Export Import Control Foreign Nationals Foreign Travel NASA

Export & Import Control, Foreign Nationals & Foreign Travel @ NASA Presentation for IPM-16 Doubletree Hotel Tysons Corner, VA November 7, 2001 1

Export Control & Foreign Nationals - Activities & Overview z 1999/2000 (cont’d) y. Audits and Reviews (cont’d) x. IG Audit of Contractor Export Control -Nearly Complete x. IG Audit of NASA International Agreements Complete x. IG Audit of NASA Foreign Visits Process - Complete x. FBI Survey - Complete y. Policy Development x. New NPD/NPG 2190. x on Export Control in development x. New provision in NFS on Export Control issued in Feb 2000 2

AS WE GO THROUGH THIS PRESENTATION, REMEMBER YOU ARE IN THE NASA EXPORT CONTROL PICTURE SINCE. . . “YOU” are NASA’S most likely EXPORTER & the most likely host of a FN 3

Export Control & Foreign Nationals z. Why has this been such a hot topic? y. In the past 2+ years we’ve had: x. Boeing Sea. Launch Violations x. Hughes/Loral China Allegations x. Cox Committee x. Department of Energy allegations x. FY 99 Defense Authorization Act & ITAR/EAR Reg changes x. Alleged Russian Assistance to Iran’s Missile Program and Sanctioned Russian Entities; Iran Nonproliferation Act x. A NASA ITAR violation x. Alleged Lockheed Violations x. Sanctions on Mc. Donnell Douglas x. Etc. , etc. 4

Export Control & Foreign Nationals - Activities & Overview z. It’s also been a busy time at NASA! y. Audits and Reviews: x. NASA Self-Assessment of Export Control and International Technology Transfer - Complete x. IG Audit of NASA Control of Export Controlled Technologies - Complete x. GAO Audit of Space Station Technology Transfer Control Plans - Complete 5

Export Control & Foreign Nationals - Activities & Overview z. Audits and Reviews (cont’d) x. IG Audit of Contractor Export Control - Complete x. IG Audit of NASA International Agreements - Complete x. IG Audit of NASA Foreign Visits Process - Complete x. FBI Survey - Complete y. Policy Development x. New NPD 2190 on Export Control - Approved Mar 2001 x. New NPG on Export Control - drafted x. New NFS on Export Control - Approved in Feb 2000 6

Export Control & Foreign Nationals - Activities & Overview z. Policy Development (cont’d) x. Export control requirements now included in A 0 s/NRAs and most other solicitations z. Organization and Administration x. Foreign travel and Foreign visits & assignments functions co-located with export control function within Code ID at Headquarters x. On-Line NASA Foreign National Management System (NFNMS) up and running x. Foreign travel adjunct under consideration 7

Agenda z Survey Feedback z Overview z The NASA Export Control Program z The International Traffic in Arms Regulations z The Export Administration Regulations z The NASA Export Processing Template z NASA Imports z NASA Foreign National Visit/Assignment Policy z NASA Foreign Travel Policy z Summary & For More Information 8

Survey Feedback Bob Tucker Director, Assessments and Technology Office of External Relations 9

IPM-15 Survey Feedback 28 of 35 z GRC - 1 of 1 z GSFC - 9 of 11 z HQ - 2 of 2 z JPL - 2 of 2 z JSC - 5 of 7 z KSC - 1 of 3 z La. RC – 2 of 2 z MSFC - 6 of 7 z 80% Response - >75% gets the applause 10

IPM-16 Survey Feedback 19 of 33 z GRC - 0 of 1 z GSFC - 3 of 7 z HQ - 4 of 6 z JPL - 1 of 3 z SSC- 0 of 1 z JSC - 2 of 3 z KSC - 4 of 5 z La. RC – 3 of 3 z MSFC - 2 of 4 z ~58% Response 11

IPM-16 Questionnaire Feedback z Names of Programs/Projects/Activities y. Expendable Launch Vehicle (ELV), SUNSAT, International Space Station (ISS), LBA, Sardinia Radio Telescope, CCSDS and SKA Consortium, ISS Multi. Element Integrated Tests, Shuttle Payloads, Body Rotation Device, Payload Test and Checkout, ISSSAGE III, Explorer Mission, GLAST Burst, PUGMA, TULi. P, QUASI, LODESTARS, ESA’s IML-ESL, ISS Control Center (MCC-H)-to-European Space Agency Ground Segment ICD, HST Servicing 12

IPM-16 Questionnaire Feedback z. Foreign Entity(s) With Which You Interface y. ESA, ESTEC, Alenia, NASDA, Italy, France, Britain, ISA (ASI), Canadian Space Agency, Taiwan (on FMS programs), Russia/ Russian Academy of Sciences and private companies, South Africa-University of Stellenbosch, Denmark, Swedish Institute of Space Physics, several institutions in Brazil, Argentina, worked for CONAE for 9 years, CCSDS, SKA, DLR, Marconi (UK) 13

