JWI2190.1.pdf

Johnson Space Center Work Instruction (JWI)

JWI No.: 2190.1E Effective Date: 08/06/2019

Expiration Date: 08/06/2024

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Compliance is Mandatory

JSC EXPORT COMPLIANCE

Responsible Office: Center Operations Directorate

Original Signed By:

Joel B. Walker Director, Center Operations

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JSC Form JF2420D (Rev. April 3, 2012) (MS Word August 28, 2006) http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml

JSC Export Compliance JWI No. 2190.1E Effective Date: 08/06/2019

Expiration Date: 08/06/2024 Page Number 2

OPR Internal Concurrence Page

Original Signed By:

L. Ari Blum, Center Export Administrator

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Effective Date: 08/06/2019

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CHANGE RECORD

Rev. Date Originator/Phone Description

Baseline 6/26/09 JB/L. Blum x33431

Complete rewrite of CWI J29W01 to new JWI format

A 11/20/09 JB/L. Blum x33431

2.2 Document requirement for 10

working day lead time for support requests to the EST.

Update 9.2.14 to clarify use of TMP exception - when a letter and notification to EST is not required.

Update 9.3.5.2 to correct reference to JWI 6050.1 and correctly reflect requirements from the JSC Transportation and Services Branch and clarify that ALL hand carried laptops shall be processed through Logistics in Building 419.

9.3.6 Updated process references to

JWI1371.1

Change 1 09/22/10 JB/L. Blum x33431

Update 9.3.5.2 to correctly reflect requirements from the JSC Transportation and Services Branch.

Update Paragraph 2.2 to clarify that ECRs must notify the JSC-EST when approved export documentation is needed before the planned export date.

Update 9.3.5.1 to remind personnel to confirm which additional forms are required for hand carried items with JSC Transportation and Shipping.

B 08/30/11 JB/L. Blum x33431

Rewrite of JWI to incorporate Export Records Database process, improvements and clarifications, changes to 9.3.2 exports via JSC mail room and shipping office, and rewrite

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Expiration Date: 08/06/2024 Page Number 4

9.3.3.1 which introduces a new form JF384 “ECR Web Site/Web App Review.”

Delete out of date references to JWI JF1371.1, JF1724 and JF1735.

C 8/05/13 JB/L. Blum x33431

7(d) Require Organizations to notify the Export Service Team when Export Control Representatives leave/retire/change jobs/etc.

Revise Section 8.3(d) to reflect language in NPR 7120.5 regarding early notice of exports in Technology Development Plans.

Add 8.7, Property Disposal Officer.

Remove references to deleted Appendix D.

Revise 9.2.20, Verification Of End Use And Additional Reporting to correctly reflect requirements.

Corrected URL links.

D 3/10/14 JB/J Elam x34028

Update 8.3.c to address the DD1149 process and entries into the P&E tracking system by the Logistics Support Contractor.

Update 8.4.2 and entire document to correctly identify the name of JB7.

Add NID 1600.55, “Sensitive But Unclassified (SBU) Controlled Information” in Section 4 and 9.3.4.d.

Update 9.2.2 (c, d, e, and f) to correctly reflect the process for ECRs to obtain access to the Visual Compliance Tool and report any positive hits.

Rewrite 9.3.3.1 which introduces improvements, clarifications, and changes to the JF384 process (ECR Web Site/Web App Review) – i.e., Verify correct version before use at http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml.

Expiration Date: 08/06/2024 Page Number 5

JF384 annual renewal process/workflow, NAMS approval workflow for foreign national (FN) access to Web sites/apps with export controlled data, EST approval criteria for the FN NAMS requests, and requirement for JF384 to be initiated by the Registrant or Responsible NASA Official for new Web sites/applications and JF384 requirement added to the ADSCB checklist.

Update 9.3.4 as follows: Add JPD

2200.2 to b, as well as Section 3 (Authority); update (d) to include requirement for employees to properly dispose of protected or controlled STI material; add NASA STI process using NF1676 and JF583; and rewrite (f) to address changes to previously-released papers.

Update 9.3.6 and 9.3.6.1 – change title and section to include acronym (FN) for foreign national and add sentence to “a” regarding IdMAX. Change outdated Interim Directive NM 1600-95 to NPR 1600.4. Add new paragraphs [d.(3)] identifying required IdMAX attachments and [d.(4)] advising ECRs how to obtain “Support View Only” role in IdMAX, which will allow them to use Identity Status Viewer to see a FN’s non-PII information. Add new paragraphs f, g, and h with minor changes (previously c, d, & e) in 9.3.6.2.

Change title of 9.3.6.2 to “Access Control Plan (ACP) and ISS Technology Transfer Control Plan (TTCP).” Add new introductory paragraph. Delete c, d, and e in this section and add c, d, and e to 9.3.6.1.

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Expiration Date: 08/06/2024 Page Number 6

Delete reference to Interim Directive NM 1600-95 and made minor changes to paragraphs a and b and add new paragraphs for 9.3.6.2 – (d), (e), and

(f) regarding ISS TTCP, ACP/IdMAX end dates, and cancellation or termination of ACP/IdMAX requests.

