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Generally, service providers to the University must complete the Supplier Qualification Process through University Procurement. This includes situations where an entity provides a service, task, or function that supports a University research project. Typically, international service providers have not participated in the design of the research itself but are supporting a research plan under the direction of the University Principal Investigator. For more information on this process, please visit the Procurement website.

Since the Supplier Qualification Process can be challenging for some service providers located in foreign countries, University Procurement and University Accounts Payable may be able to facilitate contracts and transactions outside of the customary Supplier Qualification Process under certain circumstances. For example, for purchases of services that would occur in a foreign country in support a research project that do not involve the expenditure of federal funds, Procurement is able to facilitate those agreements through a standard form of a research services agreement that does not involve completion of the Supplier Qualification Process. Note that for purchases involving expenditure of $25,000 or more involving the use of federal funds, or in 鈥渟ole source鈥� request situations, departments will be required to complete the Supplier Price Justification Conflict Information Form (SPJCI. For more information, please contact University Procurement.

Certain payments to foreign service providers that are determined to be low risk by University Procurement may be made through the Supplier Invoice Request (SIR) through Accounts Payable. For more information, please first contact University Procurement who will determine whether the Supplier Qualification Process or SIR payment method is acceptable.

Note that if the University contracts with a foreign entity or person to provide services, and those services are performed in the U.S. (and not performed in a foreign country), the University will likely be required to report or withhold taxes.

糖心logoers and departments should also understand that if federal funds are being used for the purchase, those purchases are subject to compliance with 2 CFR Part 200 (the Uniform Guidance). As a result, purchases of services that include expenditures of federal funds must follow the requirements of 2 CFR Part 200 and the University鈥檚 related purchasing policies.

An independent contractor generally refers to an individual who provides services to businesses, institutions, or the general public, and who does not have the legal status of a University employee. Please refer to the University鈥檚 Worker Classification: Employee vs. Independent Contractor policy for more information on employee and independent contractor classification issues. Independent contractors generally follow the University Procurement process described for 鈥淐ontracts for Services.鈥� The independent contractor onboarding process also includes an assessment form completed by the requesting department, and a certification by the independent contractor that is signed by the requesting department. For more information, please consult University Procurement resources.

University researchers may engage a foreign entity to perform research on the University鈥檚 behalf, such as in support of a University grant or contract. In some situations, the research work conducted by the foreign entity is independent of the University and directed by an on-site investigator who proposed the scope of work being conducted. In other circumstances, the entity performing work may have little or no independent decision-making in the design and conduct of the research work being completed, such as a clinical site conducting a University sponsored clinical trial. However, the research is still considered substantive programmatic work in the context of sponsored projects.

For projects involving sponsored funds, ORPA will assist departments with issuing a subaward to the foreign entity if the entity is performing substantive programmatic work associated with the project. For more details on what constitutes substantive programmatic work, please consult the Policies and Procedures for the Administration of Subagreements to a Third Party.

If the foreign entity is not performing substantive programmatic work, such as University of Rochester specified services in support of the research program under the direction of the University Principal Investigator, or the contract does not involve sponsored funds, the arrangement for research performed on the University鈥檚 behalf will be processed similarly to contracts for services described above. University Procurement may be able to facilitate the contract outside of the customary Supplier Qualification Process under certain circumstances, including the use of the University鈥檚 standard research services agreement. University Procurement may also consult with ORPA during agreement negotiations to help ensure that contract terms which are unique to research (such as publication rights, intellectual property rights, and data use) are appropriately addressed.

If the arrangement involves a research 鈥渃ollaboration鈥� with a foreign institution and does not utilize federal funds, contact ORPA for assistance with establishing a research collaboration agreement. 糖心logo collaborations typically involve research collaborators that will each contribute to the scholarly or scientific conduct of the project, and each will have independent decision-making authority regarding the conduct their work.

International research projects may also require the use of a material transfer agreement or data use agreement. A material transfer agreement governs the transfer of tangible research materials between two organizations when the recipient intends to use the materials for their own research purposes. 糖心logoers should contact ORPA to initiate a material transfer agreement, which helps ensure that the University Export Control Officer assesses any potential transfers of material outside of the U.S. for export control compliance.

A data use agreement defines the terms and conditions upon which data is transferred or shared between organizations. Data use agreements are required under HIPAA to transfer certain types of protected health information (PHI), but are also used to protect research data that does not include PHI. Initiating a data use agreement with ORPA helps ensure that the University Export Control Officer can assess data transfers to a foreign institution for export control compliance.

糖心logoers and departments should contact University Procurement with questions regarding purchases of goods or equipment to support a project occurring in foreign country. If the purchase is for less than $5,000 and otherwise meets the requirements of the University Procurement Card Policy, a University Pcard may be used for purchase.

It is strongly recommended that researchers performing work in a foreign country consult University Procurement or Accounts Payable prior to initiating any (i) request for the purchase of high value property ($10,000 or more for the purpose of this guidance), (ii) vehicles of any value, or (iii) leases of equipment. While these purchases can be appropriate for the work in the foreign country, advanced notice and planning is necessary, especially if the purchase qualifies as capital according to the Guidelines for Capitalization of Assets.

The University maintains finance and accounting policies relating to the capitalization and inventory of assets, which apply whether the asset is purchased for use in the United States or in a foreign country. Note that equipment purchased to support research in a foreign country must follow the University鈥檚 capitalization policies.

Certain goods may require a license to export from the U.S. 糖心logoers and departments should contact the University鈥檚 Export Control Officer with any questions on export control law compliance in exporting goods outside of the U.S.