IPM-16 Questionnaire Feedback z Do You Work with FNs Resident at your Center? y 3 out of 19 said “Yes” y. Of those, 1 was briefed, 2 were not 14

IPM-16 Questionnaire Feedback z Are you familiar with the Agreement or Contract between NASA and the Foreign Entity that provides for NASA Involvement in the Activity? Do you have a copy? y Only 7 of 19 said “Yes” (8 said No & 4 said N/A) y 5 of the 7 who said “Yes” had a copy 15

IPM-16 Questionnaire Feedback z Are you familiar with the Export Laws and Regulations of the U. S. ? y Only 10 of 19 (~53%) said “Yes” 16

IPM-16 Questionnaire Feedback z Have you ever received any training on the Export Laws and Regulations of the U. S. ? If you have, who provided? y 8 of 19 (~44%) said “Yes” y. Of the “yes”, the training came from Center CEAs, Department of Commerce, NASA HQ, and training “on-line” 17

IPM-16 Questionnaire Feedback z Did you know that NASA has an Export Control Program? y 16 of 19 (84%) said “Yes”! 18

IPM-16 Questionnaire Feedback z. Did you know that your Center has an Export Administrator and an Export Counsel? y 11 of 19 (58%) said “Yes” 19

IPM-16 Questionnaire Feedback z If HQs Employee, did you know that HQs has an Export Administrator and an Export Counsel? y 3 of 4 said “Yes” z If JPL/Cal. Tech, do you know who to contact for export related issues/questions? y. The one JPL respondent said “yes” 20

IPM-16 Questionnaire Feedback z Are you familiar with NASA policies that deal with foreign national visits, dissemination of NASA STI, external release of NASA software, foreign access to NASA technology, foreign access to NASA computers, export control, NASA web policy, and Foreign Travel? y 8 of 19 (~45%) are familiar with Export Control, FN visits, and Foreign Travel y 7 of 19 (~37%) are familiar with Software Release, Foreign Access, & Computer Access y 10 of 19 (~ 53%) are familiar with NASA Web Policy 21

IPM-16 Questionnaire Feedback z Are you familiar with your Centers local procedures for the above? y 12 of 19 (~67%) said “Yes” 22

IPM-16 Questionnaire Definition of an “Export” z Anything that leaves the U. S. and enters another country or is accessible by another country, including information, data, materials, hardware, systems, etc. z Interchange of technical information z The transfer of any item (documentation, technical information, hardware, etc) from the U. S. to a foreign entity. Care must be taken that the item(s) transferred could not be used against the U. S. or significantly put the country at risk. Though this is not always the case (as the unraveling of the Sept. 11, 2001 details are revealing), it should possibly be the intent. z Transfer of products or technology to the foreign country z A good that is destined to a non-US location and end-user. ITAR – export that can be used as a good weapon. z Any good or service, to include IP, that is sold or transferred abroad (to a foreign country, national or other non-U. S. entity). 23

IPM-16 Questionnaire Definition of an “Export” z Transfer of hardware, software, documentation, information or technology to a foreign country or to a foreign national. z Transferring merchandise abroad through means of a Sale or Trade. z The transfer of anything to a foreign person by any means or at anytime. Additionally, it is the transfer of anything to a US citizen who will eventually transfer it to a foreign person. z Any item or material or information that starts here and ends up over there. z Any hardware, software, data, or documentation associated with NASA that will be transferred to a foreign national within or outside the US. z An item that is sold to another country. 24

IPM-16 Questionnaire Definition of an “Export” z Any material, software, and/or hardware, that could be or will be transported out of the Center and/or US for use by the government employee or their foreigner associate during the foreign trip or during any given phase of the International Project. z Anything (document, electronic file, oral communication, etc. ) that is made available in any way to a foreign national. z Potentially, any information and/or hardware transferred by any means to a representative of a foreign entity, either here in country or abroad. z Provision of documentation, hardware, software or any technical information to a foreign national or government agency. z Anything (product, material, technology, etc. ) provided to a representative of a foreign entity (government, company, etc. ) 25

OVERVIEW: Some Basic Principles Bob Tucker Director, Assessments and Technology 26

Export Control Violations are Federal Crimes Here’s an important principle: z Protect Yourselves: The Export Laws and Regulations Have Teeth and Can “Bite” y. ITAR Criminal and Civil Penalties x. Fine of up to $1 million per violation x. Imprisonment - 10 years per violation y. EAR Criminal and Civil Penalties x. Fine of $100 K+ x. Imprisonment for up to 10 years z That’s one reason why YOU need to be concerned about YOUR export practices 27

Main Reasons Certain Exports are “Controlled” by U. S. Law z. National Security (NS) z. Foreign Policy (FP) z. Proliferation (MT, NP, CB) z. Short Supply 28

