Glocalization Assisting Researchers and Facilitating International Collaborations Susan
Glocalization: Assisting Researchers and Facilitating International Collaborations Susan Wyatt Sedwick, Ph. D, CRA Associate Vice President for Research Director, Office of Sponsored Projects The University of Texas at Austin
Learning Objectives • Participants will: – Gain awareness of good practices and tools available to research administrators to expedite the subaward process – Recognize the unique issues that can arise in foreign collaborations related to audits, payments and taxation – Discern the issues that require review for export controls compliance
Good science anywhere is good for science everywhere. Subra Suresh, Director National Science Foundation
Why collaborate? • Extension campuses • Global perspectives • Access to – Expertise – Research subjects – Research sites
Common Ground • • Environmental sustainability Renewable/clean energy International security issues Accessibility to quality health care Response to national disasters Educational reform Budget constraints
Foreign Initiatives • Emergence of research universities in the Middle East • UK and EU Grant Programs • Australian Innovation Programmes • Asia – – National Research Foundation of Korea Taiwan’s Aim for the Top University Project China’s 1000 Talents Program HKUST curriculum overhaul and aggressive western recruitment
Trust Researchers Declaration of 2010 • Bottoms-up initiative collected 13000+ signatures from researchers in ~45 countries • Mutual trust and responsible partnering • Appropriate levels of accountability • Effective, reliable and stable funding principles • Tolerable risks are vital for innovation
Glocalization Tailoring products and services to conform with local laws, customs or consumer preferences.
Challenges • • • Language Currency/Exchange rates Cultural nuances and practices Taxation Insurance/Safety and security Subrecipient monitoring Governing/applicable law Dispute resolution/arbitration Accounting and audit Distance
Issues in International Negotiations • Compliance issues – Human subjects – Animal care and use – Biosafety – Export controls • Technology and material transfers • Subawards • US Anti-boycott laws
Assessing Risk • Stanford University/University of Minnesota Risk Assessment Tool • http: //www. ncura. edu/content/misc/ncura_t v/submonitoring 0909/docs/UMN_Subrecipien t. Risk. Analysis. Template. xls
Negotiation Considerations • • • Prevailing language (English) Currency via wire transfer (Dollars) Invoicing and financial reporting Dispute resolution (International Chamber of Commerce) Travel warnings/restrictions Effort reporting Compliance Partnerships/Joint Ventures Payment
Payment Terms • • • Incoming award from foreign entity Outgoing subaward to foreign entity Up-front payment Residual hold for final report Wire transfers (OFAC)
Template Agreements • For Assistance Agreements (grants and cooperative agreements) utilize the FDP Subaward template http: //sites. nationalacademies. org/PGA/fdp/P GA_063626 • Coming soon – FDP Subcontract template • DO NOT CHANGE THE FDP templates except as allowed
Subrecipient Monitoring • Review audit findings (if any) – Follow up on corrective action items • Level of scrutiny should be commensurate with – – Complexity of the project Percentage of work being performed (dollars) Amount of award Identified risks • Ongoing monitoring of activities – – – Use of Federal Audit Clearinghouse and FDP website Ongoing contact Review reports Site visits as appropriate Desk or on-site audits, as warranted
Compliance Guidance • COGR’s Managing Externally Funded Research Programs: A Guide to Effective Management Practices • Responsible Conduct of Research (RCR) • NCURA’s publications – Regulations and Compliance – Managing Federal Grants – Sponsored Programs Administration: A Guide to Effective Strategies and Recommended Practices 20
COGR Good Practices • • Internal communication mechanisms Processes foreign visitors Export controls policy and procedures Travel risk policy
COGR Good Practices • International Transactions – Governing law – Compliance Issues • • – – – – International conventions/host country requirements Export controls compliance Human subjects protections Animal use and care Material transfers Dispute resolution Visa considerations Special considerations (e. g. Trafficking of persons) Termination/exit strategies Volatility of the locale Anti-bribery/Anti-boycott
COGR Good Practices • Taxation – Legal guidance – Consultation with unit responsible for tax filings – Tax burdens – who pays • “Permanent estalishment” • Value-added tax (VAT)
Export Controls Laws, Regulations and Sanctions • International Traffic in Arms Regulations (ITAR) US Department of State, Department of Defense Trade Controls (Munitions List) • Export Administration Regulations (EAR) – US Department of Commerce, Bureau of Industry Security (Commerce Controls List) • Office of Foreign Assets Controls (OFAC) – US Department of Treasury (Specially Designated Nationals)
What is controlled? ITAR EAR OFAC • Items on the Munitions List • Includes both research on defense articles and training or assistance in developing defense articles • Technical data related to the manufacture or production of defense articles • Anything with a substantial military application or related to satellites • Dual-use commercial products • Transactions of value to prohibited parties
Risks for Universities • Collaborations/discussions with foreign national collaborators and students especially when involving proprietary information • Taking or shipping items or transferring technology that is controlled to a foreign country or foreign national • Performing defense services • Visiting scientists • Travel to foreign countries including fieldwork • Technology and material transfers
Patents • Domestic patent application must be filed no later than one year after a public disclosure ~ first to invent • Provisional or fast track patent that provides protection for one year • Foreign patents must be filed prior to public disclosure ~ first to file
Visiting Scientists/Scholars • VSAs – Scholars – Scientists • • Non-citizens Length of visit Access Export Issue
Resources • EUROPA – European Union’s portal website http: //europa. eu/index_en. htm • Richey, J. B. (1993) Crafting Contracts of International Projects. http: //www. ncura. edu/content/educational_programs/s ites/51/handouts/Th_130_245 PM_I 6. pdf • NCURA’s International Neighborhood • DHHS International Compilation of Human Subject Research Protections http: //www. hhs. gov/ohrp/international/intlcompilati on/intlcompilation. html
Questions
- Slides: 30