7000 PR.01 International Research, Programs, and Activities: Consultation, Review, and Approval

Revision Date: 
January 21, 2020

Contents

1.     Overview

2.     Covered International Research, Programs, and Activities

3.     Consultation and Approval Process

4.     Applicable University Policies

5.     Additional Guidance and FAQs

1. Overview

Yale supports and promotes the extension of its mission into the global community through research, programs, and activities occurring outside the United States.  International research, programs, and activities may, however, involve numerous considerations requiring consultation with, and review and approval by, multiple University offices to assure compliance with University policies and procedures, and with U.S. and foreign laws and regulations.  Accordingly, before they engage in any international research, program, or activity involving situations enumerated in Section 2, below, Yale-affiliated individuals (including faculty, postdoctoral appointees, visiting faculty, staff, trainees, and students) must first consult all appropriate offices, as determined by the nature of the Covered International Research, Programs, and Activities, and obtain all applicable institutional review and approvals.

This procedure supports Policy 7000 International Research, Programs, and Activities.  It provides information to assist in identifying the appropriate offices for obtaining consultation and describes the required review and approvals for Covered International Research, Programs, and Activities.  Individuals should begin the process detailed in this procedure as soon as possible upon identifying potential international research, programs, or activities within the scope of Policy 7000 International Research, Programs, and Activities

Policy 7000 International Research, Programs, and Activities and this procedure do not apply to: (i) standard academic travel, such as participating in conferences, giving performances, attending workshops, meeting with colleagues, or visiting institutions, archives, or galleries; (ii) customary academic collaborations among individuals, or (iii) routine research activities, if such travel, collaboration, or research does not involve the situations enumerated in Section 2, below.

2. Covered International Research, Programs, and Activities

The following situations occurring outside the United States involving non-U.S. individuals, institutions, entities, or governments constitute Covered International Research, Programs, and Activities pursuant to Policy 7000 International Research, Programs, and Activities and require consultation, review, and approval, documented in writing, by the indicated University offices.  Review and approval processes are detailed further in Section 3, below. 

  • Human subjects or animal research
  • Dean (or Dean’s designee), Office of International Affairs, Office of Sponsored Projects, and IRB or IACUC.
  • Provision of clinical care
  • Cognizant Deputy Dean or Department Chair and the Office of International Affairs.
  • Transfer of materials
  • Office of Sponsored Projects and the Office of Environmental Health and Safety.
  • Transfer or technology or information subject to export controls
  • Director of Export Controls within the Office of Research Administration.
  • Loans of objects or materials from University collections
  • Relevant Director and the Office of the Senior Vice President and General Counsel.
  • Agreements or memoranda of understanding establishing an inter-institutional relationship
  • Office of International Affairs and the Office of the Senior Vice President and General Counsel.
  • Formal exchanges of students and/or faculty
  • Dean (or Dean’s designee), Office of International Affairs, and the Office of the Senior Vice President and General Counsel.
  • Establishment of concurrent or dual degree programs
  • Dean (or Dean’s designee), Office of International Affairs, Office of the Provost and the Office of the Senior Vice President and General Counsel.
  • Collaboration with government officials, ministries, or agencies
  • Dean (or Dean’s designee), Office of International Affairs, Office of Sponsored Projects, and the Office of the Senior Vice President and General Counsel.
  • Maintenance of a physical or human resource presence for more than thirty (30) days in a single calendar year (e.g., renting space, acquiring equipment for use locally including vehicles, placing personnel either employed locally or assigned from New Haven)
  • Dean (or Dean’s designee) and the International Operations & Compliance Committee.
  • Post-doctoral or post-graduate assignment for more than thirty (30) days in a single calendar year
  • Office for Postdoctoral Affairs and the International Operations & Compliance Committee.
  • Travel to countries or regions to which the U.S. government restricts travel
  • Office of Research Administration and the Office of the Senior Vice President and General Counsel.
  • Significant safety risks to participants
  • Dean (or Dean’s designee), Office of International Affairs, and the International Operations & Compliance Committee.

3. Consultation and Approval Process

A. Dean or Relevant Director – Review and Approval

For all new proposed Covered International Research, Programs, and Activities, individuals must obtain approval from the cognizant Dean (or Dean’s designee), relevant Director or, in the School of Medicine, the cognizant Deputy Dean or Department Chair.  Optimally, individuals obtain this approval before consultation with, and review and approval by, other University offices.  Individuals may, however, obtain this approval concurrently with the necessary consultation, review, and approval by other University offices.