Add reference to FN participation in WebEx and Lync meetings in 9.3.6.1(g).

Add new 9.3.6.3 entitled FN escorts.

Update Appendices A, B, and C. Add Appendix D (Reference Documents);

and Change Figures A and B to Appendices F& G.

Page 2/10/15 JB/J Elam Update 9.3.3.1 to address the release Change 1 x34028 of STI on JSC public Web sites.

Update 9.3.4 to address the JF1676/DAA limitations and unmarked export-controlled data or un-cleared STI found on public Web sites during the JF 384 review process.

Update 9.3.7(5) to add flow down from NPR 2210.C (2.6.3.1) that requires the CI to be consulted for release of Command and Control software.

Page Change 2

7/18/17 JB/A Blum x33431

Add 9.3.4 k. ECR requirement; card to notify the CEA of FOIA requests.

E 8/20/2019 JB/J Elam x34028

Major rewrite to include the following:

Dispositioned Comments Received on 6-14-2017; Updated Table of Contents, Applicability (Chapter 2), Authority (Chapter 3), Applicable Documents/Forms (Chapter 4), Personnel Training & Certification (Chapter 7), Responsibilities (Chapter 8), Procedure (Chapter 9), and Appendices (Chapter 11); Added Hand

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Expiration Date: 08/06/2024 Page Number 7

Carry of NASA or Government- Furnished Equipment on Personal Travel, IT/logical assets without NAMS workflows, ERDB Requirement for FN NAMS Requests for Smartphones/Cellular Devices (Hardware), Required Approvals Prior to International Travel, Personal Travel under International Travel, HQ NDA Requirement/Template for Foreign Entities, Notification Process for Export Control Violations, Potential Violations, and/or Voluntary Disclosures, and References to Detailed EST Processes in the EST Operations Manual, JAII 2190, such as Offsite Meetings Involving FNs Requiring Access to Export-Controlled Information and FN Tours; and Deleted Broken Links, Appendix E (Web sites & Web pages) and, Detailed Information Addressed in EST Operations Manual (JAII 2190);

etc.

Administra tive Change 1

8/30/2022 Judith Elam Minor corrections to the Table of Contents.

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Expiration Date: 08/06/2024 Page Number 8

TABLE OF CONTENTS

CHANGE RECORD

TABLE OF CONTENTS

1 PURPOSE

2 APPLICABILITY

3 AUTHORITY

4 APPLICABLE DOCUMENTS AND FORMS

5 SAFETY PRECAUTIONS AND WARNING NOTES

6 TOOLS, EQUIPMENT, AND MATERIALS

7 PERSONNEL TRAINING AND CERTIFICATION

8 RESPONSIBILITIES

a. General

b. Exporters

c. Export Control Representative (ECR)

d. Program or Project Manager (PM)

e. Center Export Administrator (CEA)/Alternate CEA (ACEA)

f. Export Services Team (EST)

g. JSC Transportation and Support Services Branch

h. Center Director

i. Center Export Counsel (CEC)

j. Headquarters Export Administrator (HEA)

k. Property Disposal Officer (PDO)

l. Contracting Officer (CO) or Contracting Officer’s Representative (COR) ... 18

9 PROCEDURE

a. General

b. General Questions to Begin the Process

c. Requesting Authority to Export

d. Entering an Export Record into ERDB

e. ECR Review of ERDB Record

f. EST Review of ERDB Record

g. EST Disposition of Records

h. Procedures for Handling Non-Compliance

i. International Travel

j. Hand Carry of Hardware, Software, and Data

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k. Hand Carry of Laptops and Other Handheld Computer Devices

l. Hand Carry of NASA or Government-Furnished Equipment

m. Exports via Shipments by the JSC Transportation and Support Se

n. Shipping Printed Material (Software or Technical Data)

o. Official Mail to Foreign Persons and Foreign Destinations

p. STI - Public Release of Technical Data (Document Availabilit

q. Electronic Transfer of Technical Data (Information)

r. Foreign National (FN) Access

s. IdMAX Access Control Plan (ACP) and Technology Transfer Control

t. Processing Various Types of FN Requests

u. Tours Involving FNs

v. FN Escorts

w. EST Mailboxes – refer to Chapter 27 of the EST Operations Manual

x. EST SharePoint Site – refer to Chapter 28 of the EST Operations

y. Contracts, Grants, and Agreements

z. Acquisition Activities and Technical Data

aa. Preparation of Contracts, Grants, and Agreements

10 RECORDS

a. EAR Requirements (15 CFR 762.1)

b. ITAR Requirements (22 CFR 122.5 and 123.26)

c. Additional Recordkeeping Requirements

APPENDIX A - DEFINITIONS

APPENDIX B - ACRONYM/ABBREVIATION LIST

APPENDIX C - EXPORT RELATED FORMS AND TEMPLATES

APPENDIX D - REFERENCE DOCUMENTS

APPENDIX E - RECEIPT OF WASSENAAR ARRANGEMENT COMMODITIES

APPENDIX F - ADDITIONAL INFORMATION REQUIRED FOR A BIS LICENSE

APPENDIX G - NON-DISCLOSURE ACKNOWLEDGEMENT

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1 PURPOSE

This Johnson Space Center (JSC) Work Instruction (JWI) documents how to implement NASA Procedural Requirements (NPR) 2190.1, NASA Export Control Program. The NASA Policy Directive (NPD) 2190.1 provides guidance and direction to ensure exports to foreign parties are in compliance with the U.S. export control laws and regulations.

