Export Management System DRAFT

VANDERBILT UNIVERSITY Export Management System DRAFT Revision March 12, 2010

Table of Contents I. INTRODUCTION... 3 II. VANDERBILT UNIVERSITY POLICY ON COMPLIANCE WITH EXPORT CONTROL LAW AND REGULATION... 5 III. KEY INDIVIDUALS RESPONSIBLE FOR EXPORT CONTROL COMPLIANCE... 6 IV. SAFEGUARDING EXPORT CONTROLLED TECHNOLOGY OR ITEMS...10 V. LICENSING...10 VI. LICENSE EXCEPTIONS AND EXEMPTIONS RELATED TO TRAVEL OUTSIDE THE U.S....11 VII. VISITORS...12 VIII. SHIPPING...13 IX. PROCUREMENT...13 X. DISBURSEMENTS AND SALES...14 XI. RECORDKEEPING...14 XII. TRAINING PROGRAMS...15 XIII. MONITORING AND AUDITING...15 XV. NOTIFICATION, ESCALATION AND COMMUNICATION...15 XX. REPORTING VIOLATIONS...16 XXI. DISCIPLINARY ACTIONS...16 XXII. EMPLOYEE PROTECTION...16 Export Management System - DRAFT Date: March 12, 2010 Page 2 of 2

INTRODUCTION The U.S. export control system generally requires export licensing for defense items, for items that have both commercial and military applications, and for exports to sanctioned persons and destinations. U.S. national security, economic interests and foreign policy shape the U.S. export control regime. The export laws and regulations aim at achieving various objectives, such as preventing the proliferation of weapons of mass destruction, advancing the U.S. economic interests at home and abroad, aiding regional stability, implementing anti-terrorism and crime controls, and protecting human rights. These controls generally restrict the export of products and services based on the type of product and the destination of the export. The U.S. Government tightly regulates the export not only of equipment and components, but also of technology. Technology includes technical data, such as blueprints and manuals, as well as design services (including the transfer of knowledge ) and training. U.S. laws assert jurisdiction over U.S.-origin equipment and technology even after it is exported (i.e., restricting the re-export or re-transfer to third parties). In addition to general export licensing, the United States maintains economic embargoes against a number of countries whose governments consistently violate human rights or act in support of global terrorism. Such embargoes bar most transactions by U.S. persons with these countries. Three principal agencies regulate exports from the United States: the U.S. Department of State Directorate of Defense Trade Controls ( DDTC ) administers export control of defense exports; the U.S. Department of Commerce Bureau of Industry and Security ( BIS ) administers export control of so-called "dual-use" technology exports; and the U.S. Department of the Treasury Office of Foreign Assets Control ( OFAC ) administers exports to embargoed countries and designated entities. Export Controls and University Activities Export control regulations reach beyond just the physical export of items or information. The regulations require due diligence in the areas of international shipping, international travel, procurement, international collaboration, accounts payable, accounts receivable, human resources, research, and international visitors. The level of due diligence in all aspects of export compliance is important both in the US and abroad. U.S. national security and economic interests are heavily dependent on technological innovation and advantage. Many of the nation's leading-edge technologies, including defense-related technologies, are being discovered by U.S. and foreign national students and scholars in U.S. university research and universityaffiliated laboratories. U.S. policymakers recognize that foreign students and researchers have made substantial contributions to U.S. research efforts, but the potential transfer of controlled defense or dual-use technologies to their home countries could have significant consequences for U.S. national interests. The U.S. Export Management System - DRAFT Date: March 12, 2010 Page 3 of 2

export control agencies place the onus on universities and their employees to understand and comply with the regulations. 1 Export controls present unique challenges to universities and colleges because they require balancing concerns about national security and U.S. economic vitality with traditional concepts of unrestricted academic freedom, and publication and dissemination of research findings and results. University faculty, staff, and administrators need to be aware that these laws may apply to research, whether sponsored or not/funded or not. However, it also is important to understand the extent to which the regulations do not affect normal university activities. 1 See GAO Report "Export Controls: Agencies Should Assess Vulnerabilities and Improve Guidance for Protecting Export- Controlled Information at Universities," December 2006, available at http://www.gao.gov/new.items/d0770.pdf. Export Management System - DRAFT Date: March 12, 2010 Page 4 of 2

