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Policy No.: '''8014'''<br />
Policy No.: '''8014'''<br />
Effective Date: '''06/26/15'''<br />
Effective Date: '''06/26/15'''<br />
Revised Date: ''' '''<br />
Revised Date: '''12/16/19 DRAFT '''<br />
Reviewed Date: ''' ''' <br /><br />
Reviewed Date: ''' ''' <br /><br />


'''<big>Disclosure Requirements for Research to Occur at International Institutions without UNMC Funding</big>''' <br /><br />
'''<big>Disclosing Foreign Support and International Activities</big>''' <br /><br />
==Basis for Policy==
==Authority==
Statutes, regulations and University policies include:  
Statutes, regulations, and policies related to disclosures of foreign support and relationships with foreign entities or individuals include, but are not limited to:
*Nebraska Conflict of Interest Statute at Neb. Rev. Stat. §49-1493 et. seq.
*Nebraska Conflict of Interest Statute, [https://nebraskalegislature.gov/laws/statutes.php?statute=49-1493 Neb. Rev. Stat. §49-1493]
*Bylaws of the Board of Regents of the University of Nebraska Sections 3.10, 3.45 and 3.8
*Board of Regents Bylaws [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en sections 3.4.5, 3.8 and 3.10]
*Board of Regents Conflict of Interest Policy, RP-3.2.8  
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policy] RP-3.2.8, Conflict of Interest and conflict of Commitment
*Board of Regents Patent & Technology Policy, RP-4.4.1 and RP-4.4.2
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policy] RP-4.4, Intellectual Property
 
*UNMC Policy No. 1098, [[Corrective/Disciplinary Action]]
*UNMC Policy No. 6014, [[Travel and Reimbursement]]
*UNMC Policy No. 8005 [[Export Control]]
*UNMC Policy No. 8010, [[Conflict of Interest]]
*UNMC Policy No. 8010, [[Conflict of Interest]]
*UNMC Policy No. 6100, [[Direct Cost]]
*UNMC Policy No. 1049, [[Outside Employment]]
*UNMC Policy No. 8005 [[Export Control]]
*UNMC Policy No. 8006, [[Code of Conduct]]
*Uniform Guidance Cost Principles, 2 CFR 200 (formally OMB circular A-21 “Cost Principles for Educational Institutions”)
*U.S. Department of State - International Traffic in Arms Regulations (ITAR) 22 CFR 120-130
*U.S. Department of Commerce - Export Administration Regulations (EAR) 15 CFR 700-799
*U.S. Department of the Treasury - Office of Foreign Assets Control (OFAC) 31 CFR 500-599
*U.S. Foreign Corrupt Practices Act (FCPA) 22 CFR 709
==Policy==
Any UNMC employee who wishes to engage in research physically located at an international institution and the funding for such research is not processed through Sponsored Programs Administration must: 1) complete the [http://www.unmc.edu/academicaffairs/_documents/compliance/international-project-questionnaire.pdf International Project Questionnaire] regarding the terms of the research and 2) obtain permission to conduct such research prior to its commencement. This policy is to assure the employee is aware of and maintains compliance with the aforementioned federal and state laws, as well as Board of Regent and university policies, in order to protect both the researcher and UNMC from statutory and regulatory penalties. The [http://www.unmc.edu/academicaffairs/_documents/compliance/international-project-questionnaire.pdf International Project Questionnaire] is to be submitted to the Compliance Officer, the Vice Chancellor for Research and the Vice Chancellor of Business and Finance.


