Excluded Parties List System: Suspended And Debarred Businesses And Individuals Improperly Receive Federal Funds
GAO-09-174Skip to Highlights
To protect the government’s interests, any agency can exclude parties from receiving federal contracts or assistance for a range of offenses. Exclusions of companies or individuals from federal contracts or other funding are listed in the Excluded Parties List System , a Web-based system maintained by GSA. Recent allegations indicate that excluded parties have been able to receive federal contracts. As a result, GAO was asked to determine whether these allegations could be substantiated and to identify the key causes of any improper awards and other payments detected. GAO investigated parties that were excluded for offenses such as fraud, theft, and violations of federal statutes and received awards in excess of $1,000.
Uva Restricted Party Screening Practices
Best practice for restricted party screening is to screen all parties PRIOR investing significant time or effort in developing a proposal, contract, or other agreement. This allow potential concerns or licensing issues to be identified and, if possible, managed or resolve BEFORE significant University resources have been expended or committed. The following restricted party screening practices are currently in place:
Export Control and Sanction Compliance: The Office of Export Controls conducts restricted party screening of all parties to proposed exports and activities involving sanctioned countries or entities. At minimum, restricted party screening must be done prior to exporting equipment, technical data, software , samples or supplies.
Sponsored Programs: The Office of Sponsored Programs has automated screening of all sponsors, subawardees, subcontractors, and organizations that are parties to non-funded agreements .
Other Contractual Agreements: Contract negotiators in Financial Operations and other areas coordinate restricted party screening needs with the Office of Export Controls.
Procurement: Procurement and Supplier Diversity Services has automated screening of new vendors as they register to do business with the University.
Other Circumstances: The Office of Export Controls provides restricted party screening on an ad hoc basis for other University business needs on an ad hoc basis.
Denied Persons List With Denied Us Export Privileges
A list of individuals and entities that have been denied export privileges. Any dealings with a party on this list that would violate the terms of its denial order is prohibited. This list is not meant to stand alone. It should be used in combination with the Export Administration Regulations including the Unverified List , Entity List , Specially Designated Nationals List , Debarred List and Nonproliferation Sanctions List .
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Using Software For Restricted Party Screening
The Compliance Module in the Shipping Solutions Professional export documentation and compliance software includes a Restricted Party Screening tool. It lets you quickly screen all the parties in your export transactions against more than 140 different lists with just a single click of a button.
The screenings are automatically stored in an audit trail, so you have a record of your export compliance efforts. This is especially important if your company gets audited by the Office of Export Enforcement or the Federal Bureau of Investigation or another agency with jurisdiction over exports.
Being able to provide a history of your denied party screenings, as well as all your other export compliance efforts, will help demonstrate you are doing your due diligence to maintain compliance, which the BIS says is a “strong mitigating factor” that can protect you from facing fines or penalties in cases where an export violation may have occurred.
Hundreds of companies use Shipping Solutions to quickly and easily create accurate export documents while staying compliant with U.S. trade regulations. See how Shipping Solutions software can help your company with export compliance. Register now for a free online demo.
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This post was originally published in October 2017 and has been updated to include current information, links and formatting.
Comprehensive Denied And Restricted Party Screening
Descartes MK Denied Party Screening includes a number of screening list options and packages. Customers can choose a blend of lists to suit business parameters or industry considerations. We offer a large range of content from Specially Designated Nationals lists, US Department of Treasury Office of Foreign Assets Control searches, to industry-specific concerns such as US Food and Drug Administration debarment lists, International Criminal Police Organization wanted persons searches and more.
The content can be delivered in a number of formats, such as within a searchable web-based application or streamed directly into Enterprise Resource Planning or Global Trade Management systems. Please contact us to tailor a package that would best fit your unique requirements.
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Comprehensive Global Denied Party List Database
Our comprehensive global database includes options to review all relevant denied or sanctioned party lists include the following and many others.
- United Nations
- European Union Sanctions Lists
- Foreign Assets Control and multiple U.S. Government Lists maintained under the Office of Foreign Assets Control ,
- International Criminal Police Organization Wanted person List
- Australian Consolidated
- Japanese Proliferation Concerns
Users can search multiple lists simultaneously using single or multiple fields to quickly locate the DPS-related information that best applies to an industry or type of export.