II. VANDERBILT UNIVERSITY POLICY ON COMPLIANCE WITH EXPORT CONTROL LAW AND REGULATION Page 5 of 20

III. KEY INDIVIDUALS RESPONSIBLE FOR EXPORT CONTROL COMPLIANCE A. ROLE OF A PRINCIPAL INVESTIGATOR ( PI ) PIs have expert knowledge of the type of information and technology involved in a research project or other university activity, such as presenting at conferences, and discussing research findings with fellow researchers, collaborators, or with students in a classroom setting. PIs must ensure that they do not disclose controlled information or transfer controlled articles or services to a foreign national without prior federal authorization, as required. Each PI: 1. must understand his or her obligations under export controls, and participate in regular training to help him or her identify export control issues; 2. must identify the technology involved in the research or other university activity; 3. must identify foreign nationals that may be involved and, if export control is likely, initiate the process of clearing foreign national participation well in advance to ensure that a license is obtained in a timely manner, implement proper measures to isolate foreign nationals from participation, or isolate foreign nationals from access to export controlled materials and information; 4. must, if undertaking an export controlled project, brief the students 2 and other project participants of their obligations under export controls; and 5. cooperate with Vanderbilt Export Compliance (VEC) and the Empowered Official (EO) in developing a Technology Control Plan (TCP), which the PI has the responsibility to follow and implement. a. INITIAL AWARD REVIEW The PI, in conjunction with the Division of Sponsored Research (DSR); non-medical research, or Grants and Contracts Management (GCM); medical research, performs the initial award review by completing the Agreement Export Review Form found at Appendix A. Following are red flags indicating possible export control issues: 1. references to U.S. export regulations (beyond a mere statement to comply with the law); 2. restrictions on publication or dissemination of the research results; 2 Faculty members working with students on research projects must inform those students in advance of the terms of this policy and of any burdens of nondisclosure or confidentiality deemed necessary by the faculty member to protect resulting technology. Chapter IV, Section B Technology in the Vanderbilt University Faculty Manual Page 6 of 20

3. pre-publication approval from sponsor or other editorial control; 4. propriety or trade secret claims on project results; 5. restriction of access or participation to U.S. citizens only; 6. involvement of foreign sponsors or foreign collaborators; 7. travel, shipping, or work performed outside the U.S.; when possible arrange purchases abroad to avoid exporting equipment, supplies, etc. out of the US 8. military applications of the project results or involvement of military departments or personnel; or 9. funding from the Department of Defense, the Department of Energy, the Army, the Air Force, the Naval Office, National Aeronautics and Space Administration, the National Reconnaissance Office, Homeland Security, or other U.S. government agencies. b. FINAL AWARD REVIEW If the initial award review flags a possible export control issue: 1. DSR/GCM will refer the project to VEC for final review. 2. Upon completing the review, VEC will provide export compliance recommendations to the PI and advise the Empowered Official of any export control concerns which apply to the research, restrictions on access by foreign persons, and any other relevant requirements pursuant to ITAR and EAR. 3. A memo will be sent by DSR or GCM to the PI providing general export control guidance. The PI Memo is provided in Appendix B. 4. A completed Agreement Export Review Form will be kept in the project file along with all supporting documentation in either DSR or GCM. 5. If the export analysis determines that the agreement has export control restrictions, the DSR/GCM Contract Analyst will receive Appendix C Agreement Export Determination from VEC to complete, route for signature, and to retain with project file. ** If the initial award review does not indicate any export control issues a copy of the Agreement Export Review form should still be kept along with the project file to document the Fundamental Research Exclusion (FRE). Page 7 of 20