This work instruction fosters compliance by JSC and its employees with the Department of State (DoS) International Traffic in Arms Regulations (ITAR) and the Department of Commerce (DoC) Export Administration Regulations. Compliance with these regulations minimizes the risk of suspension of current or future licensing privileges which could leave JSC unable to affect exports or transfers required under its international agreements. This work instruction assists NASA/JSC government personnel and private contractor personnel in avoiding schedule delays or cost overruns and/or criminal, civil or administrative enforcement actions.

2 APPLICABILITY

a. This Export Compliance JWI applies to all JSC (including Ellington Field and Sonny Carter) and White Sands Test Facility (WSTF) personnel who effect exports of hardware, software, or technical data (information) to a foreign person or foreign entity on behalf of NASA. JSC Directorate Level Organizations (DLOs) shall be responsible for ensuring all personnel associated with the Organization’s exports are aware of the JWI 2190.1 and are fully compliant with U.S. export laws and regulations. Specific responsibilities for export control are further defined in Section 8.

b. When exporting on behalf of JSC, contractors shall export hardware, software or technical information in accordance with U.S. export laws and regulations, as well as any applicable Federal and State statutes and regulations. Contractor employees should consult with their company export officials for further guidance.

c. In this work instruction, all mandatory actions (i.e., requirements) are denoted by statements containing the term “shall” or “must.” The terms “may” or “can” denote discretionary privilege or permission; “should” denotes a good practice and is recommended, but not required; “will” denotes expected outcome; and “are/is” denotes descriptive material.

d. In this work instruction, all document citations are assumed to be the latest version unless otherwise noted.

e. The JSC Export Services Team (EST) Operations Manual (JAII 2190.1) is on both the EST Web Site and SharePoint Site. On the EST Web Site, it is under “Work Instructions and Guidelines.” Detailed information, guidance, and internal processes associated with this work instruction are provided in the JSC EST Operations Manual.

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3 AUTHORITY

a. NASA Procedural Requirements (NPR) 1600.4, Identity and Credential Management

b. NPR 2190.1, NASA Export Control Program

c. NPR 2200.2, Requirements for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information

d. NPR 2841, Identity, Credential, and Access Management

e. NPR 7120.5, NASA Space Flight Program and Project Management Requirements

4 APPLICABLE DOCUMENTS AND FORMS

a. NASA Advisory Implementing Instruction (NAII) 1600.4A, Foreign National Access Management (FNAM) Operations Manual

b. NAII 2190.1, NASA Export Control Operations Manual

c. NASA Interim Directive (NID) 1600.55, Sensitive But Unclassified (SBU) Controlled Information

d. NASA Policy Directive (NPD) 2200.1, Management of NASA Scientific and Technical Information

e. NPD 2810.1, NASA Information Security Policy

f. NPR 2810.1, Security of Information Technology

g. JSC Procedural Requirements (JPR) 2200.2, Release of JSC Scientific and Technical Information to External Audiences

h. JWI 6050.1, Procedures for Processing Shipments from JSC

i. NASA Form (NF) 892, Employee Property Pass/Loan Agreement and Removal Permit

j. NF1676B, NASA Scientific and Technical Document Availability Authorization

k. JSC Form (JF) JF200 (NASA-JSC Agreement Maintenance Card)

l. JF195, Request for Shipment of Printed Matter

m. JF208, Request for Mailing

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n. JF290, Shipping Document

o. JF384, Annual Export Control Representative (ECR) Web Site/Web App Review

p. JF583, Scientific Technical Information (STI) Disclosure Export Control Rationale Checklist

q. JF1020A, JSC Request for Identity Management and Account Exchange (IdMAX) Access Control Plan (ACP) and Foreign National (FN) Visit

r. PS Form 2976, Customs Declaration

s. PS Form 2976-A, Customs Declaration and Dispatch Notice

t. Customs Form 7512, Transportation Entry and Manifest of Goods

u. DD Form 1149, Department of Defense Requisition and Invoice/Shipping Document

v. Non-Disclosure Acknowledgement (NDA) Regarding Export-Controlled Items

5 SAFETY PRECAUTIONS AND WARNING NOTES

None

6 TOOLS, EQUIPMENT, AND MATERIALS

The JSC Export Record Database (ERDB) is located on the EST Web Site. The JSC ERDB is used to document and track export classifications. A list of EST related Web sites and Web pages is located on the EST Web Site under Quick Links.

7 PERSONNEL TRAINING AND CERTIFICATION

a. Training opportunities are identified in the System for Administration, Training, and Educational Resources for NASA (SATERN) and found in Chapter 4 of the NAII 2190.1.

Training charts previously offered by the EST and others may be found on the EST Web Site. Directorate Management shall ensure the following SATERN training is completed by the JSC civil service personnel listed below:

(1) JSC Managers: NASA Export Control Program, Management Awareness Training.

