Restricted Party Screening Guidelines

Restricted Party Screening Guidelines

Restricted Party Screening Guidelines

Restricted Party Screening

The United States government and its export regulations restrict or prohibit U.S. individuals and companies from exporting or providing services of any kind to any party contained in the U.S. government export denial, debarment, and blocked persons lists. Restricted Party Lists (RPS) (also called Denied Party Lists (DPS)) are lists of organizations, companies or individuals that various U.S. agencies—and other foreign governments—have identified as parties that one can’t do business with. These lists are updated on a regular basis.  RPS or DPS screening involves a review of these lists to ensure that the person or entity with whom you are interacting is not on one of these lists.  The University has a site license to software which provides easy-to-use screening for denied parties.

U.S. agencies that mandate RPS/DPS

In the United States, the primary restricted party lists are published by the Department of Commerce, Department of State, and Department of Treasury. However, several other agencies produce lists as well. These agencies recommend that institutions of higher education perform RPS/DPS periodically and repeatedly throughout the movement of items and transfer of materials, project information, equipment, or technology out of the U.S., and international visitors.

Software for RPS/DPS

This is a tool that allows quick screens of anywhere from 150 to 600 government institutions worldwide.  The screening enables the following:

  • Accurately identify restricted parties before goods ship
  • Prevent illegal transactions with debarred parties or foreign entities
  • Prevent illegal transactions with banned trading partners
  • Preserve a complete audit trail
  • Reduce institutional risk
  • Avoid sanctions, fines, and penalties
  • Accurately classify items that are shipped to foreign entities

In order to conduct proper screening, visitors must complete the “VISITING SCHOLAR/RESEARCHER INFORMATION AND EXPORT CONTROL FROM” posted here

Please make sure that the visitor enters the name as it appears on their passport or any other government issued identity cards.  Screening is done within 48 hours of submission of the above referenced form.

For shipping items to foreign person or entity, complete the form providing the name of the person shipping, item to be shipped, person receiving the shipment, name of the entity that is receiving shipment and the country to which the shipment is sent.

Consequences of Non-compliance

It is important that all items exported to a foreign country or a foreign person are screened before shipment. For shipping materials abroad, the person shipping the material is ultimately responsible for ensuring that shipments do not end up in the hands of any individual or company on any of the restricted party lists.  Likewise, it is important that all foreign visitors are screened before they come to Rowan University.  Export Control Office is available to provide guidance and training before a shipment is made.

According to the U.S. Department of Commerce's Bureau of Industry and Security (BIS), fines for export violations can reach up to $1 million per violation in criminal cases. Administrative cases can result in a penalty amounting to the greater of $250,000 or twice the value of the transaction. In addition, criminal violators may be sentenced to prison for up to 20 years, and administrative penalties may include denial of export privileges.