B. DIVISION OF SPONSORED RESEARCH (DSR) AND THE OFFICE OF GRANTS AND CONTRACTS MANAGEMENT (GCM) DSR and GCM provide assistance in export controls matters relating to their respective offices by working closely with the Empowered Official, PIs, and VEC in identifying export control issues and providing support for the university s export compliance program. DSR and GCM: 1. provide assistance to PIs and research staff in reviewing the terms of sponsored agreements or grants to identify restrictions on publication and dissemination of the research results; 2. complete the Agreement Export Review Form (Appendix A) for every project funded by a contract and send it to VEC for review if export control issues are flagged and complete the Agreement Export Determination Appendix C as requested; 3. are responsible for maintaining centralized records of all export documentation relating to a research project or education activity; and 4. coordinate with the PI, VEC and the EO to ensure that foreign nationals will be isolated from participation in an export-controlled project in accordance with the Technology Control Plan (TCP), unless the university applies for and obtains a license from the relevant agency. C. VANDERBILT EXPORT COMPLIANCE (VEC) Vanderbilt Export Compliance (VEC) reports to the Vice Provost for Research (VPR). VEC is tasked with development and implementation of the procedures set forth in this Export Management System (EMS). VEC works closely with the VPR, Division of Sponsored Research (DSR), Grants and Contracts Management (GCM) and the Associate Vice Chancellor for Research (AVCR) in performing his or her responsibilities: 1. identifies areas at Vanderbilt relative to research, shipping, travel, collaboration, technology transfer, etc. that are impacted by export control regulations; 2. develops procedures to assist the university in export compliance; 3. recommends procedures to the senior Vanderbilt administration to strengthen Vanderbilt's compliance; 4. provides awareness training to inventors, principal investigators, and other Vanderbilt employees and representatives about export control regulations and procedures followed at Vanderbilt; 5. monitors changes in regulations and legislation related to export control; Page 8 of 20

6. works with others on campus to facilitate understanding and compliance with export controls; 7. conducts training and outreach on export controls; 8. assists investigators, researchers and departments at Vanderbilt in the development of a Technology Control Plan ( TCP ) for each export-controlled project, consistent with these procedures, to aid faculty and staff in meeting his or her export control responsibilities and other guidance when research or research results are export controlled; D. EMPOWERED OFFICIAL (EO) The Vice Provost for Research (VPR) is the Vanderbilt Empowered Official for export control matters. In this capacity, the Empowered Official (EO) has the authority to represent the university before export control regulators in matters related to registration, licensing, commodity jurisdiction requests, or voluntary disclosures. In evaluating Vanderbilt University Medical Center (VUMC) related projects, the EO may seek recommendations from the VUMC Associate Vice Chancellors for Research (Clinical Sciences and/or Biomedical Sciences). While certain oversight functions may be delegated in writing, only the EO signs such paperwork and binds the university in any proceeding before DDTC, BIS, OFAC, or any other government agency with export control responsibilities. E. KEY UNIVERSITY MANAGERS Deans, directors, and department heads share the responsibility of overseeing export control compliance in their respective schools or departments, supporting the Empowered Official in implementing the export compliance program and directing administrative support staff in their export compliance responsibilities. F. ADMINISTRATIVE OFFICERS AND ADMINISTRATIVE SUPPORT STAFF The person trained to be aware of basic export compliance issues and responsible at a local level for research administration, foreign travel and/or international shipping will notify the PI and VEC if export control concerns arise. Further, this individual would execute and retain records of any research, foreign travel/shipping export analysis. G. EXPORT CONTROL EXECUTIVE COMMITTEE (ECEC) The Export Control Executive Committee (ECEC) will oversee the implementation of processes and controls across the institution for purposes of compliance with Export Control laws. As part of the EMS, the ECEC will formalize the written Export Management System (EMS) through initial adoption on behalf of Vanderbilt University. The ECEC will meet periodically to update and review the EMS as needed. In no event, will the ECEC meet less than annually. However, the ECEC will make decisions related to its role regarding institutional compliance as issues arise. The ECEC consists of the following members: Page 9 of 20

