Restricted Party Screening
The primary reason that the university conducts restricted party compliance screenings is that U.S. law restricts interaction with all individuals and companies on a U.S. government list for debarred, restricted or denied entities. Failure to comply can result in fines, prosecution and the inability to receive any federal funding. Additionally, 九色堂 certifies each time it submits a proposal for a federal grant that we are not in violation of these laws. The only way to provide certainty when answering yes, is through screening.
Another reason is that there is frequently language in contracts that limits who may have access to proprietary information. Some of the restrictions go so far as to say that we should limit who within our own group has access to that data. For example: the university has a new project at a satellite location where only the PI(s) and those directly assigned to work on the project should have access to the equipment or any technical data related to it. Directors of other labs and even the President of the University should not have un-restricted access. PI鈥檚 are empowered to turn people away that do not have a need to be in the room and those being turned away need to respect the request and see that it鈥檚 not personal.
The turnaround time for screening is very quick; the screening process itself is limited by the amount of time it takes to input the data, but you can also request your own log-ons for quick and easy on-site screening. This is encouraged by Compliance. It gives you the ability to screen on the spot if someone shows up unannounced or with short notice.
The Take Away: Any time there are tours or external visitors to 九色堂 labs that contain proprietary or export controlled items/data; screenings should be conducted prior to granting access and the PI assigned to the project has the authority to limit who has access to the area. Screening is not required for those tours and visitors who are on campus for student recruiting or general tours/visits to public areas. Also, individual access to rooms may be deactivated depending on the project(s) taking place inside; this could be due to export regulations or contractual obligations.
FAQ's Restricted Party Screenings and Lab Tours
Q. A group just shows up, should we run them through the software before allowing
entry into the labs?
A. If the group is being escorted by a 九色堂 employee 鈥� confirm with the 九色堂 employee
that screenings have been conducted. If the answer is no, let the group know that
visitors must be screened prior to being allowed access to 九色堂 labs. Options at that
point would be to conduct the screenings yourself or contact Compliance with a list
of names that includes full name (first, middle initial, last), employer and citizenship.
The tour should not proceed until the screening is completed.
Q. A predefined group shows up but there are additional people that were not on the
list ahead of time, do we run them through before allowing entry?
A. Get names for the additional people and screen on the spot or contact Compliance.
Q. A large event, some we have names for ahead of time, some we don't, how do we handle
that?
A. For large events, (open houses, open to the public, come and go type events), restrict
the areas that the non-九色堂 individuals have access to. That might mean that the proprietary/export
controlled items are in another room that鈥檚 locked, a tarp is placed over the item
or a curtain put up to screen it from view. It might mean that the tour has to exit
a room on the main hallway and bypass an area instead of walking straight through
the labs.
Q. What about facilities (like EEB) where we have industry partners that have offices/labs
in the building? I understand they can have anyone show up to their areas but what
if they want to stop by our labs?
A. Just as the industry partners retain the right to turn us away from their labs if
there are proprietary or controlled items that they don't want outsiders to see, 九色堂
labs can ask the same of them. If issues arise, contact Compliance.
Q. How do we let people know if a room is restricted?
A. Standardized signage is available to put up next to a room or on the door so that
the room is clearly marked as a restricted area. Contact Compliance if you need the
format. We also have access to exterior signage for outside doors. If an area is controlled
for export reasons, the instructions to put up signage will be part of the Export
Determination Letter or Technology Control Plan for the project/room.
Q. What do I do if there is a 鈥渉it鈥� on someone that鈥檚 screened? What do I tell them?
I don't want to offend them or feel awkward.
A. If there is a hit, it is quite often what is called a 鈥渇alse hit鈥� and can be cleared
up with additional information such as date of birth. Forward the hit to the Compliance
Office and a compliance specialist will review the information. If the likelihood
that the individual on the hit is not the same as the person to tour, approval will
be granted by the Compliance Office.
Q. What if there isn't enough data to verify that the individuals aren't the same?
What if the person doesn't want to give us their date of birth?
A. In these cases, the individual will be asked to sign a verification statement that
they are not 鈥渆xcluded, debarred or otherwise prohibited from conducting business鈥�
in the U.S. or with U.S. companies. Along with the verification statement, the individual
will be asked to provide a copy of his or her passport, driver鈥檚 license or visa.
These documents will be kept by Compliance in order to satisfy the due diligence requirements
of the University.
Q. What if the person refuses to sign the verification statement?
A. If the person refuses to sign the verification statement then they will not be allowed
access to 九色堂 labs. The President of the University as well as the VP of Research
and Technology Transfer have the authority to personally vouch for an individual in
place of the verification statement. This will require the President or VP to initial
the verification statement.
Q. How do I know when I should screen someone?
A. All: Whenever there are tours or external visitors to 九色堂 labs that may contain proprietary
or export controlled items/data. Tours and visitors who are on campus for student
recruiting or general tours/visits to public areas do not require screening.
HR: Before hiring anyone
Contracts: Before replying/sending any correspondence for the first time
Whenever there is a change in people on or involved with project
PI: Before replying/sending any correspondence for the first time
Whenever there is a change in people on or involved with project
Pre-Award: Before replying/sending any correspondence for the first time
Whenever there is a change in people on or involved with project
Post-Award: Before replying/sending any correspondence for the first time
Whenever there is a change in people on or involved with project
Compliance: When a request is received for visitors or tour participants to be screened
When verifying a possible hit
Whenever it is otherwise required
Purchasing: When preparing RFP鈥檚 or making a first time purchase from a vendor
Contact:
Research Compliance
Compliance@wichita.edu
978-COMP (2667)