Navigating Through ITAR Cross Currents

Jim Frost, James Webb Space Telescope (JWST), International Project /

Logistics Specialist / Export Control Manager, SGT, Inc.

February 25th, 2009

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Who Am I

• Since 2000, the Export Control Manager for the JWST Project at NASA Goddard– Graduated from the University of Maryland, 1984– 25 years of experience in the Aerospace business

• Mostly at GSFC/NASA and in Logistics (as opposed to Engineering & Law)

• Previous project or management positions:– Logistics Manager, Hubble Servicing Missions No. 1 & 2– Traffic Manager, NASA GSFC– Export Control Officer, NASA GSFC

• Provided significant logistics and export contribution to success of the HST, UARS, EUVE, TRMM, POES, POES MetOp, COBE missions at NASA GSFC

• Currently the GSFC Center Export Auditor (Since 2004)

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What is the ITAR?

• International Traffic In Arms Regulations –It is the control of the export and import of items determined by the United States to be defense articles and services.

– This is managed by the Directorate of Defense Trade Controls (DDTC) of the U.S. Department of State

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Why Is the ITAR Important?

• Lack of compliance can result in large fines and/or prison time to entities and individuals involved

• Lack of compliance can result in difficulty obtaining project licenses through the U.S. Department of State

• Compliance issues can result in negative publicity and negative press

• ITAR issues can result in schedule risk and/or project delays

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JWST Mockup @ GSFC 2005

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JWST Overview & Points of International Exchange

Integrated Science Instrument Module (ISIM) – GSFC•Structure – GSFC/ATK•Mid-Infrared Instrument (MIRI)- JPL & ESA/European Consortium•Near-Infrared Spectrograph (NIRSpec)- ESA/Astrium•Near-Infrared Camera (NIRCam) – U of Arizona/LMATC•Fine Guidance Sensor / Tunable Filter (FGS)–CSA/COM DEV

ISIM Radiators- NGST/Ball

Optical Telescope Element (OTE) – NGST/Ball

Backplane Structure – NGST/ATK

Deployment Tower - NGST

Launch Vehicle & Adapter- ESA/Arianespace

Spacecraft - NGST

MIRI Cryocooler – JPL/NGSTInstrument C&DH - GSFC

Sunshield – NGSTMembrane – NGST/SRS

ISIM Electronics Compartment (IEC)- GSFC

Overall Observatory - NGST

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JWST Integrated Science InstrumentModule (ISIM)

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Near Infrared Spectrograph(NIRSpec)

European ContributionESA/ESTEC Customer

JWST Project Office

TERMA Data Handling & Analysis System (DHAS)

Astrium GmbH Prime ContractorOTE Simulator

Zeiss Optronic Grating Wheel Assembly (GWA)Filter Wheel Assembly (FWA)

IABG EMC/Vibration Test FacilityCryogenic Test Facility

APCO Mechanical Ground Support Equiment(MGSE)Optical Bench Kinematic Mount (OBKM)

CRISA Instrument Control Electronics (ICE)ICE Application Software (ICSW)

CASA Optical Assembly Internal Harness (OAIH)IberEspacio Optical Assembly Thermal Hardware/Cover

SSTL Integrated Field Unit (IFU)MSSL Calibration Assembly (CAA)

Calibration & Illumination Light Sources (CLS)Auxiliary OGSE

NASA/GSFC JWST Project OfficeSpacecraftIntegrated Science Instrument Module (ISIM)Detector SubsystemMicroshutter Subsystem

GALILEO Refocus Mechanism Assembly (RMA)

SAGEM Fore Optics (FOR) PolishingCollimator Optics (COL) PolishingCamera Optics (CAM) PolishingFlat Spherical Mirror Polishing

CRAL Science SupportInstrument Performance Simulator (IPS)

BOOSTEC Silicon Carbide (SiC) PartsAstrium SAS SiC Design Support

TNO Calibration of CAA/CLS(subcontract to MSSL)

CSL Cryotesting of Optics(subcontract to SAGEM)

AAE Grating and Filter Wheel Mechanisms(subcontract to ZEISS)

ESA/ESTEC CustomerJWST Project Office

TERMA Data Handling & Analysis System (DHAS)

Astrium GmbH Prime ContractorOTE Simulator

Zeiss Optronic Grating Wheel Assembly (GWA)Filter Wheel Assembly (FWA)