Dennis Hall Vice Provost for Research, Dean of the Graduate School 615-322-2809 Susan Wente Associate Vice Chancellor for Research, Senior Associate Dean for Biomedical Sciences 615-936-3455 Gordon Bernard Associate Vice Chancellor for Research, Senior Associate Dean for Clinical Sciences 615-343-0077 Jerry Fife Vice Chancellor for Administration 615-343-6658 John Callison Senior Deputy General Counsel 615-322-8613 Marcia Williams (Ex Officio) Assistant Director, Export Compliance 615-343-6075 Once constituted, the ECEC will address how to make changes to the EMS. IV. SAFEGUARDING EXPORT CONTROLLED TECHNOLOGY OR ITEMS If the Empowered Official or other delegated representative determines that a project is export controlled, VEC and DSR/GCM will work with the PI to develop and implement a Technology Control Plan (TCP) to secure the controlled technology from access from unlicensed non-u.s. citizens. The TCP will include physical and information security measures appropriate to secure specific technology categories in the project. Before any individual may observe or access the controlled technology, he or she must have received general export control training and be briefed on the procedures, certify his or her agreement to comply with all security measures, and have his or her certification authorized by an Empowered Official or other delegated representative. V. LICENSING If a research project has export restrictions, and a license may be required to proceed, no work may begin on the project until a license has been obtained. If a license is necessary but a license exception applies, the applicability of the exception must be documented in writing before the export can occur. ListVue is available for this purpose. Page 10 of 20

In order to determine if a license may be necessary, the PI should consult with VEC. Once it is determined that a license is probably necessary, VEC will further assist the PI in preparing a license application request for submission to the Empowered Official. The EO has discretion to decide whether Vanderbilt apply for the license. At the agency level, license determinations can then take one to eight months if granted. If a license is needed to involve a foreign national on a research project, the Empowered Official may apply for an export license to allow the disclosure of information only to foreign persons involved in the research. Note that each foreign person must be specifically licensed for each controlled project and each controlled item to which they will have access during the project. Also note that a TCP, as described above, must be implemented. The EO or his delegate, in coordination with the Office of the General Counsel, will prepare and sign the necessary documentation for obtaining a license. VI. LICENSE EXCEPTIONS AND EXEMPTIONS RELATED TO TRAVEL OUTSIDE THE U.S. Travel or transmissions to destinations outside the U.S. can be impacted by export control regulations. A license may be required depending on which items are taken, which countries are visited, or whether defense services are provided to a foreign person. However, an exception or exemption from license requirements may exist. A License Exception 3 may be available for certain EAR controlled items, technology, or software if the individual travelling outside the U.S. can certify that he or she: 1. will ship or hand-carry the items, technology, or software for Vanderbilt business only; 2. will return or certify the destruction of the items, technology, or software within 12 months of leaving the U.S.; 3. will keep the items, technology, or software within his or her effective control; 4. will take necessary security precautions to protect against the unauthorized export of the technology; 5. will not ship or hand-carry the items, technology, or software to Iran, Syria, Cuba, North Korea, or Sudan 4 without first consulting with the VEC; and 6. will verify the end-use of the item is appropriate A License Exemption 5 may be available to ITAR controlled technical data transmitted outside the U.S. if the individual transmitting the technical data can certify that: 1. the technical data is to be used overseas solely by a U.S. person(s); 2. the U.S. person overseas is an employee of Vanderbilt or the U.S. Government and is not an employee of a foreign company or subsidiary and, 3 See 15 C.F.R. 740.1. 4 This list is subject to change. For most current list, see 15 C.F.R. 742.1. 5 See 22 C.F.R. 125.4. Page 11 of 20

