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.

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Contact Information

This policy is owned by the Export Compliance Office (ECO) of the Research Compliance Office (RCO). 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 Research Compliance Office (RCO).
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

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

DOCUMENT INFORMATION

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