Export & Import Control, Foreign Nationals & Foreign Travel @ NASA

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

2. Export Control & Foreign Nationals - Activities & Overview • 1999/2000 (cont’d) • Audits and Reviews (cont’d) • 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 NASA’S 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 we’ve 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 Iran’s 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 • It’s 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 (cont’d) • 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 (cont’d) • 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. GRC - 1 of 1 GSFC - 9 of 11 HQ - 2 of 2 JPL - 2 of 2 80% Response - >75% gets the applause JSC - 5 of 7 KSC - 1 of 3 LaRC – 2 of 2 MSFC - 6 of 7 IPM-15 Survey Feedback - 28 of 35

11. 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 IPM-16 Survey Feedback - 19 of 33

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, ESA’s 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. Here’s 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 • That’s 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 It’s ... • 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, we’re 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 it’s 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 It’s 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 don’t 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. 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

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

41. Export Control @ 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 (cont’d) • 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 (cont’d) • 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 NASA’s Responsibilities • Be Aware and Think before you “export” • Don’t be intimidated by the rules - help is available --- ask for it

46. NASA’s International Agreements • NASA’s 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 • NASA’s 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 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. • 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