Public Domain v. Export Controlled Data z. Data in the Public Domain is “uncontrolled” and “unlimited” dissemination* z. Data subject to Export Control is restricted dissemination y. May require a license y. May be eligible for a license exception/exemption y. May be EAR 99 29

Remember - A simple way to thing about an “Export” Is It’s. . . z. The transfer of anything to a “FOREIGN PERSON” by any means, anywhere, anytime, or a transfer to a “U. S. PERSON” with knowledge that the item will be further transferred to a “FOREIGN PERSON”. z. Not all “Exports” are subject to control 30

An Export can be effected by any of the following means and more: z Placing information on the World-Wide-Web, making data available through ftp sites, etc. z Placing information in the Public Domain z Verbal discussions w/foreign nationals or presentations to groups that include foreign nationals z Handcarrying items outside the U. S. z Traditional “Shipments” of items thru Center transportation offices outside the U. S. z Mailing, faxing, e-mailing items outside the U. S. or to foreign nationals within the U. S. z etc. , etc. 31

Only Certain Exports Are Subject to Control z This presentation is geared to assist YOU in telling the difference; and z Assisting YOU in determining which require NASA to obtain prior approval from State or Commerce via an EXPORT LICENSE z However, we’re not going to make you EXPERTS in the next FOUR hours 32

The NASA Export Control Program Presentation to IPM-16 Class 7 November 2001 33

The NASA Export Control Program z. NASA Export Training Video - 13 minutes - Premiered Mar 98 --- 3+ years ago 34

NATIONAL AERONAUTICS AND SPACE ACT OF 1958, AS AMENDED z "The Administration shall provide for the widest practicable and appropriate dissemination of information concerning it’s activities and the results thereof” zand appropriate 35

ADMINISTRATOR'S EXPORT CONTROL POLICY STATEMENT z "As a U. S. Government Agency on the forefront of technological development and international cooperation in the fields of space, aeronautics, and science, the National Aeronautics and Space Administration will strive to fulfill its mission for cooperative international research and civil space development in harmony with the export control laws and regulations of the United States. Due to heightened proliferation challenges facing the United States and the world, including risks posed by the spread of missile technologies and weapons of mass destruction, and in view of the significant criminal, civil, and administrative penalties that may affect the Agency and its employees as a result of a failure to comply with U. S. export control laws and regulations, it is the responsibility of every NASA official and employee to ensure that the export control policies of the United States, including nonproliferation objectives, are fully observed in the pursuit of NASA's international mission. " z Daniel S. Goldin, Administrator y National Aeronautics and Space Administration 36

Why NASA Must be Concerned About It’s Export Practices z Exporting is a “privilege”, not a “right” z Export “privileges” can be revoked, precluding our ability to conduct international activities. z NASA holds significant expertise in space launch vehicle, satellites and other advanced/controlled technologies that others would love to have. z And don’t forget, export control violations can -- and do -- lead to criminal prosecution 37

The NASA Export Control Program (ECP) y. NASA is not only an EXPORTER of controlled goods and technical data, we are also a PLAYER in the U. S. Government’s export policy and commercial licensing process - MEMBER OF MISSILE TECHNOLOGY EXPORT COMMITTEE (MTEC) - MEMBER OF MISSILE TRADE ANALYSIS GROUP (MTAG) - MEMBER OF REMOTE SENSING IWG (RSIWG) - PARTICIPANT IN OTHER INTERAGENCY POLICY FORA - PROVIDE INPUT TO STATE & COMMERCE ON SELECTED LICENSE APPLICATIONS FROM INDUSTRY 38

The NASA Export Control Program (ECP) z The NASA ECP is an “internal” NASA program z Originally published in November 1995 (Updated version in handout - NPD 2190 approved & new NPG in work) z Centralized Export Policy & Compliance in Single Office at NASA Headquarters (Code ID) z Export Administrators and Counsel at each Field Center – YOUR resident “experts” on export laws/regulations z Program Defines Export Responsibilities and Standardizes Agency Procedures 39

Export Control @ NASA Headquarters z Office of External Relations (Code I) <http: //www. hq. nasa. gov/office/codei> y. International Agreements y. Export Control Program y. Foreign National Access to NASA Installations y. NASA Exchange Visitor Program y. NASA Foreign Travel Approval/Coordination 40

Export Control @ NASA Headquarters z Office of General Counsel (Code G) y NASA Export Counsel & Review/Concurrence on all International Agreements z Office of Chief Information Officer (Code AO) y NASA STI Program y NASA IT Policy (including the Internet) z Office of Aerospace Technology (Code R) y External Release of NASA Software y Foreign Access to NASA Technology Utilization Materials z Office of Security Management and Safeguards (Code X) y NASA Security Policy and Counterintelligence z Office of Management Systems (Code J) y NASA Transportation Policies 41

