    Effective date:

    9/17/2021

    BRIEF

    Policy Summary

    This policy describes the responsibilities of Lawrence Berkeley National Laboratory (Berkeley Lab) and its personnel in complying with U.S. export control and sanction laws and regulations (export control laws).
    Compliance with export control laws requires the cooperation and shared responsibility of many offices and personnel (staff, affiliates, students, visiting scholars, postdoctoral fellows, and nonemployee participants working with the lab in any capacity) for all activities (research or non-research) including, but not limited to, agreements, engineering, foreign visits and assignments, shipping, collaborations, purchasing, human resources, international travel, and activities with sanctioned destinations that may create export control risk (see Berkeley Lab's Export Control Compliance Program Manual (the manual) for more information).

    Who Should Read This Policy

    Berkeley Lab personnel including, but not limited to, staff, affiliates, students, visiting scholars, postdoctoral fellows, and nonemployee participants working with Berkeley Lab in any capacity.

    To Read the Full Policy, Go To:

    The Policy tab on this Wiki page

    Contact Information

    This policy is owned by the Export Compliance Office (ECO) of the Laboratory Directorate. For questions about or interpretations of the material contained within this policy, please contact the ECO at [email protected].

    POLICY

    A. Purpose

    Export control laws regulate or prohibit the transfer of certain commodities, software, information, technology, and services to certain entities, individuals, locations, and end uses both inside and outside the United States. Lawrence Berkeley National Laboratory (Berkeley Lab) is required to comply with export control laws while adhering to its mission to solve the world's most challenging scientific phenomena, from advancing sustainable energy and protecting human health to revealing the origins and fate of our universe. Consistent with this commitment, this policy requires that Berkeley Lab personnel adhere to the export control requirements described in this policy, the manual, and other export control operating procedures in place at Berkeley Lab.
    This policy and the manual set forth the requirements that offices and personnel must meet to ensure export control compliance. The manual defines the Export Control Compliance Program (the program), which requires the implementation of the following robust standards and operating procedures to ensure compliance:

    • Transaction Screening
    • Export Classification
    • Export Licensing
    • Technology Transfer and Deemed Exports
    • Business Partner Risk Mitigation
    • IT Systems and Transfer Restrictions
    • Country-Based Controls
    • Export Record Retention

    Refer to the manual for detailed explanations of the standards and the operating procedures. Each division shall implement its own program that includes the applicable elements described in the manual with support from the ECO.

    B. Persons Affected

    Berkeley Lab personnel including, but not limited to, staff, affiliates, students, visiting scholars, postdoctoral fellows, and nonemployee participants working with Berkeley Lab in any capacity.

    C. Exceptions

    Not applicable.

    D. Policy Statement

    1. Berkeley Lab complies with all applicable export control laws, including:
      1. Export Administration Regulations (EAR) administered by the Bureau of Industry and Security (BIS) of the U.S. Department of Commerce (DOC);
      2. International Traffic in Arms Regulations (ITAR) administered by the Directorate of Defense Trade Controls of the U.S. Department of State (DOS);
      3. Sanction regulations administered by the Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury (DOT); and
      4. Nuclear-related regulations administered by the Nuclear Regulatory Commission (NRC) and the National Nuclear Security Administration (NNSA) of the Department of Energy (DOE).
    2. All personnel must be aware of and comply with all applicable export control laws, this policy, the manual, and other export control operating procedures in place at Berkeley Lab before undertaking any activities that may trigger export control compliance issues.
    3. The appropriate export authorization must be secured for export control activities requiring such authorization because noncompliance carries substantial potential criminal and civil penalties for both Berkeley Lab and any personnel involved in the prohibited activity.
    4. Suspected or actual violations of any export control laws must be promptly reported to the ECO, Divisional Export Control Liaison (ECL), or Berkeley Lab's Legal Counsel.
    5. Berkeley Lab responds promptly to reports of noncompliance and takes appropriate action when necessary to prevent, correct, or discipline behavior that violates this policy.

