REG NASA NPR 2190 1 REV B-2011 NASA Export Control Program.pdf

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1、Page 1 of 55 NASA Procedural Requirements NPR 2190.1B Effective Date: December 27, 2011 Expiration Date: December 27, 2016 NASA Export Control Program - Responsible Office: Office of International and Interagency Relations Table of Contents Change History Preface P.1 Purpose P.2 Applicability P.3 Au

2、thority P.4 Applicable Documents and Forms P.5 Measurement/Verification P.6 Cancellation CHAPTER 1. Introduction 1.1 General CHAPTER 2. Responsibilities 2.1 General 2.2 NASA Headquarters Export Administrator 2.3 NASA Officials-in-Charge of Headquarters 2.4 NASA Headquarters Export Counsel 2.5NASA He

3、adquarters Program and Project Managers Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 2 of 55 2.6 NASA Headquarters Manager, Transportation Programs 2.7 Center Directors 2.8 Center Export Administrators 2.9 Center Export Counsel 2.10 Center Pr

4、oject Managers 2.11 Export Control Representatives 2.12 Center Transportation Officers 2.13 Center Property Disposal Officers CHAPTER 3. NASA Export Control Process 3.1 General 3.2 Commodity Jurisdiction and Classification 3.3 Foreign Partner or End-User Credentials 3.4 License Requirements 3.5 Tech

5、nology Transfer Control Plans 3.6 Recordkeeping 3.7 Reporting 3.8 Information Security and Electronic Transmission CHAPTER 4. Export Administration Regulations (EAR) Procedures 4.1 General 4.2 License Exceptions 4.3 Screens CHAPTER 5. International Traffic in Arms Regulations (ITAR) Procedures 5.1 G

6、eneral 5.2 Imports 5.3 License Exemptions CHAPTER 6. NASA Export Control Program Education and Training 6.1 General 6.2 Training Program CHAPTER 7. NASA Export Control Program Auditing Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 3 of 55 7.1

7、Purpose 7.2 Auditor Selection 7.3 Auditor Duties and Responsibilities 7.4 Final Report CHAPTER 8. Questions of Compliance and Violations 8.1 General 8.2 Voluntary Disclosure 8.3 Violations APPENDIX A. Definitions APPENDIX B. References APPENDIX C. NASA Export Processing Template (EPT) APPENDIX D. Te

8、chnology Transfer Control Plan (TTCP) APPENDIX E. NASA Fundamental Research Designation Guidelines Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 4 of 55 Preface P.1 Purpose a. This NASA Procedural Requirements (NPR) document provides instructi

9、ons and requirements for implementation of NASA Policy Directive (NPD) 2190.1 NASA Export Control Program. Specifically, this NPR provides requirements, instructions, and responsibilities for all NASA employees and NASA support contractors engaged in activities that involve the transfer of commoditi

10、es, software, or technologies to foreign individuals or organizations. Such transfer activities are regulated by export control laws in order to protect the national security and to further U.S. foreign policy objectives. These are primarily codified in the U.S. Export Administration Regulations (EA

11、R) and the International Traffic in Arms Regulations (ITAR) that are administered by the Departments of Commerce and State, respectively. The NASA Export Control Program is a NASA-wide (Headquarters and Centers) system established to ensure that exports and transfers to foreign parties in the course

12、 of approved international activities are consistent with the EAR and ITAR. Most exports can proceed without prior specific written authorization, or “validated license,“ under various Exceptions, Exemptions, or Special Licensing Procedures. This NPR establishes criteria for fully qualifying for suc

13、h Exceptions and Exemptions, as well as complying with export control requirements, generally. b. The NASA Export Control Program is based on a “corporate“ philosophy that says: “We want to maximize the benefits of our international efforts while ensuring that we comply with U.S. export control laws

14、 and regulations.“ This is the personal responsibility of each employee. It is a tangible expression of the Agencys statutory mandate and mission in the responsible pursuit of appropriate international activities involving transfers of technologies, software, and commodities. The Export Control Prog

15、ram (ECP) is the mechanism within the Agency that provides checks and safeguards at key steps in program development and implementation to help manage international activities. Absent an effective ECP, NASA and its employees risk running afoul of the EAR and ITAR, which may result in criminal, civil

16、, or administrative enforcement actions against NASA, individual employees, and/or private contractors. P.2 Applicability a. This NPR is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. This language applies to the Jet Propul

17、sion Laboratory (JPL), other contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements. b. In this directive, all mandatory actions (i.e., requirements) are denoted by statement containing the term “shall.”

