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Title: Export


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

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

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

4
Export Control Foreign Nationals
  • Why has this been such a hot topic?
  • In the past 2 years weve had
  • Boeing SeaLaunch Violations
  • Hughes/Loral China Allegations
  • Cox Committee
  • Department of Energy allegations
  • FY 99 Defense Authorization Act ITAR/EAR Reg
    changes
  • Alleged Russian Assistance to Irans Missile
    Program and Sanctioned Russian Entities Iran
    Nonproliferation Act
  • A NASA ITAR violation
  • Alleged Lockheed Violations
  • Sanctions on McDonnell Douglas
  • Etc., etc., etc.

5
Export Control Foreign Nationals - Activities
Overview
  • Its also been a busy time at NASA!
  • Audits and Reviews
  • NASA Self-Assessment of Export Control and
    International Technology Transfer - Complete
  • IG Audit of NASA Control of Export Controlled
    Technologies - Complete
  • GAO Audit of Space Station Technology Transfer
    Control Plans - Complete

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

7
Export Control Foreign Nationals - Activities
Overview
  • Policy Development (contd)
  • Export control requirements now included in
    A0s/NRAs and most other solicitations
  • Organization and Administration
  • Foreign travel and Foreign visits assignments
    functions co-located with export control function
    within Code ID at Headquarters
  • On-Line NASA Foreign National Management System
    (NFNMS) up and running
  • Foreign travel adjunct under consideration

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

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

10
IPM-15 Survey Feedback - 28 of 35
  • GRC - 1 of 1
  • GSFC - 9 of 11
  • HQ - 2 of 2
  • JPL - 2 of 2
  • 80 Response - gt75 gets the applause
  • JSC - 5 of 7
  • KSC - 1 of 3
  • LaRC 2 of 2
  • MSFC - 6 of 7

11
IPM-16 Survey Feedback - 19 of 33
  • GRC - 0 of 1
  • GSFC - 3 of 7
  • HQ - 4 of 6
  • JPL - 1 of 3
  • SSC- 0 of 1
  • 58 Response
  • JSC - 2 of 3
  • KSC - 4 of 5
  • LaRC 3 of 3
  • MSFC - 2 of 4

12
IPM-16 Questionnaire Feedback
  • Names of Programs/Projects/Activities
  • 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,
    ISS-SAGE III, Explorer Mission, GLAST Burst,
    PUGMA, TULiP, QUASI, LODESTARS, ESAs IML-ESL,
    ISS Control Center (MCC-H)-to-European Space
    Agency Ground Segment ICD, HST Servicing

13
IPM-16 Questionnaire Feedback
  • Foreign Entity(s) With Which You Interface
  • 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)

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

15
IPM-16 Questionnaire Feedback
  • 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?
  • Only 7 of 19 said Yes (8 said No 4 said N/A)
  • 5 of the 7 who said Yes had a copy

16
IPM-16 Questionnaire Feedback
  • Are you familiar with the Export Laws and
    Regulations of the U.S.?
  • Only 10 of 19 (53) said Yes

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

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

19
IPM-16 Questionnaire Feedback
  • Did you know that your Center has an Export
    Administrator and an Export Counsel?
  • 11 of 19 (58) said Yes

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

21
IPM-16 Questionnaire Feedback
  • 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?
  • 8 of 19 (45) are familiar with Export Control,
    FN visits, and Foreign Travel
  • 7 of 19 (37) are familiar with Software
    Release, Foreign Access, Computer Access
  • 10 of 19 ( 53) are familiar with NASA Web Policy

22
IPM-16 Questionnaire Feedback
  • Are you familiar with your Centers local
    procedures for the above?
  • 12 of 19 (67) said Yes

23
IPM-16 Questionnaire Definition of an Export
  • Anything that leaves the U.S. and enters another
    country or is accessible by another country,
    including information, data, materials, hardware,
    systems, etc.
  • Interchange of technical information
  • 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.
  • Transfer of products or technology to the foreign
    country
  • A good that is destined to a non-US location and
    end-user. ITAR export that can be used as a
    good weapon.
  • Any good or service, to include IP, that is sold
    or transferred abroad (to a foreign country,
    national or other non-U.S. entity).

24
IPM-16 Questionnaire Definition of an Export
  • Transfer of hardware, software, documentation,
    information or technology to a foreign country or
    to a foreign national.
  • Transferring merchandise abroad through means of
    a Sale or Trade.
  • 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.
  • Any item or material or information that starts
    here and ends up over there.
  • Any hardware, software, data, or documentation
    associated with NASA that will be transferred to
    a foreign national within or outside the US.
  • An item that is sold to another country.

