In most cases, an international research collaboration requires the sharing of physical commodities, data sets, software, and other technologies under the scope of work. Prior to sharing items with your foreign collaborators, it is important to understand some important import, export, ownership and contractual obligations in order to avoid unnecessary delays and to remain compliant with University policy and applicable local, state, and federal laws.
Ownership:
In the course of planning for an international research collaboration, it is important to identify and determine ownership for each item that may be transferred to the prospective foreign collaborator. Items such as data sets, software, biological samples, and other research tools created using University, government, or corporate funding carry different ownership and use conditions. It is important to understand the ownership and use conditions for each item before they are shared, so that the University is not in breach of any existing obligations. The Office of Sponsored Programs and the Innovation Institute are both available to assist faculty in determining ownership and use of existing items.
Agreements:
Once ownership and use conditions are determined for each item, you will need to have an appropriate agreement signed between Pitt and your foreign collaborator’s institution prior to starting any work or transferring any items. The Office of Sponsored Programs has helpful information covering material transfer agreements (MTA), data use agreements (DUA), confidential disclosure agreements (CDA) , non-disclosure agreements (NDA), subcontracts, and research collaboration agreements, and can assist you in determining which agreement type is best suited for your situation. If you are considering an international academic partnership, the University Center of International Studies has agreement information available on their Global Operations website, and can assist.
Outgoing Transfers (Exports):
All items shipped through a carrier or hand-carried onto a plane or boat and destined for a foreign country are considered exports under U.S. export control laws. Some exports like biological and chemical samples, lasers, and munitions will occasionally require an export license prior to shipping or hand-carrying. Even if an export license is not required, these types of items must be declared to U.S. Customs and Border Protection (CBP) prior to export using either CBP Form 4457 for personal items or CBP Form 4455 for research related items. If you intend to hand-carry an items with you to a foreign location, the Office of Research Security & Trade Compliance can review these items for you to determine federal export licensing requirements. If you intend to ship an item to a foreign location, the University recently adopted a centralized shipping platform called ProShip which requires University senders to provide information that will satisfy CBP and export control regulations. This system also identifies and electronically circulates for review shipments containing biological products, chemicals, batteries or fuel cells, or radioactive materials. The Office of Research Security & Trade Compliance (exports) and the Environmental Health and Safety Office (hazardous shipping) electronically review all shipments requiring one of these reviews.
Incoming Transfers (Imports):
Items shipped from a foreign location into the U.S. are considered imports. When importing items into the U.S., you should work with the sender to ensure that all shipping documents are filled out properly to avoid confiscation and associated fees from CBP. The Office of Research Security & Trade Compliance is available for questions about CBP forms and processes.
While most imports require a customs declaration, via CBP Form 6059B, some imports also require U.S. Government issued licenses and permits prior to import. For example, items controlled under the U.S. Department of State International Traffic in Arms Regulations (ITAR) always require a license before being imported. The following categories of items have restrictions when being imported into the U.S. The Office of Research Security & Trade Compliance provides assistance to faculty who need to procure a U.S. government permit or license for an import:
- Biological Specimens
- Certain fish and wildlife, and products made from them
- Some fruits, vegetables, plants, seeds, and soil
- Items from embargoed countries
U.S. Customs and Border Protection has a webpage that contains helpful information on biological import requirements as well as links to other U.S. agencies that regulate imports.
The following charts provide a quick reference for common activities and transactions involving international transfers, and who to contact for further guidance:
University Contact Chart When Sharing Research Materials and Data with International Collaborators
AGREEMENTS
|
Type of Activity or Transaction |
When to Seek Guidance |
Pitt Office to Contact |
|
A research collaboration with foreign institutions or individuals (financial). |
Prior to exchange of any information or items under a scope of work. |
|
|
Incoming or outgoing transfer of materials, data, or technology (non-financial). |
Prior to sending or receiving any materials, data, or technology. |
|
|
Protection of Pitt owned intellectual property (data, devices, samples, software) provided to a prospective foreign collaborator through a DUA, CDA, or NDA. |
Prior to the development of a scope of work. |
|
|
An international academic partnership. |
Prior to signing any Memorandum of Understanding or Agreement. |
University Center for International Studies, Global Operations |
OUTGOING TRANSFERS (Exports)
|
Type of Activity or Transaction |
When to Seek Guidance |
Pitt Office to Contact |
|
Outgoing transfer (Export) via hand carry. |
As far in advance of foreign travel as possible. |
|
|
Outgoing transfer (Export) via shipment. |
Prior to creating a label in ProShip. |
INCOMING TRANSFERS (Imports)
|
Type of Activity or Transaction |
When to Seek Guidance |
Pitt Office to Contact |
|
Incoming transfer (Import) of agricultural items, certain fish/wildlife, biologicals, chemicals or any item from an embargoed country. |
At the time of purchase or prior to sender shipping goods or prior to hand-carrying the items into the U.S.. |
|
|
Incoming transfer (Import) of all other items. |
At the time of purchase or prior to sender shipping goods. |
Office of Research Security & Trade Compliance and PantherExpress |