Various U.S. government agencies maintain lists of individuals, companies, and organizations, both foreign and domestic, whose U.S. export privileges have been blocked, restricted, or revoked. To remain compliant with the regulations, the University of Arizona must ensure that no transactions are conducted with such parties unless authorized by the listing U.S. government agency.
The University of Arizona uses a web-based software tool known as Visual Compliance to quickly and easily conduct Restricted Party Screening (RPS) against the various lists for: Restricted Parties, Denied Parties, as well as Blocked, Unverified, and Sanctioned Parties lists. Screenings should be completed for:
- Foreign and domestic sponsors and vendors
- Foreign research collaborators
- All personnel associated with export controlled research
- Foreign visiting scientists and Designated Campus Colleagues (DCCs)
Conducting Restricted Party Screening
There are approximately 123 individuals within 28 Colleges/Departments across the University whom have access to the Visual Compliance system and can conduct RPS directly. The University Export Control Program (UECP) manages user access to the Visual Compliance system. UA employees with a need to conduct RPS on a regular basis may requst access to the Visual Compliance system. Otherwise, if the need for RPS is occasional, UECP will be happy to conduct the screening for you.
Requests for RPS should be sent to UECP at: email@example.com. The email should contain the following information:
- Name of individual to be screened.
- Name of affiliated organization (if applicable).
- Country of Nationality (for individuals) / Country of Incorporation (for organizations)
- Reason for conducting RPS (e.g., Visiting scholar, H1B applicant, NDA)
Requesting Access to Visual Compliance
Department Supervisors should send a request to UECP at firstname.lastname@example.org with the following information:
- Name of Individual(s) needing access
- Individual(s) UA NetID
UECP will then send a Code of Conduct form to be completed by the individual needing access. Once the form is completed and returned to UECP, the user account will then be established. Once the account has been created, UECP will provide the user with instructions for accessing the account.
Although training is not required prior to using Visual Compliance, UECP recommends that new users review the training material posted below as well as online modules provided by Visual Compliance in order to gain a thorough understanding of how to conduct RPS and manage the results. Once an account has been established, a formal in-person training session with UECP can be scheduled by emailing a request to UECP.
UECP has created the following training materials for conducting screenings, reviewing the results, and steps to take for potential matches (or 'hit').
Registered users may also watch the Visual Compliance online training modules by selecting the training icon at the bottom of the screen after logging in to the site with their provided user access. Visual Compliance also conducts quarterly training sessions on system updates and best practices. An email will be sent to all registered users by Visual Compliance of upcoming events with registration details.