25
IPM-16 Questionnaire Definition of an Export
  • 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.
  • Anything (document, electronic file, oral
    communication, etc.) that is made available in
    any way to a foreign national.
  • Potentially, any information and/or hardware
    transferred by any means to a representative of a
    foreign entity, either here in country or abroad.
  • Provision of documentation, hardware, software or
    any technical information to a foreign national
    or government agency.
  • Anything (product, material, technology, etc.)
    provided to a representative of a foreign entity
    (government, company, etc.)

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

27
Heres an important principle Export Control
Violations are Federal Crimes
  • Protect Yourselves The Export Laws and
    Regulations Have Teeth and Can Bite
  • ITAR Criminal and Civil Penalties
  • Fine of up to 1 million per violation
  • Imprisonment - 10 years per violation
  • EAR Criminal and Civil Penalties
  • Fine of 100K
  • Imprisonment for up to 10 years
  • Thats one reason why YOU need to be concerned
    about YOUR export practices

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

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

30
Remember - A simple way to thing about an
Export Is Its ...
  • 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.
  • Not all Exports are subject to control

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

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

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

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

35
NATIONAL AERONAUTICS AND SPACE ACT OF 1958, AS
AMENDED
  • "The Administration shall provide for the widest
    practicable and appropriate dissemination of
    information concerning its activities and the
    results thereof
  • and appropriate

36
ADMINISTRATOR'S EXPORT CONTROL POLICY STATEMENT
  • "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."
  • Daniel S. Goldin, Administrator
  • National Aeronautics and Space Administration

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

38
The NASA Export Control Program (ECP)
  • NASA is not only an EXPORTER of controlled goods
    and technical data, we are also a PLAYER in the
    U.S. Governments 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

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

40
Export Control _at_ NASA Headquarters
  • Office of External Relations (Code I) -
    lthttp//www.hq.nasa.gov/office/codeigt
  • International Agreements
  • Export Control Program
  • Foreign National Access to NASA Installations
  • NASA Exchange Visitor Program
  • NASA Foreign Travel Approval/Coordination

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

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

43
The NASA ECP
  • NASA Project Managers have export control
    responsibilities (contd)
  • Assure the proper training of program/project
    staff in export control
  • 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

44
The NASA ECP
  • NASA Project Managers have export control
    responsibilities (contd)
  • 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.
  • Develop internal Technology Transfer Control Plan
    (TTCP) - will be a requirement of new Export
    Control NPG

45
How Does The NASA ECP Affect Me?
  • Understand the Scope of the International
    Cooperation and NASAs Responsibilities
  • Be Aware and Think before you export
  • Dont be intimidated by the rules - help is
    available --- ask for it

46
NASAs International Agreements
  • NASAs International Agreements - the basis for
    NASA foreign cooperative (or reimbursable)
    activity
  • define 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.
  • All NASA International Agreements contain a
    clause on transfers of controlled goods and data
    - in both directions
  • NASAs International Agreements do NOT trump
    export control laws regulations

47
NASA International Agreements
  • Exchange of Goods and Data Clause
  • 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
  • 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.
  • 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 partys 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.
  • 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.

48
How Does This Affect Me?
  • STI PUBLICATION/DISSEMINATION
  • All STI Is To Be Reviewed for Possible Export
    Dissemination Restrictions
  • Accomplished via NASA Form 1676 or Center
    equivalent Form
  • NPD 2220.5, Management of NASA Scientific and
    Technical Information
  • NPG 2200.2, NASA Scientific and Technical
    Information

49
How Does This Affect Me?
  • EXTERNAL SOFTWARE RELEASES
  • Export Control Review An Inherent Part of Release
    Process
  • NPD/NPG 2210.1, External Release of NASA Software

50
How Does This Affect Me?
  • NASA Web Policy
  • Export Control Review part of decision process
    for placing information on websites
  • NPG 2800.1, Managing Information Technology -
    includes NASA web policy

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

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

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

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

55
The International Traffic in Arms Regulations
(ITAR)
  • 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.
  • USML items are mainly military in nature, with
    a limited number of dual-use items.

56
The United States Munitions List (USML) - 22 CFR
121
  • 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
  • XIII - Auxiliary Military Equipment
  • XIV - Toxicological Agents and Equipment and
    Radiological Equipment
  • XV - Spacecraft Systems and Associated Equipment
  • XVI - Nuclear Weapons Design and Related
    Equipment
  • XVII - Classified Articles, Technical Data and
    Defense Services Not Otherwise Enumerated
  • XVIII - Reserved
  • XIX - Reserved
  • XX - Submersible Vessels, Oceanographic and
    Associated Equipment
  • XXI - Miscellaneous Articles

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

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

59
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions
  • Defense Article - any item on the USML,
    including technical data.
  • 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.