18、The terms “may” or “can” denote discretionary privilege or Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 5 of 55 permission, “should” denotes a good practice and is recommended, but not required, “will” denotes expected outcome, and “are/is” d

19、enotes descriptive material. P.3 Authority NPD 2190.1, NASA Export Control Program. P.4 Applicable Documents and Forms a. Export Administration Regulations, 15 C.F.R. pts. 730-774. b. International Traffic in Arms Regulations, 22 C.F.R. pts. 120-130. P.5 Measurement/Verification Adherence to this po

20、licy will be measured by whether exports are executed in a timely manner sufficient to meet NASA program objectives, by the extent to which NASA exports are compliant with U.S. laws and regulations, and by annual reviews conducted by the Center Export Control Auditors (ECA). P.6 Cancellation NPR 219

21、0.1, NASA Export Control Program, dated April 10, 2003. /S/ Michael F. OBrien Associate Administrator for International and Interagency Relations Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 6 of 55 CHAPTER 1. Introduction 1.1 General 1.1.1 T

22、his NPR provides basic procedures and requirements for fulfilling NASAs obligation to comply with all U.S. export control laws and regulations in its transfers of commodities, software, or technologies to foreign parties (including foreign contractors) in the course of approved international activit

23、ies. It is the responsibility of every NASA employee to comply with U.S. export control laws and regulations. The NASA Headquarters Export Administrator (HEA), the Associate Administrator for International and Interagency Relations, the NASA General Counsel, the Mission Directorate Associate Adminis

24、trators and the Mission Support Associate and Assistant Administrators, the Headquarters Officials-in-Charge, Center Directors, Center Chief Counsel, Center Export Administrators (CEAs), the Headquarters and Center Export Counsel (HEC/CECs), the NASA Program/Project Managers, the Contracting Officer

25、s (CO), the Grant Officers (GO), and Contracting Officers Technical Representatives (COTR), and the Transportation Officers (TO) are the key personnel charged with ensuring NASAs adherence to those laws and regulations. 1.1.2 Questions regarding the execution of responsibilities set forth in this NP

26、R are to be directed to the HEA. Suggestions for improvements in the content of this NPR are welcome and should be made in writing to the attention of the NASA HEA, Office of International and Interagency Relations, NASA Headquarters, Washington, DC 20546. A flow chart of the steps and consideration

27、s to be undertaken before implementing an export is found in the Export Processing Template at Appendix C. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 7 of 55 CHAPTER 2. General Export Control Responsibilities for NASA Personnel 2.1 General

28、2.1.1 Exports or transfers of export-controlled items, including technical data and software, shall not be made to any foreign entity under any NASA program unless the exporter is confident that such exports or transfers are in conformity with approved contracts or agreements (usually international

29、agreements) and U.S. export control laws and regulations, as delineated in the EAR and ITAR. Further, NASA exports to foreign entities will only be conducted in furtherance of NASA agreements or contracts and when there is a mission requirement. NASA publication of technical data and software are ap

30、propriate when effected in accordance with NASA policies. Consultation with the NASA HEA, appropriate CEA, or counsel is required whenever there is doubt as to whether a proposed export or transfer is consistent with this general principle. 2.1.2 Property disposal officials selling NASA export-contr

31、olled property to persons in the United States should ensure vetting of individuals to receive the items and provide notice to the recipient of the export-controlled status of the item. Vetting includes verifying U.S. citizenship and checking the Denied Persons List and Debarred Parties List. 2.1.3

32、NASA export control and international technology transfer policy is formulated by the Headquarters Office of International and Interagency Relations, and the program is administered by Headquarters through its network of CEAs. 2.2 NASA Headquarters Export Administrator (HEA) 2.2.1 The HEA is appoint