The NASA ECP z NASA Project Managers have “export control” responsibilities (NPG 7120 and IAs) y. Export milestones are to be considered/included in program/project planning, as applicable y. Identify export license requirements and obtain same prior to exporting y. Export only those goods and data necessary to fulfill NASA responsibilities under the International Agreement 42

The NASA ECP z NASA Project Managers have “export control” responsibilities (cont’d) y. Assure the proper training of program/project staff in export control y. As applicable, advise contractors of NASA obligations in International Agreements and, as appropriate, provide proper authority for any contractor effected exports via the Contracting Officer 43

The NASA ECP z NASA Project Managers have “export control” responsibilities (cont’d) y. Assure that foreign partners are advised of the sensitive nature of export controlled goods and data prior to transfer – assure the use of Destination Control Statements on shipping paperwork, etc. y. Develop internal Technology Transfer Control Plan (TTCP) - will be a requirement of new Export Control NPG 44

How Does The NASA ECP Affect Me? z. Understand the Scope of the International Cooperation and NASA’s Responsibilities z. Be Aware and Think before you “export” z. Don’t be intimidated by the rules - help is available --- ask for it 45

NASA’s International Agreements z NASA’s International Agreements - the basis for NASA foreign cooperative (or reimbursable) activity ydefine the responsibilities of the parties, scope of the work to be performed, & the terms and conditions under which the cooperation (or reimbursable support) will be effected. z All NASA International Agreements contain a clause on transfers of controlled goods and data - in both directions z NASA’s International Agreements do NOT trump export control laws & regulations 46

NASA International Agreements z. Exchange of Goods and Data Clause z The parties are obligated to transfer only those technical data (including software) and goods necessary to fulfill their respective responsibilities under this agreement, in accordance with the following provisions: z 1. The transfer of technical data for the purpose of discharging the parties’ responsibilities with regard to interface, integration, and safety shall normally be made without restriction, except as required by national laws and regulations relating to export control or the control of classified data. If design, manufacturing, and processing data and associated software, which is proprietary but not export controlled, is necessary for interface, integration, or safety purposes, the transfer shall be made and the data and associated software shall be appropriately marked. Nothing in this article requires the parties to transfer goods or technical data contrary to national laws and regulations relating to export control or control of classified data. z 2. All transfers of proprietary technical data and export-controlled goods and technical data are subject to the following provisions. In the event a party finds it necessary to transfer goods which are subject to export control or technical data which is proprietary or subject to export controls, and for which protection is to be maintained, such goods shall be specifically identified and such technical data shall be marked with a notice to indicate that they shall be used and disclosed by the receiving party and its related entities (e. g. , contractors and subcontractors) only for the purposes of fulfilling the receiving party’s responsibilities under the programs implemented by this agreement, and that the identified goods and marked technical data shall not be disclosed or retransferred to any other entity without the prior written permission of the furnishing party. The receiving party agrees to abide by the terms of the notice, and to protect any such identified goods and marked technical data from unauthorized use and disclosure, and also agrees to obtain these same obligations from its related entities prior to the transfer. z 3. All goods, marked proprietary data, and marked or unmarked technical data subject to export control, which are transferred under this agreement, shall be used by the receiving party exclusively for the purposes of the programs implemented by this agreement. 47

How Does This Affect Me? z STI PUBLICATION/DISSEMINATION y. All STI Is To Be Reviewed for Possible Export Dissemination Restrictions y. Accomplished via NASA Form 1676 or Center equivalent Form z NPD 2220. 5, Management of NASA Scientific and Technical Information z NPG 2200. 2, NASA Scientific and Technical Information 48

How Does This Affect Me? z. EXTERNAL SOFTWARE RELEASES y. Export Control Review An Inherent Part of Release Process z NPD/NPG 2210. 1, External Release of NASA Software 49

How Does This Affect Me? z. NASA Web Policy y. Export Control Review part of decision process for placing information on websites z NPG 2800. 1, Managing Information Technology - includes NASA web policy 50

HOW DO I KNOW IF AN ITEM IS SUBJECT TO CONTROL? z. Nobody said it was easy! ydetermine jurisdiction - ITAR or EAR ycheck with the source of the product (manufacturer) yseek assistance from your local CEA/CEC yand HOLY COW, if you must, ask Headquarters for help 51

HOW DO I KNOW IF AN ITEM IS SUBJECT TO CONTROL? z. Practical Test y. Is it appropriate that our worst enemies have access to the information; e. g. , putting it in the public domain 52

The NASA Export Control Program z. Demonstrate NASA ECP Website y http: //hq. nasa. gov/office/codei/nasaecp/index. html 53

The International Traffic in Arms Regulations (ITAR)* 22 CFR 120 -130 *Updated via Federal Register Notices http: //www. pmdtc. org/ 54

