1 September 18, 2006 Commercial Space Launch Vehicles Lessons Learned Needs Workshop Ken Hodgdon Export Control and Interagency Liaison Division Office of External Relations NASA Headquarters

2 Agenda  Overview: Some Basic Principles  What is an Export?  What is Export Control?  What are the Laws that Control Exports?  Why Should I Care?  What is Subject to Export Control?  What is NOT Subject to Export Control?  What is the NASA Export Control Program?  Summary, For More Information...

3 OVERVIEW: Some Basic Principles

4 What is an Export ?  The transfer of anything to a “FOREIGN PERSON” or a foreign destination 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”  Therefore, it’s all of the following and more:  Placing information on the Web; making data available through ftp sites  Placing information in the Public Domain  Verbal discussions with foreign nationals; presentations to groups that include foreign nationals  Hand-carrying items outside the U.S.  Traditional shipments of items through transportation offices to destinations outside the U.S.  Mailing, faxing, ing items outside the U.S. – or to foreign nationals within the U.S.

5 What is Export Control?  Export Control is the regulation (including prohibition) of “exports” for reasons of:  National Security (NS)  Foreign Policy (FP)  Proliferation (MT, NP, CB)

6 What are the Laws that Control Exports?  International Traffic in Arms Regulations (ITAR) (22 CFR )– promulgated under the Arms Export Control Act of 1976, 22 U.S.C. §§ 2778 et seq.; control the export of goods and technical data on the United States Munitions List (USML). USML items are mainly “military” in nature  Export Administration Regulations (EAR) (15 CFR ) – promulgated under the Export Administration Act of 1979, 50 U.S.C. app. §§ 2401 et seq.; control the export of goods and technical data on the Commerce Control List (CCL). Items on the CCL are typically referred to as “dual-use” items  In some cases, controls exist on assistance, training, technology (technical data & software), and hardware—even if all of the information is in the public domain

7 Why does NASA care?  Exporting is a “privilege”, not a “right”  Exporting 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  Both the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR) apply to our international activities  Controls exist on assistance, training, technology (technical data and software), and hardware  And, export control violations can -- and do -- lead to criminal prosecution

8 Why Should I Care?  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

9 What is subject to Export Control?  ITAR (International Traffic in Arms Regulations) Controls predominantly military “Technical data,” “Defense articles,” & “Defense services”  Technical Data includes “information which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions and documentation”  classified information related to defense articles  information covered by an invention secrecy order  software directly related to defense articles  Defense articles are predominantly military items listed on the ITAR’s U.S. Munitions List (USML)

10 What is subject to Export Control?  EAR (Export Administration Regulations) Controls dual-use “Technology” and “Commodities”  Technology includes “information necessary for development, production, or use of a product” listed on the Commerce Control List (CCL). The information takes the form of "technical data" or "technical assistance“;  Commodities are dual-use (both civil and military applications) items listed on the EAR’s Commerce Control List (CCL).  Data in the Public Domain is not subject to export control; generally, it is eligible for “unlimited” dissemination  Data subject to export control is restricted in its dissemination  May require a license  May be eligible for a license exception/exemption

11 What is NOT subject to Export Control?  Export-Controlled Technical Data – 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”.  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

12 What is NOT subject to Export Control?  Public Domain (cont’d) –  information which is published and which is generally accessible or available to the public: 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; 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.

13 What is NOT subject to Export Control?  Public Domain (cont’d) –  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. 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.

14 Public Domain v. Export Controlled Information  Not all “exports” are controlled  Information in the Public Domain is “uncontrolled” and is eligible for unrestricted dissemination  Information subject to Export Control is restricted for dissemination May require a license, or May be eligible for a license exception or exemption

15 The NASA Export Control Program

16 Export Control Compliance: Part of the NASA Mission  “It is NASA policy to ensure that exports and transfers of commodities, technical data, or software to foreign persons are carried out in accordance with United States export control laws and regulations, and Administration and NASA policy.”  NPD , Section 1.a. (May 24, 2001)  “‘We want to maximize the benefits of our international efforts while ensuring that we comply with U.S. export control laws and regulations.’ This is the personal responsibility of each employee.”  NPR , Section P.1. (April 10, 2003) Export control compliance is everyone’s job at NASA

17 Summary: Where Can I Get Help?  Call Your Local NASA Export Control Officials   Call Washington  John Hall or Ken Hodgdon

18 Valuable Internal NASA Resources  NPD/NPR , The NASA Export Control Program  NPD , Management of NASA Scientific and Technical Information  NPR B, NASA Scientific and Technical Information  NPR A, External Release of NASA Software  NPD E, Foreign Access to NASA Technology Transfer Materials  NPD A, Coordination and Authorization of Access by Foreign Nationals and Foreign Representatives to NASA  NPR Security of Information Technology - includes NASA web policy