33、ed by the Associate Administrator for International and Interagency Relations and is responsible for assessing and ensuring compliance of all NASA program activities and exports with U.S. export control laws and regulations. The HEA is also NASAs policy and licensing liaison with the U.S. Government

34、s export control community. Specifically, the HEA shall: a. Maintain a high level of expertise of current EAR and ITAR provisions and requirements applicable to NASA programs. b. Approve and maintain necessary NASA licensing documents regarding specific exports pursuant to NASA programs that are sub

35、ject to the EAR and ITAR. Coordinate and submit all Commodity Jurisdiction (CJ) requests, Advisory Opinions (AO), Voluntary Disclosures, General Correspondence (GC), export and reexport license applications, and classification requests. c. Serve as the NASA Headquarters point of contact for the Depa

36、rtment of Commerces (DoC) Bureau of Industry and Security (BIS), the Department of States (DoS) Directorate of Defense Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 8 of 55 Trade Controls (DTC or DDTC), the Department of Defenses (DoD) Defense

37、 Trade and Security Administration (DTSA) and Defense Threat Reduction Agency (DTRA), the Department of Homeland Security, the Department of Justice Federal Bureau of Investigation, and other appropriate agencies for all international technology transfer/export control issues. d. Manage NASAs annual

38、 ECP internal audits, including providing annual audit guidance to Centers, receiving, and reviewing audit reports. See Chapter 7: NASA Export Control Program Auditing. e. Serve as NASA Headquarters point of contact for NASA Headquarters program executives, and work with the NASA CEAs concerning iss

39、ues at Centers. Coordinate with appropriate NASA officials on export control matters affecting NASA programs. When the HEA, in consultation with these officials, determines that a proposed export or transfer would not be in conformance with the EAR or ITAR, the HEA has the authority to suspend such

40、activity pending resolution with the concerned offices or agencies. f. Attend, at least annually, export control-related training and coordinate the annual NASA Export Control Program Conference. Provide additional periodic training to NASA Headquarters and Center officials, as requested or needed.

41、g. Develop, in consultation with appropriate NASA offices and officials, the NASA position on missile technology proliferation issues, and participate in interagency organizations and meetings concerning missile technology transfers and proliferation as the NASA representative. h. Manage export cont

42、rol input to the NASA Identity Management System for access to NASA facilities by foreign persons. i. Obtain the participation of appropriate NASA offices and officials in training and in interagency reviews and assessments conducted by and with the Departments of State, Commerce, Defense, Treasury,

43、 and other appropriate agencies concerning technology transfers, export controls, missile technology proliferation, or other related matters affecting NASA programs. j. Ensure the completion and maintenance (recordkeeping) of necessary licensing and/or license exemption or exception documents regard

44、ing specific transfers, pursuant to Headquarters programs, which involve exports or transfers subject to the EAR or ITAR. For exports of defense articles under ITAR license exemptions, copies of all correspondence required by ITAR exemptions, will be maintained as required. k. Develop and issue expo

45、rt compliance policies and regulation interpretations for NASA to the CEAs. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Page 9 of 55 l. Support import activities for NASA programs. Initiate and coordinate discussions with other regulatory departm

46、ents and agencies for the import of products in support of NASA programs. m. Review and concur on Headquarters program management designation of programs as fundamental research (see Appendix E, NASA Fundamental Research Designation Guidelines). n. Serve as the CEA for the NASA Management Office (NM

47、O) at the JPL in the absence of a formally appointed CEA at the NMO and, otherwise, assist the NMO in administering the NASA/Caltech contract in the area of export control. o. Provide an export control review of NASA scientific and technical data prior to publication, and determine if the data shoul

48、d be export controlled. Participate in reviews of export-controlled data requested under the Freedom of Information Act (FOIA). 2.3 NASA Officials-in-Charge of Headquarters 2.3.1 The NASA Officials-in-Charge of Headquarters are responsible for ensuring that programs and projects within their organiz

49、ations comply with all U.S. export control laws and regulations and the NASA ECP. 2.3.2 The NASA Officials-in-Charge of Headquarters should appoint a member of their staff to act as the export control point of contact for the ECP. The export control point of contact will coordinate responses and provide a conduit for sharing the export control-relate