(2) JSC Employees: Module 1: NASA’s Export Control On-The-Job Training.

(3) JSC Export Control Representatives (ECRs): Courses listed above plus additional Export Control Modules as they become available. In addition, ECRs should obtain access to the Visual Compliance Tool per Section 9.1.1.b.

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b. Directorate management shall ensure all new ECRs complete the training listed in “a” above within 14 days of being assigned. When Directorate management sends the e-mail to EST nominating the newly-appointed ECR, EST identifies the courses in SATERN that the ECR needs to take. The Center Export Administrator (CEA) may require ECRs to re-take the SATERN-based training as needed, especially if there are substantial changes to the course material. Also, ECRs are on a distribution list and receive notice of any export classes offered by the EST.

c. The EST requires all ECRs to attend in person or take on-line a minimum of 8 class hours of export training on an annual basis. (The CEA will review and make a determination regarding whether other export training offered on-line by other agencies and companies is applicable to meet this requirement).

d. The EST will offer additional export compliance training opportunities throughout the year to allow ECRs to meet the annual training requirement. Training provided by the EST is primarily for ECRs and other Civil Service personnel who are regularly involved with exports or who work with Foreign Nationals (FNs). Unless otherwise stated in an announcement of a training opportunity, classes are open to all interested civil service employees.

e. Directorate management shall notify the EST in writing of changes to the status of ECRs (i.e., job change, reassignment, retirement, etc.). An updated list of current and pending ECRs is maintained on the EST Web Site.

RESPONSIBILITIES

a. General

(1) All JSC and WSTF personnel are responsible for complying with U.S. Export Control Laws and Regulations by knowing requirements to affect an export of hardware, software or technical data. As exporters, personnel are responsible for providing information to the Organization’s ECR using the JSC ERDB and all appropriate export control forms. This information includes the formal requirement to export, technical description of the export, destination country, end-use, end-user, ship dates, etc.

(2) The ERDB requires a “Point of Contact” (POC) who may be an administrative assistant or support person to fill out the export request for a “Requester” who is the actual exporter or person traveling. The “Requester” is the JSC technical person who is considered the shipment originator and has the responsibility to initiate the export and shipping activity, as well as obtain concurrence from the ECR. The Requester has an intimate knowledge of the item(s) to be exported and should be aware of any unique packaging and handling requirements. Thus, the Requester should provide the detailed information or requirements to the POC who completes the request in the ERDB. The Organization’s ECR will contact the Requester or the POC for additional information as needed.

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b. Exporters

(1) Exporters shall first contact their Organization’s ECR for assistance. A current list of ECRs is available on the EST Web Site.

(2) If ECRs assigned to a particular directorate are not available, contact the EST by e-mail at jsc-exportst@mail.nasa.gov or by phone at (281) 792-6196.

(3) Exports shall be submitted using the JSC ERDB. Exports are requested, reviewed, edited, approved and stored in the ERDB. The ERDB can be searched to find records of similar exported items that can be copied to facilitate your export action.

Refer to the EST Web Site for additional information.

(4) The Requester (and technical reviewer(s)) shall ensure the information entered in the ERDB is current, complete and accurate. The Organization’s ECR shall review the data entered and verify the export classification, exemption or exception information is valid for the export submitted by researching the 15 CFR 730 – 774 Commerce Control List (CCL) or the 22 CFR 120-130 United States Munitions List (USML).

c. Export Control Representative (ECR)

(1) The ECRs shall:

(a) Serve as the focal point within the organization for exports;

(b) Be civil service employees who have relevant and applicable engineering, scientific and/or technical expertise in their respective organizations;

(c) Provide a final export authorization signature for exports that are “No License Required”;

(d) Remain current on annual export training requirements (minimum of 8 hours);

(e) Identify and keep the CEA informed on export issues. Refer export compliance issues to the CEA, Alternate CEA (ACEA), and/or EST that require assistance or approval and;

(f) Immediately notify the CEA and ACEA in writing (e-mail is acceptable) when an export violation may be about to occur, occurs or is suspected to have occurred;

(g) Assist the CEA by increasing export awareness and improving export compliance in their represented organization and across organizational lines;

(h) Assist with preparing proposed exports;

(i) Interface with program personnel at other sites;

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JSC Form JF2420D (Rev. April 3, 2012) (MS Word August 28, 2006) mailto:jsc-exportst@mail.nasa.gov

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(j) Review, concur, and provide recommendations and justifications for approval or denial regarding such documents as shipping documents, presentations, papers, public release requests, and foreign national badge request documentation for export compliance issues;

(k) Review all data/documentation provided in support of an export (in the ERDB and other documents) and verify the export requirement, export classification, and license exemption or exception are complete, current, and accurate. This includes researching 15 CFR 730 – 774 Commerce Control List (CCL) or 22 CFR 120-130 United States Munitions List (USML), and confirming there are sufficient requirement, justification and rationale to export.