The International Traffic in Arms Regulations (ITAR) z. Regulations which control the export of goods and technical data on the United States Munitions List (USML) and certain items on the Missile Technology Control Regime (MTCR) Annex. z. USML items are mainly “military” in nature, with a limited number of “dualuse” items. 55

The United States Munitions List (USML) - 22 CFR 121 z z z I - Firearms II - Artillery Projectors III - Ammunition *IV - Launch Vehicles, etc. . . *V - Explosives, Propellants, Incendiary Agents and Their Constituents VI - Vessels of War and Special Naval Equipment VII - Tanks and Military Vehicles VIII - Aircraft and Associated Equipment IX - Military Training Equipment X - Protective Personnel Equipment XI - Military Electronics *XII - Fire Control, Range Finder, Optical and Guidance and Control Equipment z *XIII - Auxiliary Military Equipment z XIV - Toxicological Agents and Equipment and Radiological Equipment z *XV - Spacecraft Systems and Associated Equipment z XVI - Nuclear Weapons Design and Related Equipment z XVII - Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated z XVIII - Reserved z XIX - Reserved z XX - Submersible Vessels, Oceanographic and Associated Equipment z XXI - Miscellaneous Articles 56

USML Cat XV z. Spacecraft and Associated Equipment y. All spacecraft (except Int’l Space Station) y. Certain GPS Receivers y. Certain Rad Hard Microprocessors y. Uniquely Designed, Modified, Configured Systems, Pieces and Parts for Above y. Technical Data for Above 57

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions y. Defense Article y. Defense Service y. Technical Data (includes Software) y. Public Domain 58

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions y“Defense Article” - any item on the USML, including “technical data”. x. Note: Contrary to popular opinion, Defense Articles are not exclusively “military” items; e. g. , with the exception of the Space Station, all spacecraft are “Defense Articles”; the Space Shuttle is a “Defense Article”, etc. 59

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions y“Defense Service” – the main problem child for our contractors x. The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles; x. The furnishing to foreign persons of any technical data, whether in the United States or abroad; or x. A 3 rd item generally not applicable to NASA activities 60

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Technical Data xinformation which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of “defense articles” xclassified information related to “defense articles” xinformation covered by an invention secrecy order xsoftware directly related to “defense articles”. 61

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Technical Data (cont’d) xdoes not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or information in the “public domain”. xdoes not include basic marketing information on function or purpose or general system descriptions of “Defense Articles”. 62

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Public Domain - information which is published and which is generally accessible or available to the public: xthrough sales at newsstands and bookstores; xthrough subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information; xthrough second class mailing privileges granted by the U. S. government 63

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Public Domain (cont’d) xat libraries open to the public or from which the public can obtain documents; xthrough patents available at any patent office xthrough unlimited distribution at a conference, meeting, seminar, trade show or exhibition, , generally accessible to the public, in the United States; 64

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Public Domain (cont’d) xthrough public release (i. e. , unlimited distribution) in any form (e. g. , not necessarily in published form) after approval by the cognizant U. S. government department or agency. xthrough fundamental research in science and engineering at accredited institutions of higher learning in the U. S. where the resulting information is ordinarily published and shared broadly in the scientific community. 65

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Public Domain (cont’d) x. Fundamental research is defined to mean basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U. S. government access and dissemination controls. 66

The International Traffic in Arms Regulations (ITAR) z. Important ITAR Definitions (cont’d) y. Public Domain (cont’d) x. University research will not be considered “fundamental research” if: • the University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or • the research is funded by the U. S. government and specific access and dissemination controls protecting information resulting from the research are applicable. 67

The International Traffic in Arms Regulations (ITAR) z “Temporary” v. “Permanent” exports of “defense articles” y Under the ITAR a temporary export is generally viewed as one that will be outside the U. S. for less than four (4) years with no transfer of title. y A permanent export is generally viewed as one where the item is outside the U. S. for four years or over, or anytime there is a transfer of title. z “Temporary” imports* y Temporary import is generally viewed as an import of up to four (4) years, but not always. 68

The International Traffic in Arms Regulations (ITAR) z Examples of Permanent v. Temporary Exports y The export of an ITAR controlled NASA satellite or satellite component outside the U. S. solely for launch on a foreign launch vehicle is a “Permanent Export” y The transfer of control of an ITAR controlled NASA satellite on-orbit to a “foreign person” is an export and can be either “Permanent” or “Temporary”. 69

The International Traffic in Arms Regulations (ITAR) z Licenses v. Exemptions y. When required, NASA seeks and obtains ITAR export licenses prior to effecting an export y. As a government agency, NASA enjoys certain license exemptions not available to industry y. These exemptions do not apply in all circumstances and never when dealing with “foreign persons” of proscribed countries (22 CFR 126. 1) 70

