Export Control Checklist

used at

Award Acceptance Stage

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First Inspection completed by Award Acceptance Officer (AA) ____________________________________________________________________________________

For sponsored projects funded by DoD, NASA, Energy, Defense Contractors, international sponsors, either directly or as flow thru, the AA will complete this Export Control Review checklist.

For all other projects, the AA is not required to complete this Export Control checklist BUT this list should still be used as a guide for the AA’s review.

Check all applicable boxes:

Does the project activity involve any of the following areas: nuclear technology, weaponry, missiles, unmanned vehicles, encryption technology, lasers, sensors, radars, optics, surveillance, astronomical instruments?

Yes No

Does the award or associated documents and correspondence contain any indication from the Sponsor or any other party that the project is restricted under Export Control Regulations?

Yes No

Does the award or associated documents contain a publication prior approval requirement or any other restriction on publication?

Yes No

Does the award or associated documents contain any restrictions on who may work on the project (e.g. no foreign nationals may work on the grant)?

Yes No

Does the project activity refer to using “restricted” equipment? Yes No

Does the project activity involve a foreign component (shipment overseas, foreign collaboration or participants, activity overseas)?

Yes No

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If any “yes” box has been checked, the AA prepares the next section: Secondary Inspection.

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If only “No” boxes have been checked, no substantial Export Control concerns have been identified. The

AA saves the checklist as completed under the project folder under S:\osp\03-RECORDS and the AA can

proceed with the awarding process.

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Secondary Inspection _____________________________________________________________________________________

Principal Investigator Department College UVM’s Sponsor Prime Sponsor InfoEd # Title of Project Scope of Work (copy/paste or attach copy) Equipment Being Used Countries / Foreign component Project Performance Period

1 DoD Distribution Statements.

Distribution Statement A: This is approved for public release distribution is unlimited. Distribution Statement B: Distribution is limited to US Government agencies only; other requests shall be referred to the controlling DOD office. Distribution Statement C: Distribution is authorized to US Government agencies and their contractors. Distribution Statement D: distribution of technical documents to DoD components and their contractors. Distribution Statement E: distribution of technical documents to DoD components only. Distribution Statement F: all distribution of technical document is to be determined by the controlling DOD office. Distribution Statement X: Distribution is authorized to US government organizations and private individuals or enterprises eligible to obtain export-controlled technical data in accordance with DoD Directive 5230.25.

Award Document / Solicitation

Publication Constraint: None

Describe:

Person Access Constraint: None

Describe:

If DoD, Distribution Statement1 other than “A” Distribution Constraint Letter:

If DoD, Contract Security Classification Specification, (Form DD254):

None Describe:

Specific Contractual Clauses:

NASA FAR 1852.204-76 FAR 52.227-17 DFAR 252.204-7000 DFAR 252.204-9001 DFAR 252.204-7008 DFAR 252.204-7012 DFAR 252.227-7020 DOE FAR 952.204-71 ARL 52.004-4400 AFMC 5352.227-9000

If DoD, what budget activity?

6.1- Basic Research 6.2- Applied Research 6.3- Advance Technology

Development 6.4- Advanced Component

Development andPrototypes

6.5- System Developmentand Demonstration

6.6- RDT&E ManagementSupport

6.7- Operational SystemDevelopment

Project Performance Characteristics

Sponsor or any other party has indicated the Project is controlled:

None Describe:

Foreign Travel / Interaction:

None Describe:

Items, data, materials or equipment to be transferred outside of the US:

None Describe:

Foreign Collaborators / Entities:

Name: Country of citizenship:

None

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AA Instructions upon Completion _____________________________________________________________________________________

1. Upon completion of the Secondary Inspection, the AA sends the following packet to the ResearchCompliance Officer (RCO), Victoria Jones vjones1@uvm.edu:

− this completed checklist, and− the award document.

2. The AA continues reviewing the award, proceeds to collect information needed to accept theaward and if needed can begin preparing the request for changes in coordination with the PI anddepartment. However, the AA may not proceed to signature until the RCO confirms by email theAA may proceed to signature, while the project is still under EC review.

3. Award-set up is always on hold, until the RCO by email provides the AA with the outcome of theEC review, as noted below:

A. No EC concerns, AA can move forward to award set-up.

B. Project is deemed to be export controlled, AA will hold the award –set up until the RCO byemail confirms the Technical Control Plan (TCP) is complete, and the related EC training iscomplete for all participants.