February 2024 Newsletter

Stony Brook University's Research Security Program

The program was created to assist faculty with compliance requirements (i.e., export control, disclosure, international travel, international activities and cybersecurity) by providing information, guidance and resources. This inter-disciplinary program is a collaboration between many university-wide offices in response to campus policies, sponsor requirements and federal regulations.

This newsletter series will highlight different areas of the program with targeted discussions and case studies to assist the campus community with compliance. Contact Susan Gasparo, Director of Research Security at susan.gasparo@stonybrook.edu for assistance or questions.

International Shipment Considerations

The SBU community ships internationally for university-related business (e.g., collaborations, field studies, return/repair of equipment, sabbatical) and these shipments should be reviewed for the identification of any risks to the individual and the University. In the last two issues, we looked at international traveland international collaboration considerations. In this issue we will look at international shipments.

When planning your international shipment consider the following:

Who and where are you shipping to?
Does the shipment require any campus approvals?
Does the shipment require any U.S. government or agency approvals?
What documentation is required for the shipment?

What is an international shipment?

An interntaional shipment includes sending data, technology/technical data, software, biologics, chemicals, research materials/prototypes, equipment or any other tangible item or product collectively called “item” from the United States to an international destination, including Canada and Mexico, by any transportation method (train, plane, boat, etc.). This includes hand-carrying an item even within luggage or on an electronic device.

Why should you review your international shipment?

When shipping internationally the shipper and the university have a responsibility to comply with domestic and international laws and regulations. Depending upon what you are sending these laws and regulations may be complex! Even for simple shipments an error may result in costly fines and penalties. For example, universities have been fined for shipments of controlled biologics without the appropriate export license, shipments of EAR99 (basic commodities) items to restricted parties, hazardous materials shipments without the appropriate authorizations.

SBU offices that can assist with international shipments

Does your shipment comply with export regulations?

Items (tangible and intangible) leaving the United States are considered exports. For export control compliance, the shipper must know if a license is required due to any of the following factors:

What is being shipped; and
Where it is being shipped to; and
Whom it is being shipped to; and
Why it is being sent to them (what will they use the item for)

Export Control Regulations

Export control regulations may require a license or documented license exception for an international shipment.

Defense articles and associated technical data listed in the United States Munitions List (USML) of the International Traffic in Arms Regulations (ITAR) always require a license before being shipped outside of the U.S.

Commodities controlled listed on the Commodity Control List (CCL) of the Export Administration Regulations (EAR) may require a license before being shipped outside of the U.S. depending upon destination country, end-user and end-use. “If your item falls under the jurisdiction of the U.S. Department of Commerce and is not listed on the Commodity Control List (CCL), it is designated as EAR99. The majority of commercial products are designated EAR99.” (Department of Commerce, Bureau of Industry and Security, Export Control Classification Number (ECCN)) Shipment of EAR99 items still requires review!

The Research Security Program can assist shippers with these classification determinations and must be contacted if you think a license is or may be required. The Research Security Program is the point of contact for all export licenses at SBU.

Restricted Party Screening

Restricted parties (aka denied or prohibited parties) are persons or entities (i.e.; companies, universities, nonprofits, non-U.S. government agencies) that are either prohibited or restricted in some manner by the U.S. government from receiving non-public information and/or items. This may include standard off-the-shelf items that are available world-wide.

Stony Brook University has software that can be used to screen for a restricted party. Anyone with a @stonybrook.edu email address can sign up. More information is available at How to Conduct a Restricted Party Screening.

The Research Security Program can assist shippers with restricted party screening and/or questions about real or potential screening matches.

Sanctioned and/or Embargoed Countries

TheDepartment of Treasury, Office of Foreign Assets (OFAC), oversees the U.S. embargo and sanctions programs. If you are shipping (or traveling with a hand-carried item) to an embargoed or sanctioned country, an export license will likely be required. Since each embargo and sanctions program is unique, a careful review of the program and the proposed shipment should be conducted.

The Research Security Program can assist shippers with these determinations and must be contacted before shipping to Iran, Cuba or North Korea. It is highly advisable to contact the Research Security Program before shipping to any embargoed or sanctioned country. The Research Security Program is the point of contact for all OFAC licenses at SBU.

Does your shipment contain dangerous/hazardous materials?

The transportation of dangerous goods regulations require that, with few exceptions, every person engaged in the handling, offering for transport, or transporting of dangerous goods be trained in the area of handling such goods.

Maximum civil penalty amounts have increased for hazmat violations, hazmat training violations, and hazmat violations resulting in death, severe injury, or other serious incidents. The new penalty amounts are as follows:

Violation of hazmat regulations: from $89,679 to $96,624
Violation resulting in death, severe injury from $209,249 to $225,455
Violation of hazmat training regulations: from $540 to $582

Environmental Health & Safety (EH&S) can assist shippers with shipments of dangerous/hazardous materials and must be contacted prior to actual shipment of these materials.

Does your shipment transfer materials originating or created at SBU? (temporary or permanent)

If you want to send materials, originating or created at SBU, you should send an email to Intellectual Property Partners at sbu_mta@stonybrook.edu and include the following information:

Description of the materials to include (i) a short, one-sentence description of the materials that will be shipped/transferred; (ii) information that can help Intellectual Property Partners (IPP) characterize the materials as a plasmid, software, virus, cell line, etc.; and (iii) clarification as to whether the materials to be transferred include infectious biological materials or other export-controlled materials.
Identity and contact information for parties Involved to include: (i) full name recipient scientist, (ii) email address of recipient scientist, and (iii) the name of the university or company that employs the recipient scientist.