(l) Review Web site content for export restricted data and make recommendations regarding adequate protection for Web sites and material contained therein;

(m) Document the results of Web site reviews as applicable (i.e., JF384, Agency Application Rationalization Tool/AART, etc.);

(n) Maintain export and FN visit records, as applicable;

(o) Coordinate the generation of all license requests from their respective organizations with the EST (this includes verifying all information provided in support of the license request);

(p) Obtain approval from EST for the use of all licenses, license exceptions, or exemptions; and

(q) When applicable, contact a Directorate-level manager and request a written notice (via e-mail) be sent to the EST confirming their removal as an ECR.

(2) An ECR assigned to represent a “non-technical” organization only requires expertise about the work performed in that organization. For example, an ECR for the Procurement Office requires expertise in procurement and acquisition activities. An ECR who previously was assigned and trained to represent a non-technical organization might lack expertise to serve as an ECR in a technical organization.

d. Program or Project Manager (PM)

(1) The PM is responsible for identifying milestones in their program/project plans to ensure export compliance matters are considered. Milestones should be identified and documented as early as possible in the program/project schedules to ensure a requirement for the export exists and there will be no delays in shipping or international participation in meetings. It is recommended the export classification for hardware be made by the time the “Phase I Safety Panel Review” or equivalent activities for the hardware are complete.

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(2) Whenever possible, the PM shall ensure the export classification is determined and recorded at the time an item is acquired because technical data and information about the use and purpose of the item is readily available from personnel familiar with the item. It is recommended the technical person acquiring/requiring the hardware work with the Organization’s ECR to determine the export classification and provide it to the “Property Custodian” who will add it to the property records database EQUIPMENT located on the JSC Center Operations Directorate Web Site. For this purpose, the export classification can be determined without identifying a requirement to export.

(3) The PM shall identify export compliance issues and milestones as soon as possible to ensure export compliance matters are considered and resolved in advance of prospective shipping or transfer dates. NPR 7120.5 directs technical organizations to ensure their “Technology Development Plans” comply with export control regulations.

That is effectively accomplished by including milestones in “Technology Development Plans” and “Technology Transfer Control Plans (TTCPs)” to address export compliance issues.

(4) The PM shall ensure FNs are NOT granted access to NASA IT/logical assets or systems without NASA Account Management System (NAMS) workflows since FN access to NASA IT/logical assets or systems by alternative methods is NOT authorized.

In addition, SharePoint sites shall NOT contain links to any IT/logical assets without NAMS workflows. NASA IT/logical assets (Web sites, Web apps, applications) with NAMS workflows can be found in NAMS using the JF1020A or IdMAX ACP drop down menu per screen shot below.

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e. Center Export Administrator (CEA)/Alternate CEA (ACEA)

(1) The CEA shall be responsible for ensuring all JSC export activities comply with U.S. export compliance laws and regulations and serving as the Center POC with the Headquarters Export Administrator (HEA). The ACEA supports all activities of the CEA and serves as the Acting CEA in his absence.

(2) The CEA shall:

(a) Establish, maintain, and enforce export policies, procedures and Work Instructions to ensure export/import compliance with federal laws, rules, and regulations;

(b) Coordinate with HEA and staff to obtain export licenses;

(c) Create and offer training opportunities for JSC civil servants.

(d) Interface with external and internal auditors;

(e) Serve as JSC’s POC with the HEA, DoS, and DoC to make export determination decisions;

(f) Ensure records are maintained for exports and FN visitors’ access requests;

(g) Review and disposition export compliance issues; and

(h) Provide feedback and recommendations to the DLO regarding the performance of ECRs.

f. Export Services Team (EST)

The EST shall:

(1) Support the CEA and ACEA in all activities affecting exports

(2) Recommend classifications;

(3) Generate license submissions to NASA Headquarter for submission to the DoS or DoC;

(4) Provide approval for the use of licenses, license exceptions or exemptions;

(5) Facilitate the export review and approval of FN access requests;

(6) Comply with all other actions identified in the Logistic Contract Export Control Task Order; and

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(7) Conduct export compliance training.

g. JSC Transportation and Support Services Branch

The JSC Transportation and Support Services Branch is not part of the JSC Export Control Office or EST, but they are responsible for providing assistance to employees relative to the physical transfer or shipping of items. This may also include proper selection of “Schedule B” numbers needed when completing the JSC export records and completing other forms (i.e., Shippers Export Declaration (SED) using the Automated Export System (AES)).

h. Center Director

The Center Director shall ensure all JSC employees comply with U.S. Export Laws and Regulations, as well as this JWI.

i. Center Export Counsel (CEC)

The CEC is responsible for providing legal guidance to the JSC CEA, ACEA, and EST regarding NASA export compliance matters.

j. Headquarters Export Administrator (HEA)

The HEA is responsible for ensuring compliance of all NASA export activities with U.S. export control laws and regulations, as well as NPR 2190.

k. Property Disposal Officer (PDO)

The PDO shall ensure the export control jurisdiction of NASA hardware is determined prior to its disposal or sale. The PDO may consult with the NASA PM/owner of the property, NASA contractors, CEA, or respective Organization’s ECR.

l. Contracting Officer (CO) or Contracting Officer’s Representative (COR)

The CO or COR shall ensure that when NASA contractors transfer equipment to JSC via the DD Form 1149, “Department of Defense Requisition and Invoice/Shipping Document” for excess purposes, they include the export classification of the hardware in The “Description” field (4b). The Logistics Support Contractor will enter the export classification in the Property, Plant, and Equipment (PPE) tracking system.