The International Traffic in Arms Regulations (ITAR) z. Export Licenses y. Export licenses are issued by the Dept of State for the export of “defense articles”. Only ITAR license type used by NASA: x. DSP-5 - Permanent Export License (for Unclassified Defense Articles) x. Our use is solely for the permanent export of HW y. When required, NASA licenses are obtained per our internal Export Control Program (ECP). x. Contact your local CEA for procedures 71

The International Traffic in Arms Regulations (ITAR) z License Exemptions y. The ITAR contains numerous exemptions* to licensing requirements, but not to the fact that an item is subject to control x*Use of exemptions is pursuant to the specific provisions of the ITAR, the NASA ECP and the NASA/Foreign Partner International Agreement 72

The International Traffic in Arms Regulations (ITAR) z License Exemptions (Gov’t Unique) y 22 CFR 125. 4(b)(3) - Tech Data Authority Under NASA Contracts y 22 CFR 125. 4(b)(13) - Public Domain y 22 CFR 125. 5(c) - Tech Data Release and Authority for Plant Visits to NASA Contractor Facilities y 22 CFR 126. 4 - NASA Authority for Tech Data, Defense Services and Temporary Hardware Exports 73

The International Traffic in Arms Regulations (ITAR) z. Proscribed Countries - 22 CFR 126. 1 y. If a country appears on the “proscribed country” list, it is (generally) U. S. policy to deny licenses, or other approvals, associated with exports and temporary imports of defense articles destined for or originating in that country. y ITAR License exemptions are trumped if a “foreign person” from any of these counties is involved; i. e. , a license must be applied for. 74

ITAR Proscribed Countries - 22 CFR 126. 1 z z z z AFGHANISTAN ANGOLA ARMENIA AZERBAIJAN BELARUS BURMA CHINA (PRC) CYPRUS CUBA HAITI INDIA INDONESIA IRAN IRAQ LIBERIA LIBYA z z z NIGERIA NORTH KOREA PAKISTAN RWANDA SOMALIA SUDAN SYRIA TAJIKISTAN VIETNAM YEMEN (case-by-case) FEDERAL REPUBLIC OF YUGOSLAVIA y SERBIA y MONTENEGRO ZAIRE 75

The International Traffic in Arms Regulations (ITAR) z. Rule of Thumb - NASA seeks and obtains ITAR export licenses for ythe permanent transfer of hardware on the USML, yfor any transfer of hardware or technical data involving a “foreign person” in or from a “proscribed country”. 76

The International Traffic in Arms Regulations (ITAR) z. Recordkeeping - records must be maintained on most transfers, regardless of whether or not a license was required; i. e. , records must be maintained even when using license exemptions 77

The Export Administration Regulations* (EAR) 15 CFR 730 -774 *Updated via Federal Register Notices http: //www. access. gpo. gov/bxa/ear_data. html 78

The Export Administration Regulations (EAR) z. Regulations which control the export of goods and technical data on the Commerce Control List (CCL), including certain items on the Missile Technology Control Regime Annex. z. Items on the CCL are typically referred to as “dual-use” items. 79

The Commerce Control List (CCL) - 15 CFR 774 z Category 0 - Nuclear Materials, Facilities and Equipment and Misc. z Category 1 - Materials, Chemicals, Microorganisms and Toxins z Category 2 - Materials Processing z Category 3 - Electronics z Category 4 - Computers z Category 5 Telecommunications and Information Security z Category 6 - Lasers and Sensors z Category 7 - Navigation and Avionics z Category 8 - Marine z Category 9 - Propulsion Systems, Space Vehicles and Related Equipment 80

CCL Example z. ECCN 9 A 004 y. The International Space Station* x*ISS technical data required for Detailed Design, Development, Manufacturing and Production remains subject to the jurisdiction of the Department of State y. Various Other Pieces and Parts that have been CJ’d or GJ’d from the USML 81

The Export Administration Regulations (EAR) z. License Exceptions - 15 CFR 740 y. Selected Examples x. TMP (use for certain temporary exports up to one year - generally requires “effective” control over item exported) x. GOV (e. g. , certain transfers to certain foreign gov’t agencies & transfers for use by U. S. gov’t abroad) y. CAUTION - Only use exceptions after reading all conditions/provisions and assuring yourself it applies to your particular situation. 82

The Export Administration Regulations (EAR) z. Rule of Thumb for Controlled Exports y. Unless a license exception exists for which the controlled export qualifies, NASA seeks and obtains an export license from BXA 83

NASA’S EXPORT PROCESSING TEMPLATE & NASA IMPORTS Paula Geisz Export Control Specialist Office of External Relations 84

THE NASA EXPORT PROCESSING TEMPLATE z. NASA EPT is a part of the NASA ECP z. The EPT is YOUR personal roadmap to compliance z. Understand it --- use it 85

The NASA Export Control Program z. Export Processing Template - Roadmap to Compliance 86