60
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions
  • Defense Service the main problem child for
    our contractors -  
  • 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
  • The furnishing to foreign persons of any
    technical data, whether in the United States or
    abroad or
  • A 3rd item generally not applicable to NASA
    activities

61
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Technical Data -
  • information which is required for the design,
    development, production, manufacture, assembly,
    operation, repair, testing, maintenance, or
    modification of defense articles
  • classified information related to defense
    articles
  • information covered by an invention secrecy order
  • software directly related to defense articles.

62
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Technical Data (contd) -
  • does not include information concerning general
    scientific, mathematical or engineering
    principles commonly taught in schools, colleges
    and universities or information in the public
    domain.
  • does not include basic marketing information on
    function or purpose or general system
    descriptions of Defense Articles.

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

64
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Public Domain (contd)
  • at libraries open to the public or from which the
    public can obtain documents
  • through patents available at any patent office
  • through unlimited distribution at a conference,
    meeting, seminar, trade show or exhibition,,
    generally accessible to the public, in the United
    States

65
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Public Domain (contd)
  • through 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.
  • through 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.

66
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Public Domain (contd)
  • 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.

67
The International Traffic in Arms Regulations
(ITAR)
  • Important ITAR Definitions (contd)
  • Public Domain (contd)
  • 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.

68
The International Traffic in Arms Regulations
(ITAR)
  • Temporary v. Permanent exports of defense
    articles
  • 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.
  • 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.
  • Temporary imports
  • Temporary import is generally viewed as an import
    of up to four (4) years, but not always.

69
The International Traffic in Arms Regulations
(ITAR)
  • Examples of Permanent v. Temporary Exports
  • 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
  • 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.

70
The International Traffic in Arms Regulations
(ITAR)
  • Licenses v. Exemptions
  • When required, NASA seeks and obtains ITAR export
    licenses prior to effecting an export
  • As a government agency, NASA enjoys certain
    license exemptions not available to industry
  • These exemptions do not apply in all
    circumstances and never when dealing with
    foreign persons of proscribed countries (22 CFR
    126.1)

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

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

73
The International Traffic in Arms Regulations
(ITAR)
  • License Exemptions (Govt Unique)
  • 22 CFR 125.4(b)(3) - Tech Data Authority Under
    NASA Contracts
  • 22 CFR 125.4(b)(13) - Public Domain
  • 22 CFR 125.5(c) - Tech Data Release and Authority
    for Plant Visits to NASA Contractor Facilities
  • 22 CFR 126.4 - NASA Authority for Tech Data,
    Defense Services and Temporary Hardware Exports

74
The International Traffic in Arms Regulations
(ITAR)
  • Proscribed Countries - 22 CFR 126.1
  • 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.
  • ITAR License exemptions are trumped if a
    foreign person from any of these counties is
    involved i.e., a license must be applied for.

75
ITAR Proscribed Countries - 22 CFR 126.1
  • AFGHANISTAN
  • ANGOLA
  • ARMENIA
  • AZERBAIJAN
  • BELARUS
  • BURMA
  • CHINA (PRC)
  • CYPRUS
  • CUBA
  • HAITI
  • INDIA
  • INDONESIA
  • IRAN
  • IRAQ
  • LIBERIA
  • LIBYA
  • NIGERIA
  • NORTH KOREA
  • PAKISTAN
  • RWANDA
  • SOMALIA
  • SUDAN
  • SYRIA
  • TAJIKISTAN
  • VIETNAM
  • YEMEN (case-by-case)
  • FEDERAL REPUBLIC OF YUGOSLAVIA
  • SERBIA
  • MONTENEGRO
  • ZAIRE

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

77
The International Traffic in Arms Regulations
(ITAR)
  • 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

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

79
The Export Administration Regulations (EAR)
  • 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.
  • Items on the CCL are typically referred to as
    dual-use items.

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

81
CCL Example
  • ECCN 9A004
  • The International Space Station
  • ISS technical data required for Detailed Design,
    Development, Manufacturing and Production remains
    subject to the jurisdiction of the Department of
    State
  • Various Other Pieces and Parts that have been
    CJd or GJd from the USML

82
The Export Administration Regulations (EAR)
  • License Exceptions - 15 CFR 740
  • Selected Examples
  • TMP (use for certain temporary exports up to one
    year - generally requires effective control
    over item exported)
  • GOV (e.g., certain transfers to certain foreign
    govt agencies transfers for use by U.S. govt
    abroad)
  • CAUTION - Only use exceptions after reading all
    conditions/provisions and assuring yourself it
    applies to your particular situation.