    E. Roles and Responsibilities

    Role

    Responsibility

    Chief Export Compliance Officer (CECO)

    The CECO has direct day-to-day responsibility for administering Berkeley Lab's program described in the manual. The CECO has the delegated authority to apply for export authorizations and consults with regulatory and enforcement agencies on behalf of Berkeley Lab. Moreover, the CECO:

    1. Develops, maintains, monitors, oversees, and continuously enhances the program in collaboration with other stakeholders to ensure compliance with applicable export control laws.
    2. Performs export licensing determinations and explores available options to facilitate activities or transactions.
    3. Identifies areas of risk and designs a risk-based approach to mitigate risks with support from the ECLs.
    4. Chairs the ECL program and provides support to the ECLs to implement the standards and operating procedures outlined in the manual.
    5. Develops export control resources and conducts education, training, and outreach to promote export control awareness.
    6. Responds to reports of suspected export violations and takes action deemed necessary to correct and prevent future violations.
    7. Performs audits and assessments to periodically assess export control compliance.

    Export Control Liaisons (ECLs)

    ECLs are individuals appointed by each Laboratory division to assist the ECO in implementing the standards and operating procedures outlined in the manual for their respective division. They are accountable for the divisional program. Moreover, the ECLs:

    1. Serve as a preliminary point of contact for export control questions.
    2. Promote this policy and the program and champion export control compliance.
    3. Implement a divisional program that includes the applicable elements described in the manual.
    4. Play a key role in identifying risks and implementing applicable corrective measures in collaboration with the ECO.
    5. Perform Restricted Party Screening (RPS) and escalate any potential RPS matches that require resolution assistance from the ECO.
    6. Timely report suspected or actual export violations to the ECO or Berkeley Lab's Legal Counsel.

    Berkeley Lab Personnel

    Berkeley Lab personnel involved in potential export control activities must:

    1. Ensure that Berkeley Lab activities comply with applicable export control laws, the program, policies, and procedures, and that personnel seek guidance from the ECL or ECO as necessary, before undertaking activities or transactions that may trigger export control compliance issues.
    2. Coordinate requests for export authorization with the ECO, when deemed necessary.
    3. Complete export control training made available through Berkeley Lab's Learning Management System (LMS), export control website, and/or attend outreach sessions.
    4. Contact the ECO as far in advance as possible prior to undertaking any activity or transaction involving Cuba, Iran, N. Korea, Syria, and the Crimea Region of Ukraine/Russia.
    5. Timely report suspected or actual export violations to the ECO, ECL, or Berkeley Lab's Legal Counsel.

    F. Definitions/Acronyms

    See Berkeley Lab's Export Control Compliance Program Manual for definitions of terms and acronyms.

    G. Recordkeeping Requirements

    Export records must be maintained for the appropriate time period in accordance with applicable export laws, and Berkeley Lab's and the University of California's (UC) record retention policies, including the UC Record Retention Schedule (0006D).

    H. Implementing Documents

    I. Contact Information

    This policy is owned by the ECO of the Laboratory Directorate. For questions about or interpretations of the material contained within this policy, please contact the ECO at [email protected].

    J. Revision History

    Date

    Revision

    By Whom

    Revision Description

    Section(s)Affected

    Change Type

    07/01/2021

    0

    Shilpani Perera

    New policy

    All

    New

    DOCUMENT INFORMATION

    Title:

    Export Control

    Document number

    01.03.001.000

    Revision number

    0

    Publication date:

    9/17/2021

    Effective date:

    9/17/2021

    Next review date:

    9/17/2024

    Policy Area:

    Export Control

    RPM Section (home)

    Laboratory General Policy

    RPM Section (cross-reference)

    Procurement

    Functional Division

    Export Compliance Office

    Prior reference information (optional)

    N/A

    Source Requirements Documents

    • Contract 31, Clause I.134 - DEAR 970.5225-1, Compliance with Export Control Laws and Regulations (Nov 2015) (PREV. I.158) 

    • DOE O 142.3B, Unclassified Foreign National Access Program

    • DOE O 205.1C, Department of Energy Cybersecurity Program

    • DOE P 205.1, Departmental Cyber Security Management Policy

    • DOE O 462.1, Import and Export of Category 1 and 2 Radioactive Sources Aggregated Quantities

    • DOE O 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information

    • DOE O 471.3, Identifying and Protecting Official Use Only Information

    • DOE O 481.1E, Strategic Partnership Projects

    • DOE P 482.2, Laboratory Technology Transfer Data Collection and Management

    • DOE O 483.1B, DOE Cooperative Research and Development Agreements

    • DOE O 486.1A, Foreign Government Sponsored or Affiliated Activities

    • DOE O 550.1, Official Travel

    • DOE 552.1-1A, U.S. Department of Energy Travel Manual

    • DOE O 485.1A, Foreign Engagements with DOE National Laboratories

    • University of California Policy on Export Control

    Implementing Documents

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