3. no export will be made to countries listed by 22 C.F.R. 126.1. 6 Please note that other exceptions or exemptions may be available. All exceptions or exemptions must be documented before traveling, kept by the exporter, and maintained for at least five years after the termination of the project. Certification forms are located online at http://www.vanderbilt.edu/exportcompliance. VEC maintains annual and one-time exceptions documentation. Before traveling internationally for any Vanderbilt business (sponsored or nonsponsored), conference, seminar, leading student groups, etc., the Vanderbilt University Travel Registration program strongly recommends all travelers register travel abroad into the International Travel Registration portal via the Personal Traveler Locator. http://www.internationalsos.com/members_home/login/clientaccess.cfm?custno=11 BSGM000066 Please plan to register 10 days before traveling to ensure there is ample time for travel risk analysis, travel briefings, export compliance analysis, Dean review/approval, Study Abroad Risk Assessment Committee (SARAC) review (as appropriate), Global Education Office (GEO) review, Office of General Counsel (OGC) review, etc. Additional Resources: Vanderbilt International Office (VIO) main website. I. VIO International Travel Resources page Vanderbilt Export Compliance (VEC) main website. I. VEC Travel page Procurement & Disbursement Services main website. I. Foreign Travel Information Global Education Office (GEO) main website. Office of General Counsel main website. VUMC Travel Policy It is recommended to not travel to embargoed countries for which Vanderbilt University does not have a current license, as any research or educational activities will require a license from OFAC. OFAC sanctions apply to assets (any value) and transactions This includes phone or email interactions with persons residing in these countries. The countries with complex, comprehensive sanctions (embargoes) are North Korea, Iran, Sudan, Syria, and Cuba. VII. VISITORS Foreign national visitors coming to Vanderbilt may not have access to export controlled information, items, research, etc. without proper University and government approval. If access to any export controlled material is contemplated during their visit, prior to their arrival at Vanderbilt, VEC must be contacted to provide export compliance guidance with Federal laws and regulations. Please plan accordingly as an export license may be required and could take several months to receive (if approved). 6 The full list of proscribed countries may be found at http://www.pmddtc.state.gov/regulations_laws/documents/official_itar/itar_part_126.pdf. Page 12 of 20

VIII. SHIPPING It is important not to ship any Vanderbilt property outside of the U.S. without first determining if the item is controlled (EAR or ITAR) as a license may be required. If it is going to a sanctioned country (current list can be found here - http://www.treas.gov/offices/enforcement/ofac/programs/), a license may be required as well. As the exporter, you will be held accountable for the export. Federal regulations require any export related documentation (this includes reexport information) be kept for five years from the date of the last activity on the export. Documentation should include supporting information relating to why the exporter believes the items are not controlled or why they are controlled. This includes any applicable exceptions, denied parties screens, etc. Licenses may be required in an export, but even if this is not applicable, filing the export through the Automated Export System (AES) may be required for any exports in value of $2500 or more (per Harmonized Tariff Code), if the shipment is going to an embargoed country, if the shipment contains export controlled information or items, etc. An international carrier can assist the exporter in this filing. Vanderbilt s approved international carrier, FedEx, can assist in preparing for a shipment. (For any questions relating to opening an account with a carrier or other general questions, please contact Vanderbilt Disbursement Services, via sylvia.graham@vanderbilt.edu or at (615) 343-2943. It is important to note that there may be duties and fees associated with an international shipment. If you should receive an invoice from a carrier, please forward it promptly to Disbursement Services for processing; you must include your contact information along with the center number that should be charged.) Vanderbilt University s Customs Broker is V. Alexander & Company, Inc. (more information can be found at :http://www.vanderbilt.edu/procurement/procurement/forms/customs%20brokerage% 20-%20How%20to%20Use.doc on this service). Shipments requiring a Customs Broker must be coordinated with Procurement. IX. PROCUREMENT All suppliers to Vanderbilt must abide by all U.S. economic sanctions or trade embargoes whether they apply to foreign countries, political organizations or particular foreign individuals and entities. As a requirement of Purchase Orders (POs), EAR Export Control Classification Numbers (ECCN) or ITAR Categories, Country of Origin, and Harmonized Tariff Codes will be requested for all items purchased. This information will be documented in the Procurement database which will be accessible by faculty and staff as needed via reports to prepare items or information for export outside of the US and/or for deemed export review (e,g, when foreign nationals will be working with specific equipment, etc.). Page 13 of 20

