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Glocalization : Assisting Researchers and Facilitating International Collaborations

Glocalization : Assisting Researchers and Facilitating International Collaborations. Susan Wyatt Sedwick, PhD, CRA Associate Vice President for Research Director, Office of Sponsored Projects The University of Texas at Austin. Learning Objectives. Participants will:

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Glocalization : Assisting Researchers and Facilitating International Collaborations

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  1. Glocalization: Assisting Researchers and Facilitating International Collaborations Susan Wyatt Sedwick, PhD, CRA Associate Vice President for Research Director, Office of Sponsored Projects The University of Texas at Austin

  2. 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

  3. Good science anywhere is good for science everywhere. Subra Suresh, Director National Science Foundation

  4. Why collaborate? • Extension campuses • Global perspectives • Access to • Expertise • Research subjects • Research sites

  5. Common Ground • Environmental sustainability • Renewable/clean energy • International security issues • Accessibility to quality health care • Response to national disasters • Educational reform • Budget constraints

  6. 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

  7. 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

  8. Glocalization Tailoring products and services to conform with local laws, customs or consumer preferences.

  9. 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

  10. Issues in International Negotiations • Compliance issues • Human subjects • Animal care and use • Biosafety • Export controls • Technology and material transfers • Subawards • US Anti-boycott laws

  11. Assessing Risk • Stanford University/University of Minnesota Risk Assessment Tool • http://www.ncura.edu/content/misc/ncura_tv/submonitoring0909/docs/UMN_SubrecipientRiskAnalysisTemplate.xls

  12. 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

  13. Payment Terms • Incoming award from foreign entity • Outgoing subaward to foreign entity • Up-front payment • Residual hold for final report • Wire transfers (OFAC)

  14. Template Agreements • For Assistance Agreements (grants and cooperative agreements) utilize the FDP Subaward template http://sites.nationalacademies.org/PGA/fdp/PGA_063626 • Coming soon – FDP Subcontract template • DO NOT CHANGE THE FDP templates except as allowed

  15. 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

  16. 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

  17. COGR Good Practices • Internal communication mechanisms • Processes for foreign visitors • Export controls policy and procedures • Travel risk policy

  18. 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

  19. COGR Good Practices • Taxation • Legal guidance • Consultation with unit responsible for tax filings • Tax burdens – who pays • “Permanent estalishment” • Value-added tax (VAT)

  20. Export ControlsLaws, 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)

  21. What is controlled?

  22. 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

  23. 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

  24. Visiting Scientists/Scholars • VSAs • Scholars • Scientists • Non-citizens • Length of visit • Access • Export Issue

  25. 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/sites/51/handouts/Th_130_245PM_I6.pdf • NCURA’s International Neighborhood • DHHS International Compilation of Human Subject Research Protections http://www.hhs.gov/ohrp/international/intlcompilation/intlcompilation.html

  26. Questions

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