IABG EMC/Vibration Test FacilityCryogenic Test Facility

APCO Mechanical Ground Support Equiment(MGSE)Optical Bench Kinematic Mount (OBKM)

CRISA Instrument Control Electronics (ICE)ICE Application Software (ICSW)

CASA Optical Assembly Internal Harness (OAIH)IberEspacio Optical Assembly Thermal Hardware/Cover

SSTL Integrated Field Unit (IFU)MSSL Calibration Assembly (CAA)

Calibration & Illumination Light Sources (CLS)Auxiliary OGSE

NASA/GSFC JWST Project OfficeSpacecraftIntegrated Science Instrument Module (ISIM)Detector SubsystemMicroshutter Subsystem

GALILEO Refocus Mechanism Assembly (RMA)

SAGEM Fore Optics (FOR) PolishingCollimator Optics (COL) PolishingCamera Optics (CAM) PolishingFlat Spherical Mirror Polishing

CRAL Science SupportInstrument Performance Simulator (IPS)

BOOSTEC Silicon Carbide (SiC) PartsAstrium SAS SiC Design Support

TNO Calibration of CAA/CLS(subcontract to MSSL)

CSL Cryotesting of Optics(subcontract to SAGEM)

AAE Grating and Filter Wheel Mechanisms(subcontract to ZEISS)

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Mid- Infrared (MIRI) European Consortium Participation

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CSA Fine Guidance SensorParticipation

Com DevCambridge Ontario

Com DevCom DevCambridge Ontario

University of AlbertaEdmonton, Alberta

University of AlbertaUniversity of AlbertaEdmonton, Alberta

Canadian Space Agency (HQ)MDA

Universite de MontrealMontreal Quebec

Canadian Space Agency Canadian Space Agency (HQ)(HQ)MDAMDA

Universite de MontrealUniversite de MontrealMontreal Quebec

BomemINO

Quebec City Quebec

BomemBomemINOINO

Quebec City Quebec

Com DevUniversity of Ottawa

CSA David Florida LabOttawa Ontario

Com DevCom DevUniversity of OttawaUniversity of Ottawa

CSA David Florida LabCSA David Florida LabOttawa Ontario

NRC of Canada (Herzberg Institute of

Astrophysics)Victoria British Columbia

NRC of Canada NRC of Canada (Herzberg Institute of (Herzberg Institute of

Astrophysics)Astrophysics)Victoria British Columbia

St Mary’s UniversityHalifax Nova Scotia

St MarySt Mary’’s Universitys UniversityHalifax Nova Scotia

University of TorontoToronto Ontario

University of TorontoUniversity of TorontoToronto Ontario

Rochester UniversityRochester New York

Rochester UniversityRochester UniversityRochester New York

Teledyne Imaging SystemsCamarillo California

Teledyne Imaging SystemsTeledyne Imaging SystemsCamarillo California

Corning NetoptixKeene New Hampshire

Corning NetoptixKeene New Hampshire

University of ArizonaTucson Arizona

University of ArizonaUniversity of ArizonaTucson Arizona

AURA / STScIBaltimore MarylandAURA / STScIAURA / STScIBaltimore Maryland

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ESA / Arianespace Launch Team Participation

• 1. Oerlikon SpaceSwitzerlandFairing

• 2. EADS Astrium STFranceDual launch structure

• 3. EADS CASASpainAdapters

• SAAB SpaceSwedenAdapters

• 4. EADS CASASpain3936 cone

• 5. EADS Astrium STGermanyVehicle equipment bay

• 6. EADS Astrium STGermanyUpper stage

• 7. Snecma groupe SAFRANFranceEngine of cryogenic upper stage

• 8. EADS CASASpainInter stage structure

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ESA / Arianespace Launch Team Participation

14. SABCABelgiumForward and rear skirts of boosters

15. Dutch SpaceNetherlandsMain engine frame

16. Snecma groupe SAFRANFranceEngine of main cryogenic stage and nozzles of solid rocket motor

RegulusFrench GuianaSolid propellant

13. AvioItalySolid rocket insulation

9. MT AerospaceGermanyForward skirt of main cryogenic stage and solid propellant motor cases

10. EADS Astrium STFranceMain cryogenic stage

11. EADS Astrium STFranceSolid Rocket Boosters

12. EuropropulsionFranceSolid rocket motor

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ESA / Arianespace Launch Team Participation;JWST Launch Team Interfaces / TAA Signatory(s)

