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Before Effecting an Before Effecting an Export...Export...

z Understand the authority and the necessity for the“export” -- International Agreement, contract, etc.

z “Classify” the item(s) to be exported (hardware,software, technical data) -- is it ITAR or EAR?

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 licensez Cite exception/exemption/license authority on export

paperwork and comply with requirements of regulations,license and/or agreement.

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HOW DO I KNOW IF AN ITEM ISHOW DO I KNOW IF AN ITEM ISSUBJECT TO CONTROL?SUBJECT TO CONTROL?

z Nobody said it was easy!y determine jurisdiction - ITAR or EARy check with the source of the product (mfr)y seek assistance & ask for help

z Practical Testy Is it appropriate that our worst enemies

have access to the information; i.e.,putting it in the public domain?

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The International Traffic inThe International Traffic inArms Regulations (ITAR)*Arms Regulations (ITAR)*

22 CFR 120-130*Updated via Federal Register Notices

http://www.pmdtc.org/

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Regulations which control the export ofgoods and technical data on the UnitedStates Munitions List (USML) andcertain items on the MissileTechnology Control Regime (MTCR)Annex.

z USML items are mainly “military” innature, with a limited number of “dual-use” items.

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The United States MunitionsThe United States MunitionsList (USML) - 22 CFR 121List (USML) - 22 CFR 121

z I - Firearmsz II - Artillery Projectorsz III - Ammunitionz *IV - Launch Vehicles, etc...z *V - Explosives, Propellants, Incendiary

Agents and Their Constituentsz VI - Vessels of War and Special Naval

Equipmentz VII - Tanks and Military Vehiclesz VIII - Aircraft and Associated Equipmentz IX - Military Training Equipmentz X - Protective Personnel Equipmentz XI - Military Electronicsz *XII - Fire Control, Range Finder, Optical

and Guidance and Control Equipment

z *XIII - Auxiliary Military Equipmentz XIV - Toxicological Agents and Equipment

and Radiological Equipmentz *XV - Spacecraft Systems and

Associated Equipmentz XVI - Nuclear Weapons Design and Related

Equipmentz XVII - Classified Articles, Technical Data

and Defense Services Not OtherwiseEnumerated

z XVIII - Reservedz XIX - Reservedz XX - Submersible Vessels, Oceanographic

and Associated Equipmentz XXI - Miscellaneous Articles

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USML Cat XVUSML Cat XV

z Spacecraft and Associated Equipmenty All spacecraft (except Int’l Space Station)

y Certain GPS Receivers

y Certain Rad Hard Microprocessors

y Uniquely Designed, Modified, ConfiguredSystems, Pieces and Parts for Above

y Technical Data for Above

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Important ITAR Definitionsy “Defense Article” - any item on the USML,

including “technical data”.

x Note: Contrary to popular opinion, DefenseArticles are not exclusively “military” items;e.g., with the exception of the Space Station,all spacecraft are “Defense Articles”; theSpace Shuttle is a “Defense Article”, etc.

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Licenses v. Exemptionsy When required, NASA seeks and obtains ITAR

export licenses prior to effecting an exporty As a government agency, NASA enjoys certain

license exemptions not available to industryy These exemptions do not apply in all circumstances

and never when dealing with “foreign persons” ofproscribed countries (22 CFR 126.1)

y An agreement must be in place to use licenses orexemptions

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z License Exemptionsy The ITAR contains numerous exemptions*

to licensing requirements, but not to the factthat an item is subject to control

x *Use of exemptions is pursuant to the specificprovisions of the ITAR, the NASA ECP and theNASA/Foreign Partner International Agreement

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z License Exemptions (Gov’t Unique)y 22 CFR 125.4(b)(3) - Tech Data Authority

Under NASA Contractsy 22 CFR 125.4(b)(13) - Public Domainy 22 CFR 125.5(c) - Tech Data Release and

Authority for Plant Visits to NASAContractors

y 22 CFR 126.4 - NASA Authority for TechData and Temporary Hardware Exports

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Proscribed Countries - 22 CFR 126.1y If a country appears on the “proscribed country” list, it

is (generally) U.S. policy to deny licenses, or otherapprovals, associated with exports and imports ofdefense articles and defense services, destined for ororiginating in that country.

y ITAR License Exemptions are trumped if a “foreignperson” from any of these counties is involved; i.e., alicense must be applied for.

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ITAR Proscribed CountriesITAR Proscribed Countries - 22 - 22CFR 126.1CFR 126.1

z AFGHANISTANz ANGOLAz ARMENIAz AZERBAIJANz BELARUSz BURMAz CHINA (PRC)z CYPRUSz CUBAz HAITIz INDIAz INDONESIAz IRANz IRAQz LIBERIAz LIBYA

z NIGERIAz NORTH KOREAz PAKISTANz RWANDAz SOMALIAz SUDANz SYRIAz TAJIKISTANz VIETNAMz YEMEN (case-by-case)z FEDERAL REPUBLIC OF YUGOSLAVIA

y SERBIAy MONTENEGRO

z ZAIRE

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Rule of Thumb - NASA seeks and obtainsITAR export licenses fory the permanent transfer of hardware on the USML,y for any export of information (technical data)

required for the detailed design, development,manufacture or production of a Defense Article

y for any transfer of hardware or technical datainvolving a “foreign person” in or from a“proscribed country”.

