928-523-4340
Jason.Wilder@nau.eduRestricted party FAQs
What is restricted party screening?
Restricted party screening is how NAU identifies export control violation risks. NAU’s Office of Research Compliance (ORC) has the tools to perform a restricted persons screening. Individual departments can also do their own batch screening, if desired. Additionally, NAU uses Visual Compliance, a service of ECustoms, Inc., to aid in export compliance.
What does restricted parties screening involve?
The screening process involves comparing a listing of all NAU employees, vendors, or business partners against the public databases of restricted persons maintained by various federal and international agencies. These databases identify persons that have been convicted of export control violations, have export control restrictions, or have other federal restrictions such as debarment.
How will the batch screening be done?
ORC will receive names, cities (if available), and countries for all foreign persons or companies which may have a business relationship with NAU. This information is provided to Visual Compliance, who will return a report to ORC of its findings.
What are the databases that will be used to screen NAU’s list?
- Air Force Office of Special Investigations: Top Ten Fugitives
- Bureau of Alcohol, Tobacco, and Firearms Most Wanted
- Bank of England Consolidated List of Financial Sanctions Targets in the U.K.
- Canada Public Safety and Emergency Preparedness Listed Entities
- Immigration and Customs Enforcement Most Wanted Fugitives
- Arms Export Control Act Debarred Parties (ITAR)
- U.S. Drug Enforcement Administration-Major International Fugitives
- Australia Department of Foreign Affairs and Trade Consolidated List
- Federal Register Order
- Denied Persons List (BIS)
- Terrorist Exclusion List (TEL)
- Designated Terrorist Organizations
- Entity List (BIS)
- Consolidated List of Persons, Groups and Entities Subject to E.U. Financial
- Sanctions
- Groups Designated by the European Union as Terrorist Organizations
- FBI Hijack Suspects
- FBI Seeking Information
- FBI Wanted Fugitives
- FBI Most Wanted Terrorists
- FBI Ten Most Wanted Fugitives
- Food and Drug Administration-Clinical Investigators
- Food and Drug Administration-Debarment List
- Food and Drug Administration-Disqualified and Restricted
- Interpol Recently Wanted
- Japan Foreign End-Users of Concern
- OIG Individuals/Entities Excluded from Federal Health Programs
- Munitions Export Controls Order
- Homeland Security Most Wanted Fugitive Criminal Aliens
- Homeland Security Most Wanted Human Smugglers
- Naval Criminal Investigative Service-Wanted Fugitives
- GSA Parties Excluded from Federal Non-procurement Programs
- Munitions Export Nonproliferation Order
- GSA Parties Excluded from Federal Procurement Programs
- Politically Exposed Persons in Money Laundering Risk Countries (CIA)
- Office of Research Integrity PHS Administrative Actions
- U.S. Postal Inspection Service-Most Wanted
- Palestinian Legislative Council List (OFAC)
- Royal Canadian Mounted Police-Wanted
- GSA Parties Excluded from Federal Reciprocal Programs
- Specially Designated Nationals and Blocked Persons (OFAC)
- OSFI Consolidated List-Entities
- OSFI Consolidated List-Individuals
- OSFI Warning List
- U.S. Secret Service Most Wanted
- United Nations Consolidated List
- Unverified Entity List (BIS)
- U.S. Marshals Service-Major Fugitive Cases
- U.S. Marshals Service-Top 15 Most Wanted
- World Bank Listing of Ineligible Firms
- WMD Regulations Designation (OFAC)
What will ORC do with the visual compliance report?
The report from Visual Compliance will contain the names that match those in the searched databases. ORC will screen and eliminate the report for false positives, and those remaining will be researched for verification. Names that have been verified will be securely shared with HR, purchasing, and any appropriate NAU party. NAU will work diligently to ensure that no one is improperly denied access to education or work or with doing business with NAU.