original form or after being incorporated into other items, without first obtaining approval from the U.S. government or as otherwise authorized by U.S. law and regulations. It is a best practice to include the export authorization and classification on shipping documents. NPR 2190.1, “NASA Export Control Program” recordkeeping requirements are based on U.S. laws, implemented through the ITAR and the EAR. Failure to comply with export control laws and regulations for recordkeeping can result in export violations. “NASA Records Management” provides the following direction for managing and retaining NASA records: “Effectively and efficiently manage Agency records, regardless of format or media (including paper, microform, electronic, and audiovisual), throughout their life cycle in order to facilitate the Agency's programmatic and administrative missions.” (1)(a)(4) “Preserve, maintain, and disposition NASA records in accordance with NASA Records Retention Schedules (NRRS) 1441.1, and/or National Archives and Records Administration's (NARA) General Records Schedules. Destruction of any records, regardless of format, without an approved schedule is a violation of Federal law.” (1)(a)(5) Recordkeeping requirements for NASA’s Export Control Program include: – Documents for export control program administration that are not controlled/protected – Documents that contain export-controlled information that must be properly marked and protected – Documentation of transactions that release or deny release of export-controlled items to foreign persons and/or foreign destinations
8: Information Required for CEA Monthly Reports to HEA Control Number Authorization Destination Foreign End User AES/ACE Filing Number (If filing was not required, enter N/A) AES/ACE Filing Date Permanent or Temporary? Item Tech Data? (Y/N) Ship Date Return Date (if applicable)
NASA’s Export Control Processes: On-the-Job Training Module 1: Introduction Audience: All Personnel Description: This module provides an overview of export control laws and regulations and NASA’s Export Control Program and is the foundation for NASA’s Export Control On-the-Job training modules 2 and 3. Note: Online/SATERN and/or F2F with CEA Instructor SATERN Course ID: LOI 2 As required and/or assigned by CEA; Completion of a topic/course is tracked by the LMS; A Completion Certificate is available to download or print from the Learning Plan history. Learning Activities for Module 1: Currently there are 2 Learning Activities (LAs) for Module 1 topics. Learning Activities may not be appropriate for every topic. Online/SATERN (and/or F2F with CEA Instructor) LOI 2-3 As required and/or assigned by CEA; Completion Certificate sent to CEAs and/or Center SATERN Coordinator NASA’s Export Control Processes: On-the-Job Training Module 2: Processes for All Personnel Audience: In general, all NASA personnel with potential involvement in exports on behalf of the Agency, or whose job may involve elements of export control including contractors including: Program & Project personnel Export Control Staff (ECRs and CERs) Points of Contact (POCs) Description: Module 2, has 12 standalone topics which may be assigned as appropriate by the CEA to personnel, or completed by individuals for professional growth in the field of Export Control. Online/SATERN or F2F with CEA Instructor SATERN Course ID: LOI 2 As required and/or assigned by CEA; Completion of a topic/course is tracked by the LMS; A Completion Certificate is available to download or print from the Learning Plan history. Learning Activities for Module 2: Currently are 9 Learning Activities (LAs) for Module 2 topics. Online/SATERN (and/or F2F with CEA Instructor) LOI 2-3 As required and/or assigned by CEA; Completion Certificate
Learning Activities may not be appropriate for every topic. sent to CEAs and/or Center SATERN Coordinator NASA’s Export Control Processes: On-the-Job Training Module 3: Processes For NASA Export Control Staff Audience: All NASA Center Export Control (ECS) and others within programs and projects at the Centers, including Export Control Representatives and Center Export Representatives. Description: This module includes the detailed procedures and steps in the process to perform EC functional requirements; determining jurisdiction and classification; completing an AES filing; and other topics. In development (estimated release date- first half of 2017) Online/SATERN LOI 2-3 CEAs may determine and assign the topics within this module to ECS personnel, and others as appropriate. Completion of topic/course is