Restricted Party Screening for Export Control Compliance
The Departments of State, Commerce and Treasury each issue lists of individuals, companies, or other organizations whose US export priviledges have been restricted or revoked. The lists include both US and foreign individuals and organizations. Screening foreign sponsors, subcontracts, vendors and other foreign parties involved in University activities is a critical component of the University's efforts to prevent violations of US export control laws.
The following lists of restricted parties must be consulted prior to any export of controlled items or information from the University or prior to the provision of services to a foreign party; this does not include participation of foreign nationals in University courses or unrestricted fundamental research activities on Grounds:
- Department of Commerce Lists
- Denied Persons List - Individuals and entities that have been denied export privileges, Any dealings with a party on this list that would violate the terms of its denial order are prohibited.
- Unverified List - End-users who BIS has been unable to verify in prior transactions. The presence of a party on this list does not necessarily mean that the transaction cannot go forward, but it is a "Red Flag" that must be resolved prior to proceeding with the export.
- Entity List - Parties whose presence in a transaction can trigger a license requirement supplemental to those elsewhere in the Export Administration Regulations (EAR). The individual listing specified the requirements and policy for each listed party.
- Nonproliferation Sanctions - Parties that have been sanctioned under various statutes. This list is issued by the Department of State, Bureau of International Security and Non-Proliferation, but the Federal Register is the only official and complete listing for nonproliferation sanctions determinations.
- AECA Debarred List - Entitites and individuals prohibited from participating directly or indirectly in the export of defense articles, including technical data, and defense services. This list is issued by the Department of State, Directorate of Defense Trade Controls.
- Specially Designated Nationals List - Parties who may be prohibited from export transactions based on Treasury regulations. The EAR require a license for exports or reexports to any party in any entry on this list that contains any of the following suffixes: SDGT, SDT, FTO, IRAQ2 or NPWMD. This list is issued by the Department of Treasury, Office of Foreign Assets Control.
In an attempt to facilitate compliance, the U.S. Government now maintains a Consolidated Screening List that incorporates the entries from each of the lists identified above.
In addition to the lists above, UVA personnel with access to defense articles, including technical data, or who may be providing defense services need to be aware that the U.S. has a policy to deny licenses and other approvals for exports and imports destined for or originating in certain countries. The list of countries to which this policy of denial applies can be found in ITAR 126.1.
Restricted Party Screening Using Visual Compliance
The University of Virginia Office of Export Controls recommends that all UVA exporters use Visual Compliance (TM), a web-based screening tool offered by eCustoms, to conduct their restricted party screeings; this will ensure automated periodic rescreening and documentation for audit purposes.
If you prefer to have Office of Export Controls conduct a restricted party screening on your behalf please Email a list of all known parties (companies, institutions or individuals) to the proposed agreement or activity along with their country of citizenhip or business location to email@example.com. NOTE: Most screening is done within 2 business days. The Office of Export Controls recommends restricted party screening be conducted prior to signing any outgoing international Material Transfer Agreement (MTA); contracting with a foreign vendor or service provider; proposing a subcontract or subaward to a foreign party; or exporting equipment, technical data, software (including source or object code), samples or supplies. Pre-screening can identify ineligible recipients and identify licensing requirements, so that potential concerns or problems can be identified before you expend time or resources.
An added benefit and reason to screen parties to a University transaction through Visual Compliance is that the service also screens against various law enforcement agency lists and the Federal excluded parties lists (procurement, nonprocurement and reciprocal programs).
Access to Visual Compliance is available to University personnel and departments for the conduct of University business under a Statewide educational license obtained by the Office of Export Controls. For more information about Visual Compliance or to register for a Visual Compliance user account, contact the Office of Export Controls at firstname.lastname@example.org or x2-1539.