International Relationship Proposal Profile
GUIDANCE FOR FACULTY ON ESTABLISHING RELATIONSHIPS
BETWEEN YALE AND INTERNATIONAL ENTITIES
See: Submission Form for Grant & Contract Administration for International Undertakings
The following guidance is for faculty who wish to explore having Yale enter into a formal relationship with a foreign university, research institution, or other entity. Relationships with entities outside the United States, whether through the simplest Memorandum of Understanding, an unassuming subcontract, or the most complex research collaboration, offer unique opportunities and pose special challenges. This guidance is intended to assist faculty, chairs, and Deans in understanding the process that is typically used, and is preferred, in establishing a formal relationship between Yale and a foreign entity. The roles of relevant University offices are described below.
Step 1 – The faculty member or other Yale-based individual identifies an opportunity for a valuable relationship between Yale and a well-respected foreign entity.
The Yale faculty member identifies the academic goals of the relationship and becomes acquainted with the other entity and its capacity to contribute toward the desired goal. It is preferred that commitments or formal negotiations not be undertaken at this stage.
Step 2 – The faculty member meets with the Department chair, colleagues, business manager, and the Dean or Dean’s office, to review the opportunity.
These internal meetings would be used to examine the commitment of time, travel costs, resources and funding that are contemplated by the proposed relationship. In reviewing the opportunity, the OIA database should be checked for the existence of other agreements with the same foreign entity as possible models.
Step 3 – With the Chair and Dean’s endorsement, the faculty member or business manager then prepares a profile sheet outlining the main characteristics of the proposed relationship (including a summary of the proposed work plan, research or collaboration), and circulates the profile sheet. The profile sheet can be completed and submitted electronically at
http://www.yale.edu/grants/policies/international.html.
The profile sheet will automatically be forwarded to the Office of the General Counsel, Grants and Contracts Administration and the Office of International Affairs via a shared network. These offices will consult as to the next steps to be taken with the proposed relationship, including which contract templates to use, which office will take the lead in negotiations and appropriate consultations with the Office of the Provost, tbe Tax Office, Human Resources, Risk Management and the Yale faculty member. The person submitting the profile sheet will be informed by email as to the status of the review.
Attached to this Guidance is a flow-chart that indicates the progression of an international matter through the approval process.
Note that any commitment of Yale financial or other resources will always require Provostial approval. Based on the review and consultations detailed above, a determination shall be made in conjunction with the faculty member as to whether to proceed with preparing an agreement. If the proposed relationship involves a contract or grant with funding from an external sponsor, such proposed relationship shall be handled in accordance with existing policies relating to sponsored projects administered by Grants and Contracts Administration and a Proposal Summary and Certification Form will need to be submitted.
Step 4 – A draft agreement is prepared or, if one has been received, it is reviewed, and negotiated.
The faculty member or business manager works with the Office of the General Counsel or the Office of Grants and Contracts, as appropriate depending upon the existence of third-party sponsorship, to prepare a draft agreement. After review and approval within Yale, a draft agreement will be circulated to the foreign entity.
Step 5 – The agreement is signed and archived.
The final version of the agreement will be circulated for review, approval and signature on behalf of Yale. Typically, the signature of the Dean or Chair and the faculty member, although not binding upon Yale, will be obtained to reflect acknowledgment of their obligations. When protocol requires a ceremonial signing outside of the United States, the Office of International Affairs will work with the faculty member and the relevant school or division to determine how to accomplish any necessary delegations of authority or how to secure the participation of an authorized Yale signatory.
Except for agreements related to sponsored projects (Grants and Contracts Administration will maintain the original signed versions), the original signed version of the agreement will be kept by the Department or School. Copies of the agreement will be circulated to the working group at Yale. OIA is maintaining a comprehensive data bank and archive of Yale international agreements, and a copy will also be kept at OIA. The existence of the agreement will be noted publicly in the OIA database.
Step 6 – The agreement is performed, obligations met, and renewal considered.
Faculty and Deans’ office representatives are responsible for ensuring compliance with the agreement, and understanding and fulfilling the undertakings made in the agreement. They should work closely with their business manager to ensure that related tax, financial, and other obligations are adequately addressed and obligations fulfilled. They are also charged with initiating discussions with the other party, and internally at Yale, regarding possible renewal as the end date nears.
Roles of Principal Offices
Development of International Relationships
The following offices are primarily responsible for the following tasks involved with international relationships:
The Office of International Affairs (OIA) will flag any high-level institutional concerns with the identity of the foreign university or with Yale entering into a relationship with an entity in the country in question.. OIA will review and approve the final agreement. OIA maintains a comprehensive data bank and archive of Yale international agreements.
The Office of the Provost will identify any programmatic, budgetary, or academic issues related to the proposed affiliation. The Office of the Provost will review and must approve the final agreement before it can be signed if it involves the commitment of University financial or other resources.
The Office of the General Counsel (OGC) will identify any significant high-level legal concerns regarding the proposed affiliation. These might include, for example, difficulties with transfer of funds to the country in question; applicability of export control regulations or anti-boycott laws. For contracts and grants that do not involve third-party or governmental sponsorship, OGC will take the lead in negotiating legal terms in the agreement.
Grant and Contract Administration (GCA), Director of International Agreements. For contracts and grants that involve third-party or governmental sponsorship, GCA will serve as the coordinator of review; will prepare draft agreements (on templates established in consultation with OGC), and conduct export regulation compliance review in consultation with OGC.
Additional Consultations
The following suggested consultations, listed by type of issue, would take place in addition to those routine consultations described above. They represent only a sample; many agreements will present additional issues whose resolution will benefit from the participation of other Yale departments and offices. OGC or GCA will work with the faculty member and/or business manager to coordinate this review.
Major, long-term affiliation
President; possibly, the Yale Corporation; Provost
Intellectual property issues
Office of Cooperative Research
Office of General Counsel
Research and export compliance issues
Associate Vice President for Research Administration
Director of International Research Agreements and Export Controls
Office of General Counsel
Payments, banking, and funds transfer
Controller
Tax Office
Employment of individuals
Human Resources
Benefits
Office of General Counsel
Tax Office
Risk Management
Use of vehicles
Risk Management
Tax Office
Leasing space and equipment
Tax Office
Office of General Counsel
Risk Management
Purchasing goods and equipment
Procurement
Tax Office
Risk Management
Human subject research and animal research overseas (legal, medical)
Risk Management
Office of General Counsel
Institutional Review Boards
Institutional Animal Care and Use Committee
Office of Research Administration
Information Technology
Data transfer and security
Yale name use
Office of the Secretary
Office of General Counsel
See: Proposed Workflow for International Undertakings Forms
DRAFT: November 6, 2008