Purchased items imported from international countries must be properly screened for export control concerns as well. Once purchased and enroute to Vanderbilt, the purchaser is responsbile for securing the item or information appropriately. Many international vendors will be able to provide Harmonized Terriff Schedule (HTS) code, but not US ECCN or categories that may be associated with the item. Self-classification with the assistance of the VEC is important to ensure the equipment and related information are appropriately safeguarded. Denied Parties Screens must be completed to document that we are not purchasing from an entitiy or individual who is a denied party. X. DISBURSEMENTS AND SALES All disbursements to foreign nationals or foreign entities should be screened to ensure we are not working with a denied party. For individuals or entities who are from a sanctioned country (http://www.treas.gov/offices/enforcement/ofac/programs/) additional consideration must be made before they receive disbursements. Sales of information, software, items, etc. require careful consideration include the determination the ECCN or category, denied parties screens, etc. This includes the sale of surplus equipment. XI. RECORDKEEPING Unless otherwise provided for, all records required for export compliance shall be maintained consistent with applicable federal regulations by the responsible party and department, and shall be retained no less than five years after the last activity to an export relating to the project. This includes projects with a TCP termination date or license termination date, whichever is later, or the last date of activity relating to an export, etc. If ITAR controlled technical data is exported under an exemption, certain records of the transaction must be kept beyond the five year retention period described above. 7 Those records include: 1. a description of the unclassified technical data; 2. the name of the recipient /end-user; 3. the date / time of export; 4. the method of transmission (e.g., e-mail, fax, telephone, FedEx); and 5. the exemption under which the export took place. Note that information which meets the criteria of being in the public domain, being educational information, or resulting from Fundamental Research is not subject to export controls under the ITAR and an exception or exemption is not required. Therefore, the special requirement for recordkeeping when using an exclusion, exception, or exemption may not apply. However, it is a good practice to provide such description for each project to establish a record of compliance. 7 See 22 C.F.R. 122.5 and 123.26. Page 14 of 20

The Bureau of Industry and Security (BIS) has specific record-keeping requirements. 8 Generally, records required to be kept by EAR must be kept for a period of five years from the project s termination date. However, if BIS or any other government agency makes a request for such records following a voluntary selfdisclosure, the records must be maintained until the agency concerned provides written authorization otherwise. XII. TRAINING PROGRAMS Training is the foundation of a successful export compliance program. Wellinformed employees minimize the likelihood that inadvertent violations of the law will occur. The greatest risk of non-compliance of export laws and regulations occurs during casual conversations in person, on the telephone, or via e-mail. The way to prevent these types of violations is through awareness and training. VEC will prepare updated training materials. VEC will provide training to University faculty, staff and students as appropriate (as needed and/or upon request). In addition, employees engaged in an export controlled project may receive a project specific briefing. VEC will also maintain records of training provided to employees. XIII. MONITORING AND AUDITING In order to maintain Vanderbilt s export compliance and ensure consistent adherence to U.S. export laws, the VEC may conduct internal reviews of TCPs and certain projects. The purpose of any audit or review is: (i) to identify possible violations; and (ii) to identify deficiencies in training, procedures, etc., that can be rectified. XV. NOTIFICATION, ESCALATION AND COMMUNICATION Before export controlled information, data, or items can be sent from Vanderbilt or received by Vanderbilt faculty or staff, a NOTIFICATION of the export restriction must be given to the receiving party. Faculty and/or staff may be required to obtain a prior informed consent in order for the export to occur. The regulations governing chemical or biological exports may require additional time to secure approval. If you have knowledge that an export violation has occurred, it is your obligation to report your findings to a Vanderbilt compliance office. If you have knowledge that an export violation has occurred or will occur, and you do not report it, you become subject to possible federal prosecution, and sanctions by appropriate Vanderbilt officials up to and including termination. You may report any known or suspected export violation by contacting Vanderbilt Export Compliance or you may choose to report anonymously/confidentially using the Vanderbilt University and Vanderbilt Medical Center Compliance Confidential Hotlines; the numbers are listed below. University Central Confidential Hotline Medical Center Confidential Hotline 8 See 15 C.F.R. 762.6. Page 15 of 20

