How to Conduct a Restricted Party Screening

Related Information What or Who is a Restricted Party?

Screening Tool

The University uses eCustoms Visual Compliance software (VC), an internet based program, to complete a Restricted Party Screenings.

VC is available to University faculty and staff using their @stonybrook.edu email as their user name.

If you are not already registered, go to https://www1.visualcompliance.com/usr/ to register. After you complete the registration form, you will immediately receive a confirmation email from VC and you will be able to use the software.

How to Conduct a Restricted Party Screening for Export Compliance

Step #1: Sign in to eCustoms Visual Compliance (VC)

Step #2: Screen using the RPS function.

Run each screening request by the person or entities full legal name through VC using the RPS function.

A. Enter entity’s full legal name in the “Company” field or individual’s full legal name in the “Name” field. Do NOT put additional address or country information into the initial screening request.
B. From drop down Comment box, select the most appropriate category for your screening and as applicable enter any additional information in the explanation field.
C. Select “Fuzzy” and “Level 2”.
D. Make sure that only “Exports” and “Sanctions” are checked.
E. Click on Screen.

Step #3: Review Initial Results

A. If “No Matching Records Found” then the screening process is completed.
B. If there are more than a couple of potential matches, refine the search. Repeat Step #2, select “Exact” and “Level 2” for Step #2C.

Step #4: Review Refined Results

A. If “No Matching Records Found” then the screening process is completed.
B. If there are remaining potential matches, analyze each potential match.

Step #5: Analyze Potential Matches

Using supporting documentation try to eliminate each potential match. Supporting documentation may include passports, company websites, drivers’ licenses, etc.

A. All potential matches can be eliminated then the screening process is complete.
B. If there are remaining potential matches, forward the screening request and any supporting documentation to the Export Control Officer (ECO) for final determination.
C. If there is a positive match, forward the screening request and any supporting documentation to the ECO for final determination.

To send the results to the ECO, complete the following: Click on "Email these Results" from the screening results page. For send to this address: add osp_exportcontrol@stonybrook.edu; add any notations in the notations section; and make sure that the box is checked to include your name in subject line. Click Mail.

Step #6: ECO Review and Determination

Upon receipt, the ECO will review any remaining potential matches and provide screening department with final determination of no match or positive match.

A. Upon receipt by department of the ECO’s final determination that there was no positive match, then the screening process is complete. ECO will notify requestor.
B. Positive Matches for persons/entities on a federal list maintained for export control compliance will be determined by the ECO in conjunction with the appropriate campus and/or RF officials. ECO will notify requestor.

Step #2 Example

Step #5B or #5C Example

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