Table 4 lists applicable NASA policy documents relevant to export control processes referenced throughout this manual. Table 4: Applicable NASA Policy Documents , “Authority to Enter into Space Act Agreements” , “Initiation and Development of International Cooperation in Space and Aeronautics Program” , “NASA Records Management” , “NASA Records Retention Schedules (NRRS)” , “NASA Correspondence Management and Communications Standards and , “NASA Security Program Procedural Requirements” , “National Security Programs” , “Identity and Credential Management” , “Marking Recorded SBU Information” , “Facility Security Assessments” , “Physical Security Requirements for NASA Facilities and Property” , “NASA Counterintelligence and Counterterrorism” , “NASA Export Control Program” , “NASA Export Control Program , “Management of NASA Scientific and Technical Information” , “Requirements for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information (STI)” , “Personal Use of Government Office Equipment Including Information Technology”
training, such as the EC Processes: On-the-Job Training, as described in Section 4.4, and any other Center-sponsored training for export compliance. ECRs are encouraged to attend the Annual ECP Review to keep abreast with the latest information that is shared with the broader EC community. Some Centers conduct periodic export compliance training specifically targeting the ECRs, training opportunities are a valuable resource for ECRs across all Centers and should be utilized whenever appropriate. Supervisors may also encourage ECRs to obtain external training, as appropriate for their level of responsibilities pertaining to export control duties. Table 5: Summary of ECP Training Target Audience All Personnel Center & Mission Directors and their management staff including Program & Project Managers Non-EC Personnel Export Control Staff including CEAs, ACEAs, ECRs, CERs, and other support staff CEAs, ACEAs ECRs, CERs Training Delivery SATERN Online SATERN Online with F2F ECILD or CEA staff SATERN Online with F2F CEA or his/her designee SATERN Online with F2F CEA or his/her designee Available in SATERN -F2F with OIIR -Annual ECP Review -External Certification Training -EC Process: OTJ -Center Sponsored -Annual ECP Review -External Training
See below for examples of situations when AES filing is probably not required; this not an exhaustive list and Customs reserves the right to require AES filing for items that don’t normally require AES filing: Miscellaneous Exemptions (See ) Yes No Special exemptions for shipments to the U.S. Armed Services (See ) Yes No Special exemptions for certain shipments to U.S. government agencies and employees (See ) Yes No Below $2500 per Schedule B, if not subject to an ITAR / EAR export license Yes No Export of technical data and defense service under the ITAR DSP-5 license, Technical Assistance Agreement or TAA exemption, but must report electronically directly to DDTC in accordance with . Yes No Shipping to Canada, if not subject to an ITAR / EAR export license or is EAR / ITAR controlled but exempt from licensing, excluding all 500 and 600 series items in the CCL . Yes No For EAR Shipments exempt from AES Filing see : License Exception Baggage (BAG), as set forth in §740.14 of the EAR. See 15 CFR 30.37(x) of the FTR; Yes No License Exception Gift Parcels and Humanitarian Donations (GFT), as set forth in §740.12 of the EAR. See 15 CFR 30.37(h) of the FTR; Yes No License Exception Aircraft and Vessels (AVS), as set forth in §740.15 of the EAR. See 15 CFR 30.37(o) (5) of the FTR; Yes No License Exception Governments and International Organizations (GOV), as set forth in §740.11 of the EAR. See 15 CFR 30.39 and 30.40 of the FTR; Yes No License Exception Technology and Software Under Restriction (TSR), as set forth in §740.6 of the EAR. See 15 CFR 30.37(f) of the FTR; or Yes No
14 **Approved access is limited to information that be approved for the public domain and to specific non-public domain NASA data required under Space Act Agreement. Controls to restrict the individuals access only to information that is allowed under the [ISS] agreement that is not controlled for Missile technology reasons. Active 15 [__________] is responsible for acquiring export license authority if required. Active 16 Visit is in support of [__________] activity and should be coordinated with [__________]. Active 17 Host should confirm [__________] approval. Active 18 Copies of the visit approval provisos/conditions are to be provided by the JPL host to all JPL employees and on-site contractor employees working with this foreign person. Active 19 No access to U.S. Government or NASA technical data, IT systems/networks, email, equipment, software (including source code), programs and systems authorized, except as authorized by approved Technical Assistance Agreements. Active 20 **Access to the CERN/HOSC computer is remote access only and only approved in the partitioned area, and only valid for 2 years at a time. Active 21 ***Any Remote IT Access is only permitted from an IP Address within the U.S. Access from an IP Address within China is prohibited Active 22 ***Visit is only approved for 2 years-(through ---) Active 23 **Approved access for one year and require annual updates-through (___). Active 24 Remote access only. No physical access to NASA facilities Active 25 **Caltech/JPL is authorized to transfer only that NASA-controlled technical data regarding (-------) necessary to fulfill its obligation under TA (----). Transfer of other NASA non-public domain technical data in support of this TAA requires prior NASA approval. Active 26 Escort requirements are to be consistent with the Interim Policy Regarding Foreign National Access Management dated April 2, 2014 and “National Security Program” Active controlled
Title 15 – Commerce and Foreign Trade, Subtitle B, Ch.1, Subpart A, Part 30 Title 22 – Foreign Relations, ITAR, Department of States, Ch.1, Subchapter M 27 – Alcohol, Tobacco Products, and Firearms, Part 447, Subpart 447, Subpart F
Intermediate consignee - the person that acts as an agent for a principal party in interest for the purpose of effecting delivery of items to the ultimate consignee. The intermediate consignee may be a bank, forwarding agent, or other person who acts as an agent for a principal party in interest. . License - authority issued by the Bureau of Industry and Security authorizing an export, reexport, or regulated activity. The term “license” does not include authority represented by a “License Exception.” . License Exception - an authorization described in part 740 of the EAR that allows you to export or reexport, under stated conditions, items subject to the EAR that otherwise would require a license. Unless otherwise indicated, these License Exceptions are not applicable to exports under the licensing jurisdiction of agencies other than the Department of Commerce. . Missile Technology Control Regime (MTCR) - the United States and nations in this multilateral control regime have agreed to guidelines for restricting the export and reexport of dual-use items that may contribute to the development of missiles. The MTCR Annex lists missile-related equipment and technology controlled either by the Department of Commerce's Bureau of Industry and Security—Export Administration Regulations (15 CFR Parts 730 through 799) or by the Department of State's Directorate of Defense Trade Controls—International Traffic in Arms Regulations (22 CFR Parts 120 through 130). Missile Technology Export Control Group (MTEC) - chaired by the Department of State, the MTEC primarily reviews applications involving items controlled for Missile Technology (MT) reasons. The MTEC also reviews applications involving items not for MT reasons, but destined for a country and/or end-use/end-user of concern. Publicly Available Information-information that is generally accessible to the interested public in any form and, therefore, not subject to the EAR. . Publicly Available Technology and Software- technology and software that are published or will be published; during, or result from, fundamental research; are educational; or are included in certain patent applications. and . Re-export-shipment from one foreign country to another foreign country. For purposes of the EAR, the export or reexport of items subject to the EAR that will transit through a country or countries, or be transshipped in a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country. See .