615-322-1033 615-343-0135 XX. REPORTING VIOLATIONS Vanderbilt is encouraged by federal agencies to disclose export control violations. Penalties for export violations can be severe, including personal liability, monetary fines, and imprisonment. The EO and the General Counsel s Office will work together to determine if a voluntary self-disclosure is appropriate after researching all the facts related to the case. Any individual who suspects a violation has occurred or may imminently occur must immediately notify a Vanderbilt compliance office see Section XV. Notification, Escalation and Communication above. XXI. DISCIPLINARY ACTIONS In recognition of the seriousness of non-compliance with export controls, Vanderbilt will address non-compliance in accordance with Vanderbilt University s Faculty Manual 9 as well as the University s Staff Guidelines. All Vanderbilt employees responsible for export controls compliance or who are participating in exportcontrolled projects must be aware of the substantial criminal and civil penalties imposed for violation of the export regulations including personal liability, monetary fines and imprisonment. This may also include disciplinary action, up to and including, termination from Vanderbilt. XXII. EMPLOYEE PROTECTION No individual shall be punished solely because he or she reported what was reasonably believed to be an act of wrongdoing or export control violation. However, a Vanderbilt employee will be subject to disciplinary action if the employee knowingly fabricated, knowingly distorted, or knowingly exaggerated the report. 9 See http://www.vanderbilt.edu. Page 16 of 20

APPENDIX A AGREEMENT EXPORT REVIEW FORM Page 17 of 20

APPENDIX B PI MEMO (distributed to the PI at award via email) Subject Line of Email to Include: GCM/DSR # - Export Control Analysis CC- Administrative Officer and VEC vec@vanderbilt.edu DSR/GCM #: Project Title: PI Name: Sponsor/Collaborator: Country of Collaboration: Congratulations on your research endeavor XXXXX! Before initiating the project award, it is important that consideration be given to the requirements of U.S. export control law. These laws apply to both funded and unfunded collaborations. The U.S. government has regulations concerning the export of goods and technologies that have the potential for military applications. Although most of the research conducted by Vanderbilt faculty does not involved direct military applications, the U.S. law addresses, dual-use technologies or items that could be used for military as well as commercial purposes. These dual-use technologies are items that are commercially available in the U.S. that are restricted for export to certain countries. The sharing of certain technological information related to any export controlled item can be considered a violation of export control regulations, also. Vanderbilt Export Compliance (VEC) at www.vanderbilt.edu/exportcompliance informs best practice for all faculty and staff conducting: research collaborations with foreign researchers Is the research export controlled? exporting items or information (shipping) abroad Is a license necessary and, if so, is an exception documented or a license obtained? international travel with Vanderbilt property Is a license necessary and, if so, is an exception documented or a license obtained? hosting foreign visitors at Vanderbilt See Vanderbilt University Policy on Compliance with Export Control Law and Regulation http://www.vanderbilt.edu/exportcompliance/policies.php Export Compliance Best Practice: Run denied parties screens on all individuals and entities involved in the project. U.S. law prohibits the University form conducting business with individuals or entities listed on one of several denied parties lists. The University provides assistance in searching these lists simultaneously through ListVUe which is available at www.vanderbilt.edu/exportcompliance, [click on the ListVUe button found on the left; bookmarking a direct link to ListVUe is not recommended]. The results of the denied party screen should be retained with your project files for 5 years after the last date of Page 18 of 20

activity on the project. Should you have questions regarding this system, please contact DSR at sponsored_research@vanderbilt.edu Similarly, if the project involves export controlled information or items, please document your export analysis and retain for five years. ListVUe is also available for this purpose. If you will be shipping or traveling internationally, determine if your item(s) laptop, fashdrive, etc. or information require a licenses to export and if so, whether a license is necessary or a license exception applies and is documented. When the export control analysis is complete on the afore mentioned research project, you will receive communication from VEC as to the outcome. Should you have any questions relating to your research and export compliance please feel free to contact VEC at vec@vanderbilt.edu or by calling Marcia Williams 3-6075 or Melanie Lang 2-2474. Good luck to you in your research! Sincerely, GCM/DSR Representative Page 19 of 20

APPENDIX C AGREEMENT EXPORT DETERMINATION Page 20 of 20