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9 PROCEDURE

a. General

(1) This section describes the general processes required for any export of hardware, software or technical data by any means. It includes steps the exporter, ECR, or EST shall perform. Organizations may have more than one ECR. If an ECR with the same mail code is not available, contact another ECR in that directorate or an ECR in another directorate as appropriate for the work involved. If no appropriate ECR is available, contact the EST by e-mail at jsc-exportst@mail.nasa.gov or by phone at (281) 792-6196 for assistance.

(2) Sections 9b. and 9c. of this document identify specific questions the Exporter needs to answer before processing an export which include the specific steps required for processing an export and determining the authority to export.

(3) Processing Times: The amount of time it takes to process an export depends on the specific details and facts involved. An export of non-technical items shipped to a user and location not subject to sanctions and restrictions, for a customary use, takes much less time to process than an export where those conditions are not met. Exports of highly technical items to certain users and countries can take considerably longer time to process depending on the specific details of the export. Some of the factors that affect processing time are:

(a) The need to apply for a license;

(b) End user, recipient country, and end use;

(c) The complexity of the export (i.e. special situations);

(d) The accuracy and completeness of the package sent from the ECR to the EST;

(e) Associated technical background information to review (including # of pages);

(f) Responsiveness of ECR/technical organization to requests for clarifications, corrections, and additional information;

(g) Existence of other exports already being worked and the number of other requests to expedite and prioritize that are already in the queue; and,

(h) The availability of resources within the EST to review and approve exports. Actions and exports that require assistance and support from the JSC EST must allow a minimum of 10 working days processing time prior to the export need date in addition to any other time considerations.

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(4) Processing Time Guidelines: In most cases, the processing time for simple/routine exports or requests is 3-5 working days. Processing times start with the date an accurate and complete export package from the ECR is logged in by the EST (that date may not be the same as the date the export package was sent). Exports do not always follow a set or predictable pattern of factors. That is, an export for which the classification is known may still require a license (necessitating longer processing time).

An export for which the export classification must be determined may, in the end, be processed in a shorter amount of time because no license is required. It is important to identify exports early since a license from the DoS or DoC may take up to 80 days or more. Exporters do not have to wait until an item is ready for export to begin processing the export documentation. As long as they provide all other required information about the export, they can estimate the date you will need to export. Chapter 5 (ERDB Processing Time Guidelines) of the EST Operations Manual (JAII 2190.1) provides detailed information and general guidelines which explain some of the factors affecting processing time for exports that range from simple to highly complex exports.

(5) Deviation and Waiver Requests

(a) Technical changes, deviations, or waivers sought from any requirement of this JWI shall be requested in writing via e-mail by the requesting Organization’s ECR and Contracting Officer (if applicable) with final approval from the CEA. However, waiver justifications shall be submitted to the appropriate Headquarters official for any NPR deviations or exceptions.

(b) Requests for waivers/deviations should state which part of the process is to be waived/deviated from and the reason(s) the process cannot be followed. When requesting technical changes, deviations, or waivers, the requester shall provide a detailed justification describing the unique circumstances and situation associated with their request, the timeline for which the deviation and/or waiver is needed, program and/or project office(s) supported and affected, Contract Number (if applicable), and suspense date needed for implementation.

(c) Any request from JSC civil servant or contractor employees must be coordinated through the applicable Organization’s ECR to the EST who will facilitate final approval with the CEA.

(6) Request to Expedite Export Action or FN Badge/Access Action

(a) All requests to expedite an export action or FN access request (waiver justification) shall be submitted in writing, via e-mail, by the cognizant ECR, to the JSC-Export- Services-Team mailbox, with a copy to the CEA and/or ACEA. A Directorate Level Manager must concur on the e-mail prior to sending it to the EST mailbox and

CEA/ACEA.

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(b) The waiver justifications for expedited requests shall explain:

(i) The reason routine processing cannot be followed (the reason must be more than a failure to allow adequate processing time);

(ii) The impact to the mission, spacecraft, program, or health/safety of personnel, that will result if the export is not expedited;

(iii) The date after which a failure to export will result in the impacts described.

(c) Waiver justifications for expedited requests will be reviewed/approved by the CEA or ACEA who will assess the rational and impacts described, workload, volume, and priority of existing requests to expedite exports. If the need date cannot be met, the CEA/ACEA will notify the Requester, ECR, and/or DLO in writing via e-mail. Chapter 7 of the EST Operations Manual, JAII 2190.1, available as a Reference document on the EST Web Site, provides additional information regarding “Expedited Exports and Exports during Personal Travel.”

b. General Questions to Begin the Process

The following questions shall be addressed in order to fully comply with NASA policy, as well as U.S. Laws and Export Regulations:

(1) Is there a clear and documented requirement for the export? Is there a NASA requirement or obligation to export or is it otherwise in NASA’s interest to do so?