If the Covered International Research, Program, or Activity requires the support of multiple University offices, the cognizant Dean (or Dean’s designee), relevant Director or, in the School of Medicine, the cognizant Deputy Dean or Department Chair, may refer the Covered International Research, Program, or Activity to the International Operations & Compliance Committee (“IOCC”) for support.  The cognizant Dean (or Dean’s designee), relevant Director or, in the School of Medicine, the cognizant Deputy Dean or Department Chair may also refer the Covered International Research, Program, or Activity to the International Research, Programs, and Activities Committee (“IRPA Committee”) for consultation, review, or approval.  

B. Office of International Affairs – Consultation

For all new proposed Covered International Research, Programs, and Activities involving non-U.S. public or private entities or foreign government officials, individuals must consult the Office of International Affairs (“OIA”) to determine whether Yale has existing relationships with such entities or individuals.  Individuals may initiate consultations with OIA via world@yale.edu.

If the Covered International Research, Program, or Activity requires the support of multiple University offices, OIA may refer the Covered International Research, Program, or Activity to the IOCC for support.  OIA may also refer the Covered International Research, Program, or Activity to the IRPA Committee for consultation, review, or approval.

C. Office of Research Administration – Consultation

For all new proposed Covered International Research, Programs, and Activities involving sponsored research, individuals must consult the Office of Sponsored Projects (“OSP”).  OSP assists in the appropriate documentation of any research collaboration and makes appropriate referrals to the appropriate University Internal Review Board (“IRB”) for research involving human subjects or to the Institutional Animal Care and Use Committee (“IACUC”) for research involving animals.  The Office of Research Administration, through the Director of Export Controls, provides guidance and support for meeting export control requirements and consults on travel restricted by the U.S. government, other than travel to Cuba, which the Office of the Senior Vice President and General Counsel (“OGC”) reviews.  Individuals may initiate consultations with OSP via the appropriate contact in the OSP Directory.

If the Covered International Research, Program, or Activity requires the support of multiple University offices, OSP may refer the Covered International Research, Program, or Activity to the IOCC for support.  OSP may also refer the Covered International Research, Program, or Activity to the IRPA Committee for consultation, review, or approval.

D.  Office for Postdoctoral Affairs – Consultation

For all new proposed Covered International Research, Programs, and Activities involving the placement of postdoctoral or postgraduate associates or fellows outside of the United States for a duration of more than thirty (30) days, individuals must consult the Office for Postdoctoral Affairs (“OPA”).  OPA assists in determining whether such a placement is consistent with the individual’s postdoctoral or postgraduate program.  Individuals may initiate consultations with OIA via the appropriate contact in the OPA Directory.

If the Covered International Research, Program, or Activity requires the support of multiple University offices, OPA may refer the Covered International Research, Program, or Activity to the IOCC for support.  OPA may also refer the Covered International Research, Program, or Activity to the IRPA Committee for consultation, review, or approval.

E. Office of the Senior Vice President and General Counsel – Consultation

For all new proposed Covered International Research, Programs, and Activities that do not involve sponsored research or the placement of postdoctoral or postgraduate associates or fellows, individuals must consult the Office of General Counsel (“OGC”).  If a written agreement is appropriate for such Covered International Research, Program, or Activity (e.g., formal exchange of students or faculty, inter-institutional collaborations, dual degree programs), OGC advises on the terms and conditions of the agreement, assists in the document’s preparation, and obtains the signature of the appropriate University official.    

Individuals must also consult OGC for all new proposed Covered International Research, Programs, and Activities that involve collaboration with government officials, ministries, and institutions.  OGC assists in providing information and training on the relevant legal parameters.  OGC also advises on Covered International Research, Programs, and Activities involving Cuba or Cuban nationals and can refer Covered International Research, Programs, and Activities to the IOCC or the IRPA Committee.  Individuals may initiate consultations with OGC via phone at 203-432-4949.