Export Processing Template Flowchart Check your authority for exporting. Review the international agreement. Know your end user. Check the web lists for BXA's Listing of Entities of Concern BXA's List of Denied Parties Debarred Parties Listing OFAC's List of Specially Designated Nationals Determine jurisdiction of your export. Review the ITAR and EAR and discuss with your CEA. 87

Export Processing Template Flowchart If your export is data that is generally available to the public (as previously descrived), you do not need a license. Follow the appropriate regulations. 88

Export Processing Template Flowchart Export is by or for NASA and pursuant to an IA See 738, Supp 1. Ck appropriate country list noted under ECCN No No ECCN lists possible exceptions. Review GOV, CIV, TMP, LVS , RPL, etc - see 740 of EAR See 126. 4 of the ITAR. 89

Export Processing Template Flowchart NASA has a Special Comprehensive License for the Space Station. Do not assume coverage. Coordinate licenses with your CEA. All license applications are submitted by the HQ Export Administrator. There are several exemptions to check. See ITAR 125. 4(b)(3), & (b)(5), Is it a model, temporary, etc Coordinate with CEA, all applications are submitted through NASA HQ Export Administrator 90

Export Processing Template Flowchart See NASA ECP Appendix 2, 3, & 4 -- series of questions related to whether end user is located in a country of proliferation concern Any abnormal circumstances with the transaction -- When red flags are raised, responsible NASA officials have a duty to inquire about end use, end user or country of destination. Do not limit incoming information. Note appropriate exemption or exception number on shipping paperwork. Always include a destination control statement limiting end use to intended purpose. Work with CEA. Transportation Office can advise you. 91

Classification Requests z. Classification Requests to BXA y. If unable or uncomfortable in determining the CCL “classification” of the item to be exported, a “classification” can be requested from BXA will “classify” an item for you, advise you that an item is not subject to the EAR and no license is required. They are also obligated to advise that the item is subject to the jurisdiction of another agency. y. Work with and through your local Center Export Administrator to Headquarters 92

Before Effecting an Export. . . z Understand the authority and the necessity for the “export” - NASA/Foreign Partner Agreement, etc. z “Classify” the item(s) to be exported (hardware, software, technical data) z Determine if the item is eligible for an “exception/exemption” to obtaining an export license, and if not, z Apply for and obtain an export license (through the Agency Export Administrator @ NASA Headquarters) z Cite exception/exemption/license authority on export paperwork and comply with requirements of regulations, license and/or agreement. 93

NASA IMPORTS Paula Geisz Export Control Specialist Office of External Relations 94

IMPORTS BY or FOR NASA z. TWO DISTINCT ASPECTS y. IMPORT LICENSING y. IMPORT “DUTY” 95

IMPORT LICENSING - ITAR z When NASA “temporarily” imports ITAR Defense Articles, we use our ITAR license exemption authority at 22 CFR 126. 4; i. e. , yauthorizes Defense Article imports pursuant to an approved international activity z When NASA “permanently” imports ITAR Defense Articles, no license is required (27 CFR 47. 53 - BATF Regs) 96

IMPORT LICENSING - EAR z. In general, import licenses are not required under the EAR 97

IMPORT DUTY z Most NASA No-Exchange-of-Funds International Agreements provide for the waiver of U. S. import duty (and vice-versa foreign import duty) z NASA authority for such waivers is found in the Harmonized Tariff Schedule of the U. S. 9808 -00 -80 z NASA policy on such waivers is found in 14 CFR 1217 98

IMPORT DUTY (cont’d) z Duty-Free Import Authority (not to be confused with whether or not an “Import License” is required) y. March 23, 1995 -- President issued Proclamation No. 6780 with NASA’s Current Duty-Free Import Certification Authority y 14 CFR 1217 -- NASA’s Regulation regarding Certification Procedures for Duty-Free Imports xauthority to “certify” can be delegated 99

Foreign Nationals @ NASA Paula Geisz Export Control Specialist Office of External Relations 100

Foreign Nationals @ NASA How many do we have visiting or living with us? A lot! 101

NASA Foreign Visits Policy z Foreign Visits NPD 1371. 5/NPG 1371. 2 became effective in April 1999 y. Delegated approval of all Non-Designated Area foreign visits to Centers y. Export control is an integral part of the review process of all foreign national visitors --- exports to Foreign Nationals within the U. S. are considered exports to the FN’s Home Country and/or Organization – the “deemed export” rule 102

Notional Foreign National Review Checklist z Requirement for access to Center understood? z Need for computer access understood – security plan in place? z Export controlled information access? z Escort required? z Screens performed? - Entity List, SDN, Denied Parties, Debarred Parties? z National Agency Check? Indices Check? z NASA Hosts for FNs Visiting NASA Facilities are Responsible for Screening for Deemed Export 103 Issues

Foreign Visits at JPL NAS 7 -1407 w/Caltech z. Caltech authorized to approve foreign visits of 5 business days or less for nationals from non-Designated Areas z. NASA approves all other foreign visitors, hosts, hires z. All foreign visitors of 30 days or less at JPL are escorted by Caltech personnel 104