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

84
NASAS EXPORT PROCESSING TEMPLATE NASA IMPORTS
  • Paula Geisz
  • Export Control Specialist
  • Office of External Relations

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

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

87
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.
88
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.
89
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
See 126.4 of the ITAR.
ECCN lists possible exceptions. Review GOV, CIV,
TMP, LVS , RPL, etc - see 740 of EAR
No
No
90
Export Processing Template Flowchart
NASA has a Special Comprehensive License for the
Space Station. Do not assume coverage.
There are several exemptions to check. See ITAR
125.4(b)(3), (b)(5),
Is it a model, temporary, etc
Coordinate licenses with your CEA. All license
applications are submitted by the HQ Export
Administrator.
Coordinate with CEA, all applications are
submitted through NASA HQ Export Administrator
91
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.
Work with CEA.
Note appropriate exemption or exception number on
shipping paperwork. Always include a destination
control statement limiting end use to intended
purpose.
Transportation Office can advise you.
92
Classification Requests
  • Classification Requests to BXA
  • If unable or uncomfortable in determining the CCL
    classification of the item to be exported, a
    classification can be requested from BXA. 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.
  • Work with and through your local Center Export
    Administrator to Headquarters

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

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

95
IMPORTS BY or FOR NASA
  • TWO DISTINCT ASPECTS
  • IMPORT LICENSING
  • IMPORT DUTY

96
IMPORT LICENSING - ITAR
  • When NASA temporarily imports ITAR Defense
    Articles, we use our ITAR license exemption
    authority at 22 CFR 126.4 i.e.,
  • authorizes Defense Article imports pursuant to an
    approved international activity
  • When NASA permanently imports ITAR Defense
    Articles, no license is required (27 CFR 47.53 -
    BATF Regs)

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

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

99
IMPORT DUTY (contd)
  • Duty-Free Import Authority (not to be confused
    with whether or not an Import License is
    required)
  • March 23, 1995 -- President issued Proclamation
    No. 6780 with NASAs Current Duty-Free Import
    Certification Authority
  • 14 CFR 1217 -- NASAs Regulation regarding
    Certification Procedures for Duty-Free Imports -
  • authority to certify can be delegated

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

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

102
NASA Foreign Visits Policy
  • Foreign Visits NPD 1371.5/NPG 1371.2 became
    effective in April 1999
  • Delegated approval of all Non-Designated Area
    foreign visits to Centers
  • 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 FNs Home Country
    and/or Organization the deemed export rule

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

104
Foreign Visits at JPL NAS7-1407 w/Caltech
  • Caltech authorized to approve foreign visits of 5
    business days or less for nationals from
    non-Designated Areas
  • NASA approves all other foreign visitors, hosts,
    hires
  • All foreign visitors of 30 days or less at JPL
    are escorted by Caltech personnel

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

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

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

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

109
ALMOST DONE
  • HONEST

110
Foreign Travel by Civil Servants and JPLers
  • NASA Policy and Procedures

111
Foreign Travel of Civil Servants and JPLers
  • Did you know
  • 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 NAS7-1407)
  • In addition to HQs approval, foreign travel is
    also contingent on a Department of State country
    clearance.

112
Which One are You?
  • Im more confused now then when I got here
  • I cant wait to get home and tell my friends
    about this
  • I cant be bothered with this bureaucracy
  • Get these guys off the program
  • Doesnt apply to me
  • My people will take care of it
  • Let me at it
  • This is fun
  • HELP!

113
Bottom Line
  • Every NASA employee has a responsibility to
    observe U.S. export laws and regulations, to
    comply with NASAs Export Control Program and to
    be a responsible exporter

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

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

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

117
Valuable Internal NASA Resources
  • NASA International Agreements and/or Contracts
    (The NASA Deal w/the FOREIGN PARTNER)
  • NPD 2190, The NASA Export Control Program
    (Available in Hardcopy and via the www)
  • NPD 2220.5, Management of NASA Scientific and
    Technical Information
  • NPG 2200.2, NASA Scientific and Technical
    Information
  • NPD/NPG 2210.1, External Release of NASA Software

118
Valuable Internal NASA Resources
  • NPD 2110.1, Foreign Access to NASA Technology
    Utilization Material
  • NPD 1371.5/NPG 1371.2, Coordination and
    Authorization of Visits by Foreign Nationals and
    Foreign Representatives to NASA Installations
  • NPG 2410.9, Automated Information Security
    Handbook
  • NPG 2800.1, Managing Information Technology -
    includes NASA web policy

119
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