tracked by LMS; A Completion Certificate is available to download or print from the Learning Plan history. Initial/Refresher Export Compliance Training Initial/Refresher Export Compliance Training Audience: NASA Center Export Control Staff (ECS) and others within programs and projects at the Centers Description: This training includes the basics of Export Compliance, Export Control terms and information, and provides integrated scenarios and exercises as opportunity to apply knowledge presented in the training. Online/SATERN 50-55 min In development (estimated release date –2017) LOI 2-3 As required and/or assigned by CEA. Completion of topic/course is tracked by LMS; Completion Certificate is available to download or print from Learning Plan history. “Advanced” Training NASA’s Export Control “Advanced” Training: Using Exemptions and Exceptions Audience: CEAs and ACEAs This training is developed by NASA HQ to broaden CEA responsibilities to include determining the appropriate use of TBD LOI 3 TBD
If you answered “Yes” to both questions above, your shipment is exempt from AES filing; sign the bottom of this form and attach it to the shipping form. If you answered “No” to either of the above questions, proceed to fill out the rest of this this checklist. 1. Is this shipping on a DSP-5 export license? If “Yes”, fill out the questions following and proceed to sections 5 and 6. If “No”, continue to section 2. Yes No Are the parties to the transaction on the license (forwarder/carrier, consignees)? Yes No Has the license been lodged with customs? Yes No Is the remaining value on the license enough to cover export? Yes No Is the license still valid (not expired or exhausted)? Yes No Is the departure date correct? Yes No Is this shipping via Freight Forwarder and is the Forwarder on the license? If “Yes”, did you identify the forwarder in the AES filing? Yes Yes No No Did you select the correct “Export Code” and “License Type”? Yes No Do you have the correct Schedule B? Yes No Is the USML category correct? Yes No If this is Significant Military Equipment (SME)? If so, did you identify this in the AES filing? Yes No Did you update the license defragmentation spreadsheet? Yes No 2. Is this shipment a DSP-73? If “Yes”, fill out the questions following and proceed to sections 5 and 6. If “No”, proceed to section 3. Yes No Did you provide the carrier/forwarder with a copy of the license to be deposited, decremented and endorsed by USCBP prior to exit and entry? Yes No Are the parties to the transaction on the license (forwarder/carrier, consignees)? Yes No
Ultimate consignee - The principal in interest located abroad who receives the exported or re-exported items. The ultimate consignee is not a forwarding agent or other intermediary, but may be the end-user. See . Associate/Assistant/Alternate – Associate/Assistant refers to part-time; Alternate refers to Document Availability Authorization (DAA) – The DAA review is NASA's compliance review for the publication, dissemination, and presentation of NASA STI by or for NASA through any channel or media. The DAA review determines if STI needs to have restricted access, such as for export-controlled information, proprietary STI, and documents disclosing an invention (see Section 4.5.2 of ). Export Administrative Records – Documents for export control program administration that are not controlled/protected. Examples of Export Administrative Records include: training records, program reports, database information, correspondence, and classifications. Export authorization- an export authorization includes: a license, a license exemption, a license exception, or No License Required (NLR). Export Control Records – Documentation of transactions that release or deny release of items to foreign persons and/or foreign destinations. Examples of Export Control Records include: Export licenses obtained by NASA HQ for the Centers Documents authorizing the public release of export-controlled information released into the public domain including websites Records certifying the use of exemptions or exceptions for exports other than shipping (oral/visual in meetings or electronic transfers) Mailing and shipping documentation for export-controlled transactions (invoices, bills of lading, Automated Export System (AES) filings, etc.). Export control-related property disposal records Meeting records Records of electronic transfers Export controls - restrictions applied by the U.S. Government to the transfer of certain goods, services, software, technical data, and technology to foreign entities.