Permission to engage in such research will require an executed inter-institutional agreement with the international institution detailing the research engagement and terms of the relationship, such as intellectual property rights. The Vice Chancellor for Research and the Vice Chancellor of Business and Finance must both sign the agreement. Violation of this policy shall subject an employee to corrective action up to and including termination of employment or academic disciplinary action, including dismissal.
==Definitions==
===Foreign Entities===
"Foreign Entities" include, by way of example: foreign governments and agents thereof; foreign colleges, universities, and research institutions; business associations organized under or otherwise subject to the laws of foreign jurisdictions; foreign journals and professional organizations.
===Foreign Individuals===
"Foreign Individuals" include individuals, regardless of citizenship, employed by or otherwise acting on behalf of a Foreign Entity.
===Support(ed)===
"Support(ed)" includes any financial or non-financial support for any aspect of any activity. Non-financial support may include exchanges of data or materials; donations of equipment, software, or other materials; or payment of travel and related expenses, including meals and lodging.
===Activities Supported by Foreign Entities or Individuals===
"Activities Supported by Foreign Entities or Individuals" are any activity for which a Foreign Entity or Foreign Individual provides financial or non-financial Support, including without limitation:
:a. Serving as an employee or agent of a Foreign Entity or Foreign Individual;
:b. Collaborating in research with a Foreign Entity or Foreign Individual, including designing experiments, collecting and analyzing data, preparing manuscripts for presentation or other publication, and presenting or otherwise publishing the results of research;
:c. Providing consulting services to a Foreign Entity or Foreign Individual, whether or not such services are compensated;
:d. Developing partnerships or other business relationships with a Foreign Entity or Foreign Individual;
:e. Accepting gifts, including donations of funding, accommodations, travel-related expenses, equipment, software, or any materials to be used in support of research or clinical activities, from a Foreign Entity or Foreign Individual; and
:f. Any other activity or relationship subject to a disclosure requirement under University of Nebraska policy or state or federal law that involves a Foreign Entity or Foreign Individual.
===UNMC Personnel===
“UNMC Personnel” include, for the purposes of this policy:
:a. Faculty;
:b. Staff;
:c. Students;
:d. Volunteers;
:e. Visitors; and
:f. Any other individuals who participate in any activity on behalf of UNMC, irrespective of appointment, compensation, or the location of the activity.
==Scope==
This policy applies to all UNMC Personnel, irrespective of appointment, compensation, or the location of the activity.
==Purpose==
===Establish requirements for disclosing Support===
UNMC is committed to building partnerships on a global scale. At the same time, federal and state law and University of Nebraska policy require transparency with respect to certain activities and relationships involving Foreign Entities or Foreign Individuals. The purpose of this policy is to establish requirements for disclosing Support received from Foreign Entities or Foreign Individuals by UNMC personnel.
===Supplement and clarify existing policy===
This policy is designed to supplement and clarify existing University of Nebraska and UNMC policies on reporting conflicts of interest and commitment involving Foreign Entities or Foreign Individuals, and does not replace or supersede disclosure requirements imposed by federal or state law or other University of Nebraska or UNMC policies, including those listed above.
==Statement of Policy==
===Disclose nature of Support===
All UNMC personnel who receive Support from a Foreign Entity or Foreign Individual must disclose the nature of the Support in accordance with RP 3.2.8 and UNMC Policy No. 8010. Additionally, UNMC personnel engaging in research must make such disclosures prior to or while applying for federal research funding or participating in federally funded research. In no event will any federal funds be spent or committed until all disclosure requirements related to Support from a Foreign Entity or Foreign Individual have been fulfilled.
===Obtain permission from Vice Chancellor for Business and Finance===
All UNMC Personnel who wish to establish a clinical practice or for-profit or non-profit business outside the United States must obtain permission from UNMC’s Vice Chancellor for Business and Finance prior to establishing the practice or business.
===Obtain permission from Vice Chancellor for Research===
All UNMC Personnel who wish to establish a research laboratory outside the United States, or to engage in research physically located at a foreign institution, must obtain permission from UNMC’s Vice Chancellor for Research prior to commencing the conduct of such research.
==Disclosure Requirements==
===Comply with UNMC Policy No. 8010===
Activities Supported by Foreign Entities or Individuals must be disclosed using the mechanisms for conflict of interest assessment prescribed in UNMC Policy No. 8010. Disclosures of Activities Supported by Foreign Entities or Individuals are subject to review by the relevant academic program leader, the Chief Compliance Officer, the Export Control Director, and other UNMC officials as appropriate.
===Comply with any funding organization disclosure requirements===
When applying for external research funding, UNMC personnel must also comply with any disclosure requirements imposed by the funding organization. In many cases, this may require making separate disclosures to UNMC in addition to any disclosures required by the external funding organization.
==Violations==
Failure to comply with this policy will result in corrective or disciplinary action as provided under UNMC Policy No. 1098, [Corrective/Disciplinary Action] including termination, dismissal, or exclusion from participation in federally funded activities.
 
==Additional Information==
==Additional Information==
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]
*UNMC Policy No. 1098, [[Corrective/Disciplinary_Action]]
*Contact the [mailto:exportcontrol@unmc.edu Export Control Director]
*UNMC Procedures No. 1098, [http://www.unmc.edu/hr/proc/Procedures1098.pdf Corrective and Disciplinary Action]  
*Department of Energy Order 486.1, [https://www.directives.doe.gov/directives-documents/400-series/0486.1-border/@@images/file Department of Energy Foreign Government Talent Recruitment Programs]
*[https://wiki.unmc.edu/index.php/HR_-_Employee_Relations_Forms Corrective and Disciplinary Action Form].<br />
*NIH Notice No. [https://grants.nih.gov/grants/guide/notice-files/NOT-OD-19-114.html NOT-OD-19-114]
*UNMC Policy No. 1006, [[Employee Separation]]
*White House Office of Science and Technology Policy Letter to the United States Research Community (Sept. 16, 2019) [https://www.whitehouse.gov/wp-content/uploads/2019/09/OSTP-letter-to-the-US-research-community-september-2019.pdf(“Policy Letter”)]
*UNMC Policy No. 1020, [[Employee Grievance Process]]
*NSF Letter [https://www.nsf.gov/pubs/2019/nsf19200/research_protection.pdf 19-200]
*[http://www.unmc.edu/academicaffairs/_documents/compliance/international-project-questionnaire.pdf International Project Questionnaire]
 
 
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