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Handbook of Operating Procedures
  • Policy Process

    • Handbook of Operating Procedures
    Chapter 10 - Research
    Previous Publication Date: February 27, 2024
    Publication Date: April 16, 2024
    Policy Reviewed Date: 01-14-2024
    Policy Owner: VP for Research


    10.19 Visiting Scholars and Researchers

    I. POLICY STATEMENT

    The University of Texas at San Antonio (UTSA) recognizes the value that visiting scholars and researchers bring to UTSA. Such visits foster collaboration, diversity, and professional relationships, enrich the academic environment, and enhance UTSA’s mission of excellence and innovation in teaching, research and community service. Accordingly, this policy sets standards for scholars and researchers (each a “Visitor”) who visit UTSA on a temporary basis in order to conduct scholarship activities or to perform research—including, without limitation, observing laboratory techniques or practices. For purposes of this policy, Visitors are generally recognized experts in their field and/or are qualified to conduct advanced-level research or scholarship and are not UTSA employees or students.

    II. RATIONALE

    This policy facilitates the inviting and welcoming of Visitors to UTSA and fosters positive visits. It provides Hosts and Host Units a transparent process to navigate through the administrative and regulatory steps associated with a prospective visit and outlines the responsibilities, burdens, and other costs associated with the visit. It also helps Visitors better understand UTSA’s expectations of them during their visits.

    III. SCOPE

    This policy applies to all Visitors (as defined by this policy) and to all UTSA faculty, staff, officers, and organizational units that play a role in screening, inviting, welcoming, training and overseeing Visitors or their visits.

    IV. WEBSITE ADDRESS FOR THIS POLICY

    http://www.utsa.edu/hop/chapter5/5.21.html

    V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS

    1. Federal Statutes
      1. Export Administration Regulations (EAR): 15 CFR §730-799
      2. International Traffic in Arms Regulations (ITAR): 22 CFR §120-130
    2. UTSA HOP Policies
      1. UTSA Handbook of Operating Procedures (HOP) Chapter 10 - Research
    3. Other Policies and Standards
      1. UTSA Research Website: http://research.utsa.edu
      2. Global Initiatives website: http://global.utsa.edu/
      3. UTSA Records Retention Schedule

    VI. CONTACTS

    If you have any questions about HOP policy 10.19, Visiting Scholars and Researchers, contact the following office:

    1. Office of the Vice President for Research
      210-458-4233

    VII. DEFINITIONS

    1. Employee: A person who is hired to work for The University of Texas at San Antonio (UTSA) in return for payment and documented with an active and current payroll job record.
    2. Host: The UTSA faculty or staff member with primary responsibilities for facilitating the potential or actual visit and serving as the administrative liaison between UTSA and a prospective Visitor or to an actual Visitor during his/her visit.
    3. Host Facility/Lab: The physical location at UTSA that will house a Visitor when performing day-to-day activities associated with his/her research or scholarship.
    4. Host Unit: The Host’s Department, College, Institute or Center at UTSA, which shoulders the costs and the administrative and regulatory responsibilities associated with a particular Visitor and visit.
    5. Non-U.S. Person: Anyone who does notmeet the definition of a U.S. person in the Export Administration Regulations (EAR; 15 CFR § 772.1) or the International Traffic in Arms Regulations (ITAR; style="color:windowtext; ">22 CFR §120.15) and so may require additional immigration documentation. A U.S. person is a U.S. citizen (Whether born or naturalized), a lawful resident of the United States (e.g.,“green card” holders), or a protected individual as defined by 8 U.S.C.  Any non-U.S. corporation, business association, partnership, trust, society, or any other foreign entity or group as well as international organizations and foreign governments are considered “non-U.S. person(s).”
    6. Sponsored Program(s): Internally or externally funded activities conducted in research, instruction, training, or public service as a result of a formal written agreement (such as a grant, contract, or cooperative agreement), which agreement is typically obtained as a result of a formal application and approval process.
    7. Visitor: An individual who conducts scholarship activities or performs research, including observing laboratory techniques or practices, at UTSA on a temporary basis. The Visitor is not any of the following:
      1. a guest visiting UTSA solely as a vendor, commercial representative, or non-laboratory based educational trainer,
      2. a UTSA employee (faculty or staff),
      3. a faculty member receiving a Visiting Professor title listed in HOP policy 2.02, Faculty Appointments and Titles, Section IX.A.2.1,
      4. a registered UTSA student, nor
      5. a student participating in an organized non-laboratory educational program governed by another HOP policy (e.g., an internship or a reciprocal educational exchange program (see HOP policy 5.20, Authorization for Waiver of Mandatory or Incidental (Discretionary) Fees for Qualifying Academic Programs)).