Requestor’s Number: 3 Detailed Description: Description of Item(s) and/or Activities, including jurisdiction and classification of all Input quantity and total value of items OR attach spreadsheet: All foreign destinations with addresses: All end-uses: All end-users (if any), with addresses: Provide the NASA mission-related reason for the export/import transaction (e.g., to support international agreement, foreign travel/deployment by NASA employee(s) to support a NASA-related mission, etc.): If the request is as a result of an International Agreement, attach a copy of the fully executed agreement to the completed checklist before sending it via email to the CEA/ACEA. Highlight the specific section(s) and paragraph(s) that apply to this request. 4 List all U.S. and foreign parties to the transaction. Do all U.S. and foreign parties to the transaction pass the list checks (e.g., Denial Screening Check) Yes No (If No, use of an exemption may not be authorized; if CEA/ACEA still wants to move forward, discuss with the HEA.) 5 Are you requesting use of an ITAR exemption or EAR exception in order to export a commodity that will remain under the effective control of a NASA person for the duration? Yes No 6 Is additional documentation required (e.g. written assurances, prior consignee statement, etc.) or pre-export approvals or notifications required from/to U.S. Gov’t Regulators? (e.g., STA eligibility approval, CIV Foreign National Review Request Approval; etc.) Review the appropriate regulations to make this determination: Yes No If No, “None Required.” If Yes, list the additional documentation required and provide the list to the Requestor. For completion by CEA/ACEA
Attach the documentation provided by the Requestor to the completed checklist. 7 To the best of my knowledge, all the federal regulatory conditions required for use of the exemption or exception have been successfully met: Yes No NA 8 List the provisos you (i.e., the CEA/ACEA) will apply (if none, state “None”): 9 Requesting HEA approval to use EM/EC listed in Block 1. Requesting delegated authority for use of EM/EC: (Provide the justification for delegation of authority and clearly define the scope of your request.) CEA/ACEA has delegated authority 10 HEA or Delegated CEA/ACEA Approver (the request is approved if electronic signature is present) Date of Approval HEA/CEA Provisos / Conditions: See pages ______ [HEA fill-in] of this checklist for the list of _______ [HEA fill-in] HEA mandatory provisos. Use of _________ [HEA/CEA/ACEA fills in specific EM/EC] is Approved HEA Delegation of Authority to CEA for use of _________ [HEA fills in specific EM/EC] is Approved For HEA or Delegated CEA/ACEA Approver 11 Required Post-Approval: After approval, the Requestor must record these dates and notify the Approver (HEA/CEA/ACEA) if return date is not met. Actual Ship/Transfer Date(s) If an AES filing is listed as a Mandatory Proviso, enter the AES number(s) and date(s) of the filing: AES number(s): Date of AES filing (s): For Temporary Exports: Enter Actual Return Date(s) For completion by Requestor Post- Approval Notifications to HEA
Instructions: Please record all responses on this checklist in red text. Review this checklist in its entirety prior to using. In general, license exemption can be used for NASA programs/projects which have a valid international agreement in place. This checklist is only a The approver must carefully review the current ITAR before issuing the approval to use either the 126.4(a) or 126.4(c) exemption. If the CEA/ACEA has any concerns, contact the HEA prior to submitting this checklist to the HEA or approving use of the 126.4(a) or 126.4(c) exemption, if an HEA delegation is in place. In general, license exemptions 126.4(a) and 126.4(c) are not available if any of the following apply to the items to be exported: Embargoed/sanctioned countries (e.g., ) are involved in the transaction. Missile Technology Control Regime (MTCR) items () or the entries for these items are annotated with a “MT”. Significant Military Equipment (SME) () Ineligible entities (e.g., ) (i.e. Denial Screening Check) For all completing this Checklist 1 Short Descriptive Title of Request: Center: Name of CEA/ACEA: Click here to enter text. Date of Request: Expected Ship Date(s): Expected Return Date: Program/Project (No acronyms): Requestor’s Office Symbol/Code: Requestor’s Email Address: Requestor’s Phone Number: For completion by Requestor 2 Detailed Description: Description of each item(s), including Category and sub-category: All foreign destinations with addresses: All end-uses: All end-users, with addresses: Click here to enter text. Valid International Agreement required for use of 126.4(a):
In turn, the CEA/ACEA will “immediately” notify the HEA in writing (i.e., e-mail) of the nature of the violation, which includes relevant details. The CEA/ACEA includes the Control Number in the notification. Date CEA/ACEA was notified: Date HEA was notified in writing: For completion by CEA/ACEA 14 Date Case Closed (Transaction is complete and all EAR and NASA Requirements were met and completed, and documentation is on file.): Closure Comments: This CEA/ACEA signature signifies the case was properly closed: For completion by CEA/ACEA