Restricted Party Screening

Restricted Party Screening Restricted Party Screening

The U.S. Government maintains various lists of entities for which there are restrictions on doing business. The Bureau of Industry and Security (BIS) recommends that these lists be reviewed to ensure that a proposed transaction does not violate regulations. UM personnel, especially those in a managerial/supervisory role, are responsible for ensuring that all persons or entities have been screened *prior* to engaging in business activities, to confirm that the person or entity does not appear on any of the 300+ agency lists of denied/excluded parties.  This process is required for any UM business activity (e.g., observerships, visitors, vendors, hiring, researchers, conferences, etc.)  All research personnel (compensated or not) are to be screened against federal debarment and suspension lists through the University’s restricted party screening (RPS) system before any federal funds are released.

Parties who are identified on a denied/excluded party list will be investigated to ensure the result is a true match. Even a true match may not mean that no University business can be conducted with such persons. Specific license requirements, terms and conditions, or other factors may apply. The University will conduct detailed due diligence to ensure full compliance is achieved.

The RPS system does not currently include state lists such as the Florida Agency for Health Care Administration (AHCA) or the Florida Department of Law Enforcement (FDLE). Screening of state lists will need to be conducted by the University department requiring such screening. Background investigations will need to be requested through the University’s Security Department.

Amber Road is the official provider of restricted party screening compliance for the University of Miami. No other RPS service provider is to be used (e.g., Visual Compliance, DataLink). The administrator for the RPS system is the University’s Director of Export Control Compliance. University departments that need to conduct screenings on a regular basis may submit a request for training on the system and for access.

If a department is sponsoring a foreign person who is applying for a H-1B, H-1B1, O-1, or L-1 visa, the department must complete EXPORT-F-001.  The visa application process cannot move forward until the Director of Export Control & Compliance has reviewed the I-129 attestation form for foreign person sponsorship.  Departments should review EXPORT-S-001, the standard operating procedure (SOP) document for I-129s.

If a department is sponsoring a foreign person who is applying for a J-1 visa, the department must complete EXPORT-F-006.  Once Export Control & Technology Management has completed the review and approved the form, the form will need to be included in the DS-2019 packet to the appropriate office.  Failure to complete EXPORT-F-006 will result in return of the DS-2019 packet until this step is completed.  Departments should review EXPORT-S-006, the standard operating procedure (SOP) document for DS-2019s.

For any other activities or for foreign persons entering on a visa type other than that which is listed above, departments are to complete EXPORT-F-009.  Departments should review EXPORT-S-009, the standard operating procedure (SOP) document for RPS.

In the event that it has been determined an export license or deemed export license is required, the Director of Export Control & Compliance will work with the requesting department to submit the application.  It should be noted that this process can take several months for the U.S. Government to review the application, with no guarantee that a license will be issued.