    VIII. RESPONSIBILITIES

    1. Vice President for Research, (VPR) or his or her designee:
      1. Responsible for the oversight and implementation of this policy and its associated guidelines and procedures;
      2. Grants exceptions to this policy's guidelines/procedures; and
      3. Make decisions about additional routing and screening of prospective Visitors/visits.
    2. Host Unit/Host:
      1. Completes “How to Invite a J-1 Scholar to UTSA” compliance training prior to inviting Visiting Scholar and annually thereafter;
      2. Coordinates with relevant university personnel to obtain appropriate approvals and screenings and once obtained, extends formal invitation to Visitor;
      3. Forwards appropriate forms (including all required screening forms, release, and any applicable Visitor agreements) to Visitor and coordinates with Visitor for prompt return of these documents;
      4. If the Visitor is a Non-U.S. Person, forwards information relating to the approved prospective Visitor and Visit to International Services (IS) for further screening and approval, as required by law, and works with OIP to finalize visa paperwork (if applicable);
      5. Cooperates with the Office of Research Integrity (ORI) to assess whether any technology or information in the facilities accessible to the Visitor is subject to Export Control laws and regulations;
      6. Ensures that the Visitor undergoes a criminal background check, receives a proper appointment at UTSA, and completes compliance training before accessing the Host Facility/Lab;
      7. Cooperates with the Office of Sponsored Project Administration (OSPA) and other UTSA offices when applicable to determine what agreements will need to be in place before the visit begins; and
      8. Maintains records relating to the Visit and Visitor as required by UTSA’s record retention policy;
    3. Visitor:
      1. Submits to the Host in a timely manner, prior to the visit, all required and requested information, including a signed invitation letter, release, and any applicable Visitor agreements;
      2. Checks in with UTSA International Services upon arrival to UTSA and completes “Maintaining Your J-1 Visa Status at UTSA” compliance training for those Visiting Scholars on J-1 Visa status.
      3. Complies with all terms and conditions associated with the approved Visit, including (without limitation) following all applicable laws, regulations, UT System Regent's Rules, and UT System and UTSA policies and requests; and
      4. Makes adequate progress on scholarly and research activities.

    IX. PROCEDURES

    *Note: These Procedures must be followed for each and every Visit, even when the Visitor is a repeat Visitor and/or the intended Visit is similar to a prior Visit.

    1. Inviting a Visitor
      1. Eligibility Criteria. Unless an exception is approved by the VPR or designee, a potential Visitor must meet the eligibility criteria established by the VPR or designee, which are found in Section I of the Guidelines and Processes Relating to Visiting Scholars and Researchers: https://research.utsa.edu/_files/pdfs/compliance-integrity-pdf-folder/Visting-Scholar-Guidelines.pdf
      2. Preliminary Information/Documentation. With as much advance notice as practicable, the Visitor shall provide the Host with information and documents necessary to show that the Visitor meets the eligibility requirements and to allow UTSA to conduct screenings and make internal decisions about the prospective visit. See Part II of the Visiting Scholar/Researcher Approval and Screening Form: http://research.utsa.edu/wp-content/uploads/2014/10/Visiting_Scholar_Screening.pdf
      3. Screenings and Approvals.
        1. Mandatory Preliminary Screenings/Approvals: The Host must ensure that the following screenings/approvals occur before a Visitor receives an invitation or visits UTSA:
          1. Approval from the Supervisor of the Host Facility/Lab (only if he/she is not also the Host)
          2. Screening by the Office of Research Integrity (if applicable). See https://research.utsa.edu/compliance/export/ for more details; and
          3. Screening by International Services (if applicable). See http://global.utsa.edu/ for more details.
          4. Criminal Background Check. See https://www.utsa.edu/people-excellence/careers/applicant-resources-information/criminal-background-check.html for more details.
        2. Additional Screenings/Approvals: After all mandatory screenings/approvals are completed, the VPR or his or her designee will determine if any additional screenings/approvals are necessary (e.g., related to regulatory and safety requirements including human subjects, laboratory animals, and biosafety). See Part II of the Visiting Scholar/Researcher Approval and Screening Form: https://research.utsa.edu/compliance/visiting-scholars.html#1_3
      4. Issuing the Invitation.
        1. The Host Unit will issue all formal invitation letters to potential Visitors after all screenings and approvals in Section A.3. above have been completed.
        2. Because the invitation letter gives the Visitor notice about requirements or conditions relating to the prospective visit, the letter must be signed and returned in advance of the visit. See Section IV of the Guidelines and Processes Relating to Visiting Scholars and Researchers for more information about mandatory and potential conditions or requirements.
    2. Hosting a Visitor
      1. Follow the Guidelines and Processes Relating to Visiting Scholars and Researchers:
        https://research.utsa.edu/_files/pdfs/compliance-integrity-pdf-folder/Visting-Scholar-Guidelines.pdf

    X. SPECIAL INSTRUCTIONS FOR IMPLEMENTATION

    None

    XI. FORMS AND TOOLS/ONLINE PROCESSES

    1. Guidelines and Processes Relating to Visiting Scholars and Researchers
      https://research.utsa.edu/compliance/visiting-scholars.html
    2. Visiting Scholar/Researcher Approval and Screening Form https://research.utsa.edu/compliance/visiting-scholars.html#1_3
    3. Form C: Non-US Citizens– Advance Approval Form for Services Rendered
      https://global.utsa.edu/forms/index.html
    4. J-1 Request Form https://global.utsa.edu/forms/index.html
    5. TN Form https://global.utsa.edu/students/forms/tn-worksheet.pdf
    6. Person of Interest form
    7. Criminal Background Check Authorization Form
    8. CourseAM0567: Inviting a J-1 Scholar to the University of Texas at San Antonio (to be completed by the hosting UTSA faculty member)
    9. CourseAM0568:  Maintaining your J-1 Visa Status (to be completed by the J-1 Researcher upon arrival in the United States)

    XII. APPENDIX

    None

    XIII. Dates Approved/Amended

    02-27-2024
    11-07-2014