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Glocalization: Assisting Researchers and Facilitating International CollaborationsSusan Wyatt Sedwick, PhD, CRAAssociate Vice President for Research Director, Office of Sponsored ProjectsThe University of Texas at Austin

Learning ObjectivesParticipants 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 taxationDiscern the issues that require review for export controls compliance

Good science anywhere is good for science everywhere.Subra Suresh, DirectorNational Science Foundation

Why collaborate?Extension campusesGlobal perspectivesAccess to ExpertiseResearch subjectsResearch sites

Common GroundEnvironmental sustainabilityRenewable/clean energyInternational security issues Accessibility to quality health careResponse to national disastersEducational reformBudget constraints

Foreign InitiativesEmergence of research universities in the Middle EastUK and EU Grant ProgramsAustralian Innovation ProgrammesAsiaNational Research Foundation of KoreaTaiwans Aim for the Top University ProjectChinas 1000 Talents ProgramHKUST curriculum overhaul and aggressive western recruitment

Trust Researchers Declaration of 2010Bottoms-up initiative collected 13000+ signatures from researchers in ~45 countriesMutual trust and responsible partneringAppropriate levels of accountabilityEffective, reliable and stable funding principlesTolerable risks are vital for innovation

GlocalizationTailoring products and services to conform with local laws, customs or consumer preferences.

ChallengesLanguageCurrency/Exchange ratesCultural nuances and practicesTaxationInsurance/Safety and security Subrecipient monitoringGoverning/applicable lawDispute resolution/arbitrationAccounting and auditDistance

Issues in International NegotiationsCompliance issuesHuman subjectsAnimal care and useBiosafetyExport controlsTechnology and material transfersSubawardsUS Anti-boycott laws

Assessing RiskStanford University/University of Minnesota Risk Assessment Toolhttp://www.ncura.edu/content/misc/ncura_tv/submonitoring0909/docs/UMN_SubrecipientRiskAnalysisTemplate.xls

Negotiation ConsiderationsPrevailing language (English)Currency via wire transfer (Dollars)Invoicing and financial reportingDispute resolution (International Chamber of Commerce)Travel warnings/restrictionsEffort reportingCompliancePartnerships/Joint VenturesPaymentPayment TermsIncoming award from foreign entityOutgoing subaward to foreign entityUp-front paymentResidual hold for final reportWire transfers (OFAC)

Template AgreementsFor Assistance Agreements (grants and cooperative agreements) utilize the FDP Subaward template http://sites.nationalacademies.org/PGA/fdp/PGA_063626Coming soon FDP Subcontract templateDO NOT CHANGE THE FDP templates except as allowed Subrecipient MonitoringReview audit findings (if any)Follow up on corrective action itemsLevel of scrutiny should be commensurate withComplexity of the projectPercentage of work being performed (dollars)Amount of awardIdentified risksOngoing monitoring of activitiesUse of Federal Audit Clearinghouse and FDP websiteOngoing contactReview reportsSite visits as appropriateDesk or on-site audits, as warranted

20Compliance GuidanceCOGRs Managing Externally Funded Research Programs: A Guide to Effective Management Practices Responsible Conduct of Research (RCR)NCURAs publicationsRegulations and ComplianceManaging Federal GrantsSponsored Programs Administration: A Guide to Effective Strategies and Recommended Practices

20COGR Good PracticesInternal communication mechanismsProcesses for foreign visitorsExport controls policy and proceduresTravel risk policy

COGR Good PracticesInternational TransactionsGoverning lawCompliance IssuesInternational conventions/host country requirementsExport controls complianceHuman subjects protectionsAnimal use and careMaterial transfersDispute resolutionVisa considerationsSpecial considerations (e.g. Trafficking of persons)Termination/exit strategiesVolatility of the localeAnti-bribery/Anti-boycottCOGR Good Practices TaxationLegal guidanceConsultation with unit responsible for tax filingsTax burdens who paysPermanent estalishmentValue-added tax (VAT)Export ControlsLaws, Regulations and SanctionsInternational 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?Risks for UniversitiesCollaborations/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 nationalPerforming defense servicesVisiting scientistsTravel to foreign countries including fieldworkTechnology and material transfers

PatentsDomestic patent application must be filed no later than one year after a public disclosure ~ first to inventProvisional or fast track patent that provides protection for one yearForeign patents must be filed prior to public disclosure ~ first to file

Visiting Scientists/ScholarsVSAsScholarsScientistsNon-citizensLength of visitAccessExport Issue

ResourcesEUROPA European Unions portal website http://europa.eu/index_en.htmRichey, J.B. (1993) Crafting Contracts of International Projects. http://www.ncura.edu/content/educational_programs/sites/51/handouts/Th_130_245PM_I6.pdfNCURAs International NeighborhoodDHHS International Compilation of Human Subject Research Protectionshttp://www.hhs.gov/ohrp/international/intlcompilation/intlcompilation.html

Questions