1. European Space Agency (ESA)2. Arianespace (Launch Provider)3. Astrium S.A. (System Studies/FSW Engineering)4. Astrium Gmbh (Payload separation shock tests)5. Astrium Ltd. (Launch services for auxiliary

payloads)6. Centre National d’ Etudes Spatiales (Coordinate

activities of Guyana Space Center)7. Dassault Aviation, SA (Pyrotechnical Equipment)8. EADS-CASA Espaciao, S.L. (Payload Adapters and

Separation Systems)9. GECI Systems S.A. (Launcher / Satellite Coupled

Analysis)10. Intespace S.A. (Launch services for shock tests)11. Oerlikon Space AG (Launch services for fairings)12. Ruag Space AB (Clamp Bands and Adapters)

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Technical Assistance Agreements (TAA)

• Defined: An Agreement (e.g. contract) for the performance of a defense service(s) or the disclosure of technical data, as opposed to an agreement granting a right or license to manufacture defense articles…

• Defense Service (Technical Assistance): The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles

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JWST TAA TALLY

• As of early January 2009, there are over 130 planned, approved, executed (and a few started and discontinued) TAA(s) for JWST

• We currently have 8 hardware licenses in support of sub-assembly(s) and parts being acquired by our international partners

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So Why Are There So Many TAA(s) on JWST?

• There are approximately 30-35 U.S. company(s) involved on JWST– These company(s) range from the Observatory team, Operations

and Science, Support Service Contract Teams

• The European Space Agency and Canadian Space Agency do not want to be on each other’s TAA(s)– A “reluctant” signatory from one of the teams could hold up

exchange to the other instrument teams

• The international instrument teams (consortiums) can be large– This makes putting two ESA instruments on the same TAA

impractical

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So Why Are There So Many TAA(s) on JWST (cont’d)?

• A JWST contractor who is active among all three international instruments would require a minimum of 3 instrument TAA(s)

• Many of the embedded system engineering type support service contractors have subcontractors– Due to liability reasons, these prime contractors typically will not

cover their subcontractors on their own TAA(s)– Therefore, each subcontractor has minimum of three TAA(s)

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So Why Are There So Many TAA(s) on JWST (cont’d)?

• Due to the length of the JWST project, it is possible to have 3+ different GSFC support service contractors awarded the same contract over the life of JWST.

– They would all have their own TAA(s) as well as their subcontractors

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Challenges Presented by Full Project Technical Meetings

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JWST Partner’s Workshops, Design Reviews, Technical Interchange Meetings

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JWST Partner’s Workshops, Design Reviews, Technical Interchange Meetings

What are the considerations?

• Everybody must register! No exceptions!– Individuals have dual and/or third country citizenship– Country of birth is a consideration

• Do the necessary industry participants have TAA(s)?• Make all meetings “international” in nature• What you may not consider, i.e. facility staff nationality?• Expect cultural challenges• War stories

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Next Generation Integrated Network (NGIN),JWST’s Data Management Tool For ITAR Compliance

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Next Generation Integrated Network (NGIN),JWST’s Data Management Tool For ITAR Compliance, (Cont’d)

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Next Generation Integrated Network (NGIN),JWST’s Data Management Tool For ITAR Compliance, (Cont’d)

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Next Generation Integrated Network (NGIN),Sample Cover Sheet With Improved ITAR Banner

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ITAR: Final Thoughts & Observations

• Interpreting and applying the ITAR regulations is hard! No two U.S. entities interpret the ITAR the same way

• Always “have a good legal story” (legal authority) for all actions involving exchange with an international partner, as well as release into the public domain

• Projects do not operate in a vacuum; if there are non-compliance issues with ITAR within an entity, it will reveal itself eventually

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ITAR: Final Thoughts & Observations (Cont’d)

• Project personnel deep down understand the need for some measure of restriction of exchange of technical data– These are the individuals that I do not worry about

with respect to ITAR compliance, and avoiding any large fines and/or jail

• Compliance of the U.S. Export Control laws is not just for times of convenience; it really is mandatory always– To the credit of the JWST project at GSFC, JWST

instilled a culture of compliance during Project Formulation

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ITAR: Final Thoughts & Observations (Cont’d)

• Telephone participation in technical meetings can be a big challenge with respect to ITAR compliance

• Consider a remark on top of standard ITAR statements to explain in layman's terms what the ITAR statement stands for.– Example: For U.S. Persons / U.S. Permanent

Residents (“Green Card”) Holders Only

• NASA International Partners do not think much of the ITAR