Intellectual Property Partners can assist shippers with protecting rights and/or attribution when sharing SBU created materials.

Does your shipment transfer equipment?

(temporary or permanent)

If you want to temporarily or permanently relocate equipment, you should send an email to Property Control at property_control@stonybrook.edu. Property Control should be notified when any item that has or should have an Asset Decal is relocated. Additional forms and information can be found on the Property Control website.

Property Control can assist shippers with the relocation/transfer of equipment and must be contacted prior to actual shipment of these types of equipment.

Are there import regulations for the destination country?

It is important to understand the import regulations of the destination country. If a shipment does not meet these regulations, the shipment can be delayed, seized or even result in fees. Freight forwarders, import customs brokers, and your international collaborator are resources for assistance with import regul ations. Visit the International Trade Administration, Country Commercial Guidesfor more informaiton about import regulations.

Are you using UPS/FedEx, other freight forwarder and/or custom brokers?

Freight forwarders are experts in moving items across domestic and international locations. Most provide detailed information and simplified instructions for completing paperwork for your international shipment. They can assist with shipping documents, U.S. Customs filings, and destination import regulations. Some shipments may require specialized services or customs brokers.

SBU's preferred vendor is FedEx. FedEx maintains an International Shipping Guide.

Have you considered duties and taxes?

Duties, taxes, and other charges may be accessed on some shipments depending upon shipment content and destination country. These may include Goods and Services Tax (GST) and Value-Added Tax (VAT). It is important to understand how the shipped items will be used in-country and to use the appropriate shipper and customs broker for your situation. Read more about Understanding Duties and Taxes as part of FedEx’s International Shipping Guide.

Should you get an ATA Carnet?

ATA carnets are used for temporary imports and exports. They are used to avoid paying duties, taxes and penalties and to assist in customs exits/entries. ATA Carnets can be used to clear customs in a set of specified countries. Caution that ATA Carnets are not export licenses and an export license may still be needed with the ATA carnet. For more information: visit the International Trade Administration website about ATA Carnets.

What documents and information is required for your shipment?

Shipping Documents: Shipping documents can be numerous and may include an airway bill, a bill of lading, or a truck bill of lading; a commercial invoice; a certificate of origin; an insurance certificate; a packing list; or other documents required to clear customs. These documents may ask about hazardous materials, export control classification, tariff codes, declared value and other information specific to the item being shipped.
U.S. Customs Filing: Shipments valued over $2,500 or shipments that require an export license. The U.S. Foreign Trade Regulations requires that Electronic Export Information (EEI) be filed in the Automated Export System (AES) when (a) item(s) shipped under a Schedule B number/HTS code are valued over $2,500 to any destination other than Canada or (b) the shipment required an export license.

Record Keeping Requirements

The federal government requires that documentation for shipments be kept for five (5) years from the date of export – including, if applicable, the steps taken to determine whether or not a license was required.

Additional Resources:

Other U.S. Agencies for Import/Export Considerations

It is important to understand if other U.S. agencies require authorization and/or notification before shipping or receiving certain types of items.

Training and Guidance

The Export Compliance Course in CITI (training software available to anyone on campus) has a comprehensive module on International Shipping. Go to CITI – select log in through my institution, select SUNY – University at Stony Brook and then log in using your Stony Brook NetID and password. Add Export Control training and then you can select any of the topic focused areas including International Shipping
Guidance Document: International Shipments and Transfers and the Shipper Self-Assessment Review Procedure

Case Studies: Export Control Regulations

Case Study #1

Dr. John, a well-known cancer doctor at the University of Bologna, read about your new strain of mice in a journal and asked if you would send some mice to him for his research.

What item is being shipped? Mice used in cancer research (they are not modified with a controlled virus)
Where is the item being shipped? Italy
Whom the item is being shipped to? Dr. John at the University of Bologna
Why are we sending the item to them? Cancer research

Answer: The mice are classified as EAR99 under the export regulations. EAR99 items can be shipped to Italy. A screening of both Dr. John and the University of Bologna yield no results as restricted parties. Given your interaction with Dr. John and your knowledge of his work, you have no reason to believe that the transfer of mice is for any prohibited use.

Conclusion: The shipment of the mice would be compliant with export regulations. However, there are still other regulations (i.e., Italy’s import regulations, other U.S. federal agencies) that need to be considered. You will want to consult with the Division of Laboratory Animal Research (DLAR) and you would want to consider whether or not you would need a Material Transfer Agreement.

Case Study #2

Dr. Joe, a collaborator at the University of Sweden, wants to borrow an infra-red camera for some field research. You have two different models – would it matter which one you sent?

What item is being shipped?

FLIR model SC6000, military grade camera, controlled under the Department of State Regulations
FLIR model E40, commercial grade camera, controlled under the Department of Commerce

Where is the item being shipped to? Sweden
Whom the item is being shipped to? Dr. Joe at the University of Sweden
Why are we sending the item to them? Field research

Answer: Both camera models are export controlled. A screening of both Dr. Joe and the University of Sweden yield no results as restricted parties. For the FLIR model SC6000, an export license is required for any destination. For the FLIR model E40, a license is required for any destination; however, there may be a license exception available for the shipment to Sweden. Given your interaction with Dr. Joe and your knowledge of his work, you have no reason to believe that he wants to use the cameras for any prohibited use.

Conclusion: You would need a license to ship the SC6000. There may be a license exception available to ship the FLIR model E40. Either way, you need to consult with SBU’s Research Security Program. You would also need to consult with Property Control if the camera has an Asset Decal. You may want to enter into an agreement for the loan of the equipment.