Designated Areas for Foreign Access Purposes z z z Afghanistan Angola Armenia Azerbaijan Belarus Burma China Cuba Cyprus Haiti Indonesia z z z z z Iran Iraq Libya North Korea Somalia Taiwan Sudan Syria Federal Republic of Yugoslavia (Serbia and Montenegro) z Zaire 105

Designated Areas for Foreign Access Purposes z z z z z Egypt India Israel Jordan Kuwait Lebanon Oman Pakistan Qatar z z z z z Bahrain Saudi Arabia United Arab Emirates Yemen Liberia Macedonia Nigeria Rwanda Tajikistan Vietnam 106

International Visit Coordinators z ARC - Wende Hower z DFRC - Darlene Homiak z GSFC - Marie Stubbs z HQs - Ruth Almony z JPL/Caltech - Ed Momjian z JSC - Charylene Minick z KSC - Sheila Perry z La. RC - Monica Schrum z GRC - Paul Wells z MSFC - Brad Garland z SSC - Don Coss 107

Requesting Access for Foreign National Visitor z Go to https: //ivan. esportals. com/ and scroll to bottom of page, select link “Initiate a request for Request” z Fill in required fields, click “Submit Your Request” button z Request will be emailed to you, click the attachment, enter email address and “Request Key #” from the email z Fill in required fields, a return email will require your confirmation of the request for IVAN z You will receive later email confirming receipt of request z You will receive final email noting approval or denial of visit request See handout 108

ALMOST DONE HONEST 109

Foreign Travel by Civil Servants and JPL’ers NASA Policy and Procedures 110

Foreign Travel of Civil Servants and JPL’ers z. Did you know – y. After Center buyoff, all foreign travel, both program and non-program, is reviewed and concurred on by the Office of External Relations at NASA HQs (criteria for JPL is in Appendix A to the NASA/Caltech contract – NAS 7 -1407) y. In addition to HQs approval, foreign travel is also contingent on a Department of State “country clearance”. 111

Which One are You? z I’m more confused now then when I got here z I can’t wait to get home and tell my friends about this z I can’t be bothered with this bureaucracy z Get these guys off the program z Doesn’t apply to me z My people will take care of it z Let me at it z This is fun z HELP! 1/25/2022 112

Bottom Line z. Every NASA employee has a responsibility to observe U. S. export laws and regulations, to comply with NASA’s Export Control Program and to be a “responsible” exporter 113

Where Can I Get Help? z. Call Your Center Export Representatives, or z. And if you really must --- Call Washington y. John Hall or Paula Geisz - 202 -358 -0330 114

Export Control @ NASA Hqs Points-of-Contact z Code AE/Dick Weinstein z Code AF/Greg Reck z Code AO/Roland Ridgeway z Code F/Carol Saric z Code H/Patrick Flynn z Code J/James Hawkins z Code J/Robert Turner z Code M/Barbara Adde z Code P/Debbie Rahn z Code Q/Geoff Templeton z Code R/Bob Luddy z Code S/Marc Allen z Code U/Candy Livingston z Code Y/Greg Williams z Enterprise Codes 115

Export Control @ NASA Centers z ARC/IVV y Raj Shea/Acting CEA y Linda Franklin/CEC z DFRC y Terry Mahurin/CEA y Dave Samuels/CEC z GSFC/WFF y J. R. Hedgpeth/CEA y Larry Watson/CEC z JPL/Caltech y Ed Momjian/Cal. Tech z JSC/WSTF y Jennifer Mason-Korecki/CEA y Donna Bartoe/CEC z KSC y Sam Lewellen/CEA y Don Schiller/CEC z La. RC y Sam Capino/CEA y Mike Mark/CEC z GRC y Larry Viterna/Acting CEA y Eli Naffah/CEC z MSFC y Axel Roth/CEA y Jim Mc. Groary/CEC z SSC y Vince Andres/CEA y Ken Human/CEC 116

Valuable Internal NASA Resources z NASA International Agreements and/or Contracts (The NASA “Deal” w/the FOREIGN PARTNER) z NPD 2190, The NASA Export Control Program (Available in Hardcopy and via the www) z NPD 2220. 5, Management of NASA Scientific and Technical Information z NPG 2200. 2, NASA Scientific and Technical Information z NPD/NPG 2210. 1, External Release of NASA Software 117

Valuable Internal NASA Resources z NPD 2110. 1, Foreign Access to NASA Technology Utilization Material z NPD 1371. 5/NPG 1371. 2, Coordination and Authorization of Visits by Foreign Nationals and Foreign Representatives to NASA Installations z NPG 2410. 9, Automated Information Security Handbook z NPG 2800. 1, Managing Information Technology includes NASA web policy 118

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