(Refer to Chapter 13.A of JAII 2190.1)

(2) Are there any Red Flags that make this export seem odd or raise concerns something is not quite right? (Refer to Chapter 13.B of JAII 2190.1) In addition to checking for Red Flags, the exporter shall ensure the foreign party to whom NASA is exporting is not found on the “denied persons and denied entities” lists. These checks may be done automatically using “Visual Compliance.” If an ECR does not have access to the Visual Compliance software, he/she must take the following steps to request access to this tool:

(a) Complete the following SATERN training courses:

(i) Personal Identity Verification (PIV) – Identity, Credential, and Access Management (ICAM) Overview

(ii) PIV-FN Approver

(b) Submit a NASA Account Management System (NAMS) Request for Visual Compliance Access that includes, as a minimum, the following application details:

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(i) Application Name: Agency ICAM Infrastructure

(ii) Identity Management and Account Exchange (IdMAX) ICAM Permissions/Role:

Visual Compliance Primary

(iii) Urgency: Normal

(iv) Business Justification/Rationale: Export control reviews

(c) Upon notification of the approved NAMS request for the Visual Compliance tool, the ECR will be notified that an online registration process is required to complete the Visual Compliance process and/or training.

(d) For additional assistance obtaining access to Visual Compliance, call 1-877-328- 7866.

(e) If the ECR is not able to access Visual Compliance, he/she must manually check the lists available on the EST Web Site.

(f) When a Visual Compliance search results in a positive hit, the ECR shall stop processing the export or request, copy, and immediately send the results of the Visual Compliance notice via e-mail to the Center Chief of Security (CCS) with a cc to the EST and International Visit Coordinator (IVC) (if applicable). Type “Visual Compliance - Entity Warning Notice” and the name of the entity in the subject line of the e-mail. The CCS should determine and notify the EST, ECR, IVC, and Counterintelligence Office whether the hit is in fact the same individual. If the individual is the same person, the EST will deny the requests.

(3) Is a license already in place that covers this export? (Refer to Chapter 13.C of JAII 2190.1)

(4) Has the item been properly exported before? (Refer to Chapter 13.D of JAII 2190.1)

(5) Is the item to be exported available commercially off the shelf? (Refer to Chapter 13.E of JAII 2190.1)

(6) Chapter 13 (F thru T) of the EST Operations Manual, JAII 2190.1, also includes detailed information regarding the following general questions:

(a) What is being exported and which Agency of the Federal Government has jurisdiction?

(b) What is the classification, for Export Control purposes, of the item?

(c) Where is it going (i.e., the Country of Ultimate Destination)?

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(d) Who will receive it (i.e., the Ultimate End User)?

(e) What else do they do?

(f) What is the end use?

(g) How is the ERDB used?

(h) How is the classification of the export determined and when is a license required?

(i) What are temporary exports?

(j) What are Destination Control Statements?

(k) What is the process for applying for an export license?

(l) When is an Export License used?

(m) How are items manufactured abroad exported?

(n) What is the process for exporting data received from a foreign entity/person?

(o) What are the reporting requirements when using license exception TMP 740.9(a)?

c. Requesting Authority to Export

(1) Once the general questions have been answered, the Requester may enter the information needed to support and justify the authority to export into the online ERDB. It is recommended Requesters gather all information prior to entering data in the ERDB.

(2) When clicking on “Save and Continue” in the ERDB, the system saves the information entered; however, the information will not be saved if the “back” key is used or if the ERDB is closed prior to clicking the “Save and Continue” button.

(3) Many items in the ERDB are marked with a red “*” indicating the information is required to justify or support the export review. Failure to provide complete, current and accurate information will likely result in delays processing the request and may result in denial of the export. The export record may be completed by the organization export “Requester” (person who will be exporting or traveling) or the “POC” (person assigned to complete the request record). The Requester and POC may be the same person.

(4) The ERDB requires a NASA Data Center (NDC) domain log-in. Only personnel with an NDC account are able to enter and use the ERDB. Those needing an NDC account

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d. Entering an Export Record into ERDB

(1) Chapter 6 of the EST Operations Manual, JAII 2190.1, provides detailed steps for “Entering an Export Record into the ERDB.” (Exporters may find it useful to print/copy these steps and gather all the required information in a word file to copy to the ERDB when they have all the needed information.)

(2) A special “log-on” for the ERDB is not needed for those who have an NDC account.