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The International Traffic inThe International Traffic inArms Regulations (ITAR)Arms Regulations (ITAR)

z Recordkeeping - records must bemaintained on most transfers,regardless of whether or not a licensewas required; i.e., records must bemaintained even when using licenseexemptions

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The Export AdministrationThe Export AdministrationRegulations* (EAR)Regulations* (EAR)

15 CFR 730-774*Updated via Federal Register Notices

http://bxa.fedworld.gov

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The Export AdministrationThe Export AdministrationRegulations (EAR)Regulations (EAR)

z Regulations which control the export ofgoods and technical data on theCommerce Control List (CCL),including certain items on the MissileTechnology Control Regime Annex.

z Items on the CCL are typically referredto as “dual-use” items.

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The Commerce ControlThe Commerce ControlList (CCL) - 15 CFR 774List (CCL) - 15 CFR 774

z Category 0 - NuclearMaterials, Facilities andEquipment and Misc.

z Category 1 - Materials,Chemicals, Microorganismsand Toxins

z Category 2 - MaterialsProcessing

z Category 3 - Electronicsz Category 4 - Computers

z Category 5 -Telecommunications andInformation Security

z Category 6 - Lasers andSensors

z Category 7 - Navigation andAvionics

z Category 8 - Marinez Category 9 - Propulsion

Systems, Space Vehiclesand Related Equipment

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CCL ExampleCCL Example

z ECCN 9A004y The International Space Station*

x *Technical Data at the Detailed Design, Development,Manufacturing and Production Level remain subject to thejurisdiction of the Department of State/ITAR

y Various Other Pieces and Parts that havebeen CJ’ed from the USML

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The Export AdministrationThe Export AdministrationRegulations (EAR)Regulations (EAR)

z License Exceptions: There are 15 EARlicense exceptions, usable by bothGovernment and industry

z An agreement must be in place touse licenses or exceptions

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The Export AdministrationThe Export AdministrationRegulations (EAR)Regulations (EAR)

z Rule of Thumb for Controlled Exportsy Unless a license exception exists for

which the export qualifies, NASA seeksand obtains export licenses from BXA

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ALMOST DONEALMOST DONE

HONEST

5/2/01 55

Which One are You?Which One are You?

z I’m more confused now then when I got herez I can’t wait to get home and tell my friends about

thisz I can’t be bothered with this bureaucracyz Get this guy off the programz Doesn’t apply to mez My people will take care of itz Let me at itz This is funz HELP!

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John’s son and a couple of His pals relax after a long day

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Bottom LineBottom Line

z Everyone working with NASA --including NASA employees andcontractors -- has a responsibilityto observe U.S. export laws andregulations, to comply withNASA’s Export Control Program,and to be a “responsible” exporter

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Where Can I Get Help?Where Can I Get Help?

z Call a NASA Center ExportRepresentative, or

z Call Washingtony John Hall or Paula Geisz - 202-358-0330

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Export Control @ NASA HqsExport Control @ NASA HqsPoints-of-ContactPoints-of-Contact

z Code AE/Dick Weinsteinz Code AF/Greg Reckz Code AO/Roland

Ridgewayz Code F/Jim Gormanz Code H/Patrick Flynnz Code J/James Hawkinsz Code J/Robert Turner

z Code M/Barbara Addez Code P/Debbie Rahnz Code Q/Dale Moorez Code R/Bob Luddyz Code S/Marc Allenz Code U/Candy

Livingstonz Code Y/Greg Williamsz Enterprise Codes

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Export Control @ NASAExport Control @ NASACentersCentersz ARC/IVV

y Raj Shea/Acting CEAy Linda Franklin/CEC

z DFRC

y Joe Ramos/CEA

y Dave Samuels/CEC

z GSFC/WFFy J.R. Hedgpeth/CEAy Larry Watson/CEC

z JPL/Caltechy Ed Momjian/CalTech

z JSC/WSTF

y Jennifer Mason-Korecki/CEA

y Donna Bartoe/CEC

z KSCy Sam Lewellen/CEAy Don Schiller/CEC

z LaRCy Sam Capino/CEA

y Mike Mark/CEC

z GRC

y Larry Viterna/Acting CEAy Eli Naffah/CEC

z MSFCy Bob McBrayer/CEA

y Jim McGroary/CEC

z SSC

y Vince Andres/CEAy Ken Human/CEC

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Valuable Internal NASA Valuable Internal NASA ResourcesResources

z NASA International Agreements and/orContracts (i.e., The NASA “Deal” with theFOREIGN PARTNER)

z The NASA ECPhttp://www.hq.nasa.gov/office/codei/nasaecp

z NPD 2110.1, Foreign Access to NASATechnology Utilization Material

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