F. International Operations & Compliance Committee – Consultation, Review, and Support

Covered International Research, Programs, and Activities often involve multiple areas of University support.  When Covered International Research, Programs, and Activities are referred to the IOCC, the IOCC can assist in coordinating such support across University offices.  The IOCC may also refer Covered International Research, Programs, and Activities to the IRPA Committee for consultation, review, and approval.  Individuals and offices involved in reviewing Covered International Research, Programs, and Activities may initiate consultations with the IOCC via iocc@yale.edu.

G.  International Research, Programs, and Activities Committee – Consultation, Review, and Approval

The Vice President and Vice Provost for Global Strategy and the Vice Provost for Research convene the IRPA Committee, which includes representatives from the Office of Research Administration, the Office of the Senior Vice President and General Counsel, the Office of International Affairs, and select faculty to review and approve Covered International Research, Programs, and Activities involving particular compliance or reputational risks, including risks involving intellectual property, data security, research integrity, national security as identified by the U.S. government, and political, civil, or human rights.  The IRPA Committee will attempt, in consultation with the University individual proposing the Covered International Research, Program, or Activity, to provide a risk mitigation strategy for such situations.  There may be rare situations in which the institutional concern is insufficiently manageable and it may be necessary for the IRPA Committee to disapprove the proposed Covered International Research, Program, or Activity.

4. Applicable University Policies

University policies, unless otherwise specifically stated, generally apply to Covered International Research, Programs, and Activities.  This section contains policy reminders regarding frequent and relevant topic areas for Covered International Research, Programs, and Activities.  This section should not be considered an exhaustive reference to applicable policies, but rather as a guide for important considerations.  For a full list of University policies, always refer to the University Policies & Procedures pages.

A. Use of the Yale name

The Yale Corporation’s Miscellaneous Regulations regulate the use of the Yale name.  The Yale University Trademark Licensing Program is responsible for managing this function.  All questions regarding appropriate use should be directed to the Yale Trademark Licensing Office.  If further review is necessary, the Trademark Licensing Program will refer the question to the Office of the Senior Vice President and General Counsel.

B. Engaging local personnel or placing University personnel internationally

Policy 3505 Out-of-State Work Locations and Procedure 3505 PR.01 Out-of-State Work Locations Procedure regulate the hiring and/or placement of staff outside Connecticut.  This policy and procedure assist in determining whether such a proposal is feasible and assure that the hiring and/or placement of staff is conducted in compliance with local legal requirements, including visas, work permits, tax obligations, and employer obligations.

Policy 3210 Professional Services and Consulting and Procedure 3210 PR.01 Professional Services and Consulting Process regulate the engagement of non-employees to perform work on behalf of the University.  The University must properly classify individuals as either employees or consultants, as the risks of misclassification are significant and, in the case of international programs or activities, local requirements also apply.

C. Procuring goods or services

Policy 3201 General Purchasing regulates the procurement of goods and services.

D. Shipping

Policy 1430 Shipping and its related procedures regulate the shipping of all materials.  This process assists in ensuring all shipments comply with applicable U.S. and local regulations and standards. 

E. Travel

Policy 3301 Travel on University Business regulates Yale business travel.  Yale strongly encourages all members of the University community contemplating international travel to plan well in advance, take all necessary precautions, and to register such travel on the University’s Travel Registry.

F. Local management of funds

Policy 2805 Establishing and Maintaining University Bank Accounts regulates the establishment of University bank accounts.  In most cases, Yale will not open a bank account outside the U.S.  In addition, Yale employees should not open accounts under their own name to conduct University business.  If an employee believes an account may be necessary, contact the Treasury Manager with a full description of the international activity for advice on how to proceed.  The Treasury Manager will consult with the IOCC to determine if additional review is necessary.

Procedure 3301 PR.02 Obtaining Cash for Yale Activities Abroad regulates and provides guidance on the approved options for obtaining cash and cash equivalents in support of international activities.

Procedure 3401 PR.06 Requesting a Wire Transfer regulates the use of wire transfers of funds and provides guidance on the process for payments of invoices for international activities.

5. Additional Guidance and FAQs

International research, programs, and activities take many forms, involving numerous additional considerations and questions.  Any situation that might have regulatory, financial, legal, safety, or reputational implications may be brought to the attention of the IOCC, even if not explicitly Covered International Research, Programs, and Activities.  For further information, refer to the International Toolkit.  The International Toolkit: FAQ section offers practical answers to a number of common issues.