Compliance Academy
Complex regulatory rules and workflow concepts explained in plain English—with beginner and advanced depths for every operational role.
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What is adjudication?
An internal structured review process used to resolve a screening alert into a recorded outcome.
What is transaction due diligence?
A risk-based review of the parties, ownership, end-use, destination, routing, and other facts relevant to a transaction or relationship.
What is an end user statement?
An end-use or end-user assurance used in specified export-control licensing and due-diligence contexts to document intended use, destination, and transfer commitments.
What is an evidence pack?
A packaged view of compliance records assembled for review, audit, or case evidence; the term itself is not a regulator-defined recordkeeping standard.
What is a match-confidence score?
A similarity score produced by a matching system; it is not a probability that a sanctions violation or true identity match exists.
What is a disposition?
The recorded outcome of a screening review, such as cleared, escalated, blocked, or another product- or policy-specific decision state.
What is host attestation?
A SecurePoint Visitor workflow that records a host’s verification and responsibility for a visitor before the configured access or badge process can continue.
What is monitoring?
An ongoing compliance control that watches for changed sanctions or restricted-party risk through scheduled or event-triggered re-screening and review.
What is a restricted party?
A person, entity, vessel, or other party subject to a government restriction or designation; the legal effect depends on the specific list and rule.
What is license tracking?
The operational tracking of export authorizations, their scope, conditions, validity, usage, and supporting records.
What is a false positive?
A potential screening match that, after review of available identifiers and context, is reasonably determined not to be the listed party.
What is escalation?
The transfer of an unresolved or higher-risk compliance issue to the person or function authorized to investigate and decide it.
What is a sanctions list?
An official list of persons, entities, vessels, or other targets subject to sanctions or export-related restrictions; the legal effect varies by list.
What is the OFAC 50% Rule?
OFAC’s rule that property and interests in property of an entity owned 50% or more in the aggregate, directly or indirectly, by one or more blocked persons are considered blocked.
What is re-screening?
Running a new screening check on a party that was screened previously, usually because time has passed, a list changed, or another risk trigger occurred.
What is an embargo?
A broad restriction on trade or other economic activity; in U.S. practice, the exact scope depends on the applicable sanctions and export-control program rather than one universal country list.
What is a U.S. person vs. a foreign national under 22 CFR 120.62?
An export-control status defined at ITAR 22 CFR 120.62 and 120.63. It is one fact used when deciding whether a proposed release of controlled technical data or technology may require authorization.
What is a deemed export?
Under the EAR, a release of controlled technology or source code to a foreign person in the United States that is treated as an export under the regulation; ITAR has a related rule for technical data releases.
What is ITAR?
The International Traffic in Arms Regulations, 22 CFR Parts 120–130, which govern defense articles, defense services, technical data, and related exports under State Department authority.
What is CMMC (Level 1 vs Level 2)?
The Department’s cybersecurity assessment program for defense contractors and subcontractors handling FCI or CUI; implementation is currently paused in Phase 1.
What is CUI vs. FCI?
Two government-information categories with different safeguarding bases: FCI is nonpublic federal contract information; CUI is information subject to government-wide safeguarding or dissemination controls.
What is visitor escort and monitoring?
A physical-access safeguard in which visitors are accompanied and their activity is monitored according to the organization’s applicable security requirements and access policy.
What is fuzzy logic matching?
Approximate name matching that returns similar names even when the spelling is not identical, usually with a similarity score for review.
What is a sanctions/country hit (and the controlled-goods test)?
A screening or jurisdiction signal that requires the reviewer to identify the source program and determine what restriction, if any, applies to the contemplated activity.
What are the U.S. antiboycott rules?
U.S. rules in EAR Part 760 that restrict certain actions supporting unsanctioned foreign boycotts and separately require reporting receipt of certain boycott-related requests.
What is enhanced proliferation (EPCI)?
EAR end-use controls in Part 744 that can require a license for items subject to the EAR when specified nuclear, rocket/missile/UAV, or chemical/biological weapons end-uses are known or when BIS informs a party of a license requirement.
What is a non-U.S. (foreign) restricted-party list?
A sanctions or restricted-party list issued by a non-U.S. government or international body; its legal effect depends on that authority, the applicable jurisdiction, and the activity being reviewed.
Confirmed identity match, but does the source-specific restriction apply?
An internal disposition that should be used only when the party is correctly identified but the specific source restriction does not apply to the contemplated activity; it is not a safe harbor from an applicable government prohibition.
What is an AML / financial-watchlist hit?
A screening result from a financial-crime or AML-related data source; there is no single universal 'AML watchlist' with one legal effect.
What is the SAM.gov exclusions list (formerly EPLS)?
SAM.gov records federal procurement and nonprocurement exclusions, including the legacy GSA Excluded Parties List System (EPLS). The effect of a hit depends on the exclusion authority, record, and contemplated federal transaction.
What is an HHS-OIG exclusion (LEIE)?
An HHS-OIG exclusion from Federal health care programs, recorded in the LEIE, with payment and participation consequences defined by the exclusion authority.
What is identity verification (identity resolution)?
The match-resolution step that compares a potential list hit with available identifiers and context to determine whether it is actually the listed party.
What is an audit trail?
A time-ordered record of compliance events and decisions that lets an organization reconstruct who did what, when, and on what basis.
This glossary is provided for educational and informational purposes only and does not constitute legal advice. SecurePoint USA is not a law firm and this material is not a substitute for qualified sanctions or export-control counsel. Regulations change frequently — always confirm current requirements against the cited primary sources and with your own compliance or legal team before making operational or legal determinations.