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[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Copyright]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Trial Fee Billing Procedures]] | [[Contracts Policy]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use & Transfer]] | [[International Research Policy]]
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]
<br /><br />
<br /><br />
Policy No.: '''8014'''<br />
Effective Date: '''06/26/15'''<br />
Revised Date: '''01/07/20'''<br />
Reviewed Date: '''02/12/21 ''' <br /><br />


Policy No.: '''8014'''<br />
'''<big>Disclosing Foreign Support and International Activities</big>''' <br /><br />
Effective Date: '''DRAFT'''<br />
==Authority==
Revised Date: ''''''<br />
Statutes, regulations, and policies related to disclosures of foreign support and relationships with foreign entities or individuals include, but are not limited to:
Reviewed Date: ''''''<br />
*Nebraska Conflict of Interest Statute, [https://nebraskalegislature.gov/laws/statutes.php?statute=49-1493 Neb. Rev. Stat. §49-1493]
*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]
*[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
*[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
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf University of Nebraska Travel Policy]
*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]]


==Basis for Policy==
==Definitions==
Statutes, regulations and University policies include:
===Foreign Entities===
*Nebraska Conflict of Interest Statute at Neb. Rev. Stat. §49-1493 et. seq.  
"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.
*Bylaws of the Board of Regents of the University of Nebraska Sections 3.10, 3.45 and 3.8
===Foreign Individuals===
*Board of Regents Conflict of Interest Policy, RP-3.2.8
"Foreign Individuals" include individuals, regardless of citizenship, employed by or otherwise acting on behalf of a Foreign Entity.
*Board of Regents Patent & Technology Policy, RP-4.4.1 and RP-4.4.2
===Support(ed)===
*UNMC Policy No. 8010, Conflict of Interest
"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.
*UNMC Policy No. 6100, Direct Cost
===Activities Supported by Foreign Entities or Individuals===
*UNMC Policy No. 1049, Outside Employment
"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:
*UNMC Policy No. 8005 Export Control
:a. Serving as an employee or agent of a Foreign Entity or Foreign Individual;
*UNMC Policy No. 8006, Code of Conduct
: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;
*Uniform Guidance Cost Principles, 2 CFR 200 (formally OMB circular A-21 “Cost Principles for Educational Institutions”)
:c. Providing consulting services to a Foreign Entity or Foreign Individual, whether or not such services are compensated;
*U.S. Department of State - International Traffic in Arms Regulations (ITAR) 22 CFR 120-130
:d. Developing partnerships or other business relationships with a Foreign Entity or Foreign Individual;
*U.S. Department of Commerce - Export Administration Regulations (EAR) 15 CFR 700-799
: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
*U.S. Department of the Treasury - Office of Foreign Assets Control (OFAC) 31 CFR 500-599
: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.
*U.S. Foreign Corrupt Practices Act (FCPA) 22 CFR 709
===UNMC Personnel===
==Policy==
“UNMC Personnel” include, for the purposes of this 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 a 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 questionnaire can be found here (link) and is to be submitted to the Compliance Officer and the Vice Chancellors of Research and Business and Finance.  
: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.


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 Chancellors of Research and 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. 
==Additional Information==
==Additional Information==
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]
*Contact the [mailto:exportcontrol@unmc.edu Export Control Director]
*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]
*NIH Notice No. [https://grants.nih.gov/grants/guide/notice-files/NOT-OD-19-114.html NOT-OD-19-114]
*NSF Letter [https://www.nsf.gov/pubs/2019/nsf19200/research_protection.pdf 19-200]
 


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Revision as of 15:18, April 8, 2021

Human Resources   Safety/Security   Research Compliance   Compliance   Privacy/Information Security   Business Operations   Intellectual Property   Faculty


Compliance Program | Compliance Hotline | Investigations by Third Parties | Research Integrity | Export Control | Code of Conduct | Use of Human Anatomical Material | Clinical Research and Clinical Trial Professional and Technical Fee Billing | Contracts | Conflict of Interest | Red Flag Identity Theft Prevention Program | Principles of Financial Stewardship | Human Tissue Use and Transfer | Disclosing Foreign Support and International Activities | Health Care Vendor Interactions | Credit Hour Definition | Whistleblower

Policy No.: 8014
Effective Date: 06/26/15
Revised Date: 01/07/20
Reviewed Date: 02/12/21

Disclosing Foreign Support and International Activities

Authority

Statutes, regulations, and policies related to disclosures of foreign support and relationships with foreign entities or individuals include, but are not limited to:

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


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