Local Law Compliance

Below are common examples of local laws or regulations where researchers should consider their compliance obligations.

Sensitive research

Research topics that may be acceptable or encouraged in the U.S. may be treated differently if conducted in a foreign country. Due to specific local law or other requirements, certain research projects in a foreign country may be illegal, restricted, or bring significant risks to researchers or human subjects. University researchers may be barred from accessing data of foreign countries. Researchers who conduct research on certain topics in foreign countries may be pressured, directly or indirectly, to censor their research.

Researchers should familiarize themselves with the locale of the country of research, including customs and laws that may affect their research. Partnering with a local organization or institution with expertise in their field or discipline can help researchers learn more about the locale of their research and can often help researchers achieve project goals.

For research involving human subjects, researchers must disclose to the Research Subjects Review Board (RSRB) through the protocol submission process any potential physical, psychological, social, legal, and economic risks to human subjects that are associated with the foreign country and/or local subject population.

Researchers are encouraged to consult with the Office for Global Engagement prior to engaging in any research that may be particularly sensitive in a foreign country.

Animal research

If research will be done with animals in a country outside of the U.S., researchers should identify whether institutional reviews by the University or an institution located in the applicable country will be required. In addition to federal requirements and University policies, a partner organization or the local country may have laws, regulations, and standards applicable to animal research. For additional guidance, contact the Animal Resource office.

Specimens, organisms, and wildlife

If the research will involve the collection of specimens, organisms, or other materials in a country outside of the U.S., researchers should ensure that they have any necessary permits or licenses in the applicable country and have reviewed any local rules or requirements for the activity.

Special permits may be required for the collection, transportation or possession of wildlife or indigenous species. When importing biological materials into the U.S., researchers should make themselves aware of importation requirements of U.S. Customs and Border Protection and applicable government agencies.

Additional resources:

• US Customs and Border Protection website
• University Environmental Health & Safety (EHS) website
• EHS safety checklist

Shipping items

In addition to any applicable U.S. export control laws or regulations, researchers may be required to have special permits to ship or import items to a foreign country. In particular, if a researcher is shipping animals, plants, or microorganisms, an import license may be required by the foreign country. Researchers are encouraged to arrange their projects such that foreign collaborators obtain country-specific import permits prior to travel. As described in the Information Security Guidelines for International Travel, some countries may restrict imports of encrypted devices. As a result, University-owned laptops may be confiscated in certain countries.

The U.S. Foreign Trade Regulations may require exporters to file Electronic Export Information (“EEI”) to the U.S. Census Bureau when shipping items internationally. The University recommends working with a commercial shipping carrier (e.g. FedEx) or freight forwarding company for the shipment when an EEI filing is required, as they should be able to file the EEI on behalf of the University.

The following is a non-exhaustive list of examples that require an EEI filing, but may not get automatically flagged when exporting through a commercial carrier or freight forwarding company:

• Items requiring an export license under the Export Administration Regulations (EAR);
• Items requiring an export license under the Internal Traffic in Arms Regulations (ITAR);
• items requiring a general or specific license under the Nuclear Regulatory Commission’s export regulation; and
• items intended for sale in the destination country, or that may be left in the destination country for longer than one (1) year from the date of export.

For assistance with export/international shipping matters, please contact export@rochester.edu.

At times, foreign collaborators require devices (laptops, phones, or iPads, for example) to help carry out a University research project in the foreign country. University researchers may believe that the University is a better position than the foreign collaborator to purchase the items, rather than the collaborator purchasing the items themselves. Due to shipping and export compliance obligations noted above, as well as the fact that the devices may be subject to import duties or taxes, confiscation or fine (likely paid by the University) by the foreign country, this is often not the case. Researchers are encouraged to arrange their projects such that foreign collaborations purchase items necessary for the research project in the country on their own.

Certain dangerous items or hazardous material (for example, biological substances, radioactive materials, or chemicals) are subject to U.S. and international shipping regulations. Prior to shipping regulated biologicals or dry ice, researchers should complete MyPath Shipping Biologicals and Dry Ice training. Prior to shipping chemicals and radioactive materials, researchers should contact University Environmental Health & Safety with questions.

Researchers are encouraged to develop partnerships with local organizations in their international research programs. Local organizations can help researchers meet project goals and may help reduce the compliance burdens associated with shipping or importing materials. Collaborators located in the foreign country are often best equipped to assist researchers with local permitting or import requirements.

Local environments

If research will be conducted in natural environments, researchers should be aware of any local environmental or conservation laws that are applicable to their work in the applicable country. Researchers may need to apply for special permits or licenses to conduct their research or fieldwork.