The U.S. federal government has numerous laws and regulations overseeing the exporting of items, materials, technology, software, information and data to foreign countries and foreign persons.
Activities related to the teaching, research and service missions at UW-Madison.
It is the policy of the University of Wisconsin-Madison (UW-Madison) to comply with legal restrictions on interactions with persons and organizations which the U.S. government has designated as Restricted Parties.
The U.S. Government has established several lists of persons and organizations with whom interactions are restricted for reasons of national security or other government policy, collectively referred to as “Restricted Parties.” The restrictions on interactions with Restricted Parties vary depending on the particular list, and include limits or prohibitions on export, regulatory, financial and commercial interactions.
Universities, foundations, and non-governmental organizations in foreign countries can be designated as Restricted Parties, including universities with legitimate academic programs. Most, but not all, Restricted Parties are located in countries other than the Americas, Europe, and the NATO block. In some cases, restrictions apply only to certain academic departments/disciplines within a Restricted Party university; typically academic departments/disciplines with a connection to the country’s military or security apparatus. Interactions such as hosting an international scholar, visiting a university overseas to give a presentation, or engaging in international research collaborations can be unlawful if the visitor, host for the presentation, or collaborator is associated with a university or organization on one of the Restricted Party lists. In many cases, a government license is required to share anything beyond published information in the public domain with a Restricted Party or associated individual. Information regarding advanced technology and scientific equipment, particularly if unpublished, is frequently export-controlled and not in the public domain. Further, assisting a Restricted Party in solving a scientific problem relating to export controlled technology can be unlawful, even if all the information used in such assistance is public domain information.
In addition, international vendors such as travel agencies or suppliers can be Restricted Parties, as can customers of the UW’s merchant operations such as departments that distribute research software.
There are significant civil and criminal penalties for violating restrictions on interactions with Restricted Parties.
UW-Madison employees. UW-Madison does not prohibit its employees and students from interacting with academic personnel associated with a Restricted Party, to the extent such interactions are permitted by law. However, because interactions with a Restricted Party can be unlawful, if there is any question about whether an individual or organization is a Restricted Party, UW-Madison employees have an obligation to take reasonable steps to identify whether a person or organization is on a Restricted Party list before engaging in interactions with such person or organization, and to ensure that all interactions with such person or organization are lawful. An invitation to give a scientific presentation at a university or other organization, or an unsolicited request to visit or study in a UW-Madison laboratory, that comes from an individual not personally known to the UW-Madison employee and who is located in a country outside of the Americas, Europe, or a NATO block country, are examples of situations where a Restricted Party screening is appropriate. The UW-Madison Export Control Office is available to assist UW-Madison employees by conducting Restricted Party Screenings and advising the UW-Madison employee of any necessary follow-up.
Schools, Colleges, Centers, and Administrative Units. If a student or employee of an organization on a Restricted Party list is invited to visit UW-Madison, the School, College, Center or Administrative Unit hosting such person is responsible for taking all necessary steps to ensure compliance with applicable law. This responsibility includes the obligation to ensure the visitor does not have access to information outside of the public domain while on campus, which can be a challenge in the University’s open research environment.
Purchasing Department. The UW Purchasing Department is responsible for screening international vendors to ensure goods or services are not purchased from a Restricted Party. Note that the Purchasing Department cannot screen purchases from international vendors made by Procurement Card, personal credit card, or cash.
Campus Merchant Operations. Campus units selling goods or services internationally, including via the Internet, are responsible for implementing business processes to ensure that prospective customers are not Restricted Parties.
UW-Madison Export Control Office. The UW-Madison Export Control Office conducts Restricted Party screenings of persons or organizations. The UW-Madison Export Control Office routinely screens H-1B visa applicants, certain J-1 visa applicants, and foreign participants in activities identified as export controlled through the grant submission process. The UW-Madison Export Control Office will also conduct a Restricted Party screening of persons or organizations and provide compliance recommendations and assistance at the request of a UW-Madison employee or unit.
If a party to a proposed interaction is identified through a Restricted Party screening as a Restricted Party, or is affiliated with, employed by, or enrolled as a student at, a Restricted Party, the following procedures are recommended.
1 Note 1: For those situations where a specific discipline is not identified or the entry for the party states all items subject to the EAR, we will assume that any interaction with that party will be restricted.
2 Note 2: Shipping includes any transfer of items, materials, software, information or data from the UW-Madison to a foreign party, including sales, rentals, donations, no cost transfers and software downloads. Similarly, receipt of products includes the transfer of items, materials, software, information or data from a foreign party to UW-Madison, including sales, rentals, donations, no cost transfers and software downloads.