Requestors may be asked to enter your usual log-on the first time they use the system.

e. ECR Review of ERDB Record

When a record is ready for ECR review, the ECR receives an e-mail from the Requester/POC or Technical Reviewer. The e-mail contains a link to the Export Record that will include the assigned “Reference Number.” The ECR will click on the Reference Number to directly access the export record and begin their review. Chapter 9 of the EST Operations Manual, JAII 2190.1, provides detailed steps for the “ECR Review of the ERDB Record.”

f. EST Review of ERDB Record

A record approved by the ECR is ready for EST review only when the export involves the use of an export license, exemption, or exception. Chapter 10 of the EST Operations Manual, JAII 2190.1, provides detailed steps for the “EST Review of the ERDB Record.”

g. EST Disposition of Records

Refer to Chapter 12 of the EST Operations Manual, JAII 2190.1, for the steps involved in the “EST Disposition of Records.” However, export records shall be maintained as outlined in Section 10 of this JWI. The ERDB may be used as a record repository.

h. Procedures for Handling Non-Compliance (Violations or Voluntary Disclosures) and Unsolicited Requests for Information

(1) If NASA/JSC civil servant employees, contractor personnel, or other parties involved in an export have any non-compliance concerns regarding the EAR, ITAR, NASA/JSC export control policies/procedures, or the inappropriate use of a license, end use of commodities exported under a license, or end-users to a license, they shall immediately notify the export officials listed below:

(a) CEA @ leon.a.blum@nasa.gov

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(b) ACEA @ judith.a.elam@nasa.gov

(c) EST @ jsc-exportst@mail.nasa.gov

(d) Organization ECR – refer to the most current ECR list posted on the EST Web Site.

(2) Written reports of suspected violations of foreign national and/or export control policies, procedures, laws, or regulations shall include specific information regarding the potential violation or voluntary disclosure – i.e., what policy was violated, what was exported, when the export occurred, who made and who received the export, countries involved, and the reasons that the person believes a non-compliance issue exists.

Concerned persons should notify the Organization’s ECR, CEA, and ACEA. The CEA or ACEA will notify the appropriate officials as necessary (i.e., HEA, NASA’s Security Operations Center (SOC), Office of Protective Services). Contact information is found on the EST Web Site.

(3) Report all unsolicited requests for information to the JSC Counterintelligence and Counterterrorism Office, regardless of whether the request appears to be harmless or unimportant. Unsolicited requests may be part of larger schemes starting with benign requests intended to locate and obtain controlled technical data.

i. International Travel

All JSC hardware, software, and data shall be classified according to the Export Control regulations prior to hand carrying the item(s) to another country. The following precautions should be taken when traveling to a foreign country:

(1) If an item is taken out of the country, it is an export even if you never intend to and never show it to any foreign person. This includes everything taken in a briefcase and anything carried in electronic format.

(2) Do not assume anything will be secure in the hotel room, safe or a checked bag.

Take additional precautions with controlled exports (such as using bonded or U.S.

Government controlled storage facilities).

(3) Allow adequate lead-time prior to the trip to obtain any necessary authorizations to carry controlled items and to allow the responsible export officials reasonable time to analyze the request and take any necessary action to secure approval. Export review, classification, and sometimes authorization can be completed without having prepared travel orders.

(4) Check with the Organization’s ECR prior to traveling. Taking technical data or hardware on travel prior to receiving approved export documentation may constitute a reportable export violation.

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j. Hand Carry of Hardware, Software, and Data

(1) Hardware, software or technical data being hand carried out of the United States must follow the same procedures as items being shipped per section 9m.

(2) The completed ERDB record shall be approved by an ECR, EST, or CEA, and the applicable ERDB “Export Composite Report” must accompany the export to the JSC Transportation and Support Services Branch.

(3) For unit items valued at $2,500 or an aggregate of unit items that total $2,500 or more, the traveler shall include the “Schedule B number.” When using a license, license exemption, or license exception, a Schedule B is also required. For assistance, visit the United States Census Bureau Web Site.

(4) All hand carry items shall have applicable export authorization prior to export.

(5) If a license exemption or exception applies, the EST shall concur prior to export.

(6) If the export requires a license, the CEA shall approve prior to export.

k. Hand Carry of Laptops and Other Handheld Computer Devices

(1) For purposes of this document, the phrase “handheld computer devices” include all laptops, notebooks, iPads, Personal Digital Assistants (PDAs), handheld computers (i.e., smartphones), cellular phones, data storage devices such as flash drives and other similar devices. Handheld computer devices may be hand carried for individual or programmatic work use. When devices are used for official duty or programmatic work-related activities, they may be classified as “tools of the trade” since they are necessary for the performance of work obligations while abroad. Tools of the trade shall remain at all times under the control of the individual who hand carried them and may not be shared with a FN or foreign entity under this authorization.

NOTE: Although individual persons use these devices, their export may only be approved for “official” and not “personal” use.

(2) Personally-owned handheld computer devices are not considered Authorized Devices since Mobile Device Management software must be removed before leaving the U.S. and, therefore, cannot be used to conduct official government business/ duties/work obligations when traveling abroad. NASA/JSC is not responsible for and will not process or approve export documentation for privately-owned handheld computer devices.

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(3) Personnel who hand carry export-controlled NASA data, information, or software (including STI) are responsible for ensuring they have an approved ERDB export authorization prior to exporting, loading, accessing, or communicating such data, information, or software on their privately-owned handheld computer device. Failure to process an export record and obtain export authorization for any handheld computer device with NASA-owned export controlled data, information, or software may result in seizure of devices, data, information, and software by Customs Officials and an export violation (potentially leading to civil and criminal penalties against individuals and organizations).

(a) Travelers carrying handheld computer or storage devices other than the JSC standard load outside the U.S. must complete an ERDB record which must include the export classification and any other required documentation needed to record the items.

The Requester/POC…