This solution is flexible and extensible to meet the needs of businesses as they grow. Companies can layer additional premium content as they expand into new locations, lines of business or verticals. Services such as Descartes MK Dynamic Screening can be included to screen records proactively when a new export item is added or following changes to a denied party list and Descartes MK Bulk Screening to batch screen existing or potential customers against our comprehensive DPS database.
Benefits And Features Of Descartes Mkdata Denied Party Screening Database
- Access one of the most accurate and up-to-date Denied Party Screening lists available
- Leverage real-time list updates to increase accuracy and reduce export compliance risk
- Better demonstrate reasonable care and compliance with an audit trail functionality
- Tailor results based on a series of pre-defined parameters to more easily and efficiently locate information
- Reference International Organization for Standardization country codes within a centralized application
- Review export-related regulations and Federal Register notifications
- Easily share results with other users in multiple formats including Microsoft® Excel and Comma Separated Value files
- Upload customizable lists of concern that may not be published on government lists or portals
- Screen items in a batch of up to 25 entries to speed the review process
- Enable comprehensive reporting capabilities
- Quickly locate Export Control Classification Numbers using classification functionality
- Determine license requirements from Export Control Classification Number language
- Add-on industry-specific screening options including the:
- Anti-Bribery & Corruption package
- Health & Human Services package including U.S. Food and Drug Administration information
- Incorporate further options as needed including:
- Weak Alias Screening to further refine results
- Federal Register updates that notify recipients of key changes to U.S. export regulations
- And more
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To Screen Or Not To Screen That Is Not The Question
The question of whether or not to screen for denied parties isnt a question at all. A restricted party screening isnt just about making sure you dont get in trouble. It helps you avoid various compliance woes that could affect you and your company for years to come.
If your company does not do its due diligence, a simple business transaction could turn into a compliance nightmare that compromises your business.
Every U.S. company should have a denied parties screening policy. The real questions to be addressed are:
- Which Restricted Parties List To Screen?
- How Often Should We Screen?
- Who In Our Database Should Be Screened?
- How Should Our Data Be Formatted During The Screening Process?
- Will This Export Affect Our License Requirement?
- Which Screening Method Should We Use?
- What Is The Best Way To Document Our Screening Results For An Audit Trail?
Embargoed & Sanctioned Countries
The United States’ Office of Foreign Assets Control regulates the U.S. embargo and sanctions programs that restrict or prohibit different interactions with certain countries, with the level of restrictions varying depending on the destination country and the proposed interaction. Additionally, OFAC regularly updates its lists of embargoed and sanctioned countries to reflect the United States current foreign policy and global relations. For an updated list of currently sanctioned countries and programs see the OFAC Sanctions Programs and Country Information.
OFACs sanction programs include three categories:
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Specially Designated Nationals And Blocked Persons List Human Readable Lists
As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called “Specially Designated Nationals” or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from dealing with them. View more information on Treasury’s Sanctions Programs.
Prohibited Parties Debarment & Exclusion Lists
The United States Government prohibits U.S. companies and individuals from providing services of any kind to any foreign party shown on their Denied/Restricted Parties list. The Department of Treasurys Office of Foreign Assets Control Specially Designated Nationals List is a list of terrorists, narcotics traffickers, and individuals or companies owned or controlled by targeted countries. U.S. companies and individuals are prohibited from doing business with or employing anyone who appears on the list.
We can also run HHS, GSA, FDA or other government exclusion or debarment checks on each of your applicants as they are initially screened. Additionally, we can perform required update searches monthly, quarterly or annually as needed on your entire employee population.
Below are some of the checks we can perform, but if you have one that is not on the list, please contact us to discuss your requirement.
Department of Commerce Bureau of Industry and Security
Department of State Non-proliferation
- Nonproliferation Sanctions Parties that have been sanctioned under various statutes.
Department of State Directorate of Defense Trade Controls
FDA Debarment lists
- FDA Disqualified/Restricted/Restrictions Removed/Assurance Lists for Clinical Investigators
- FDA Debarment List
- FDA Debarment List
U.S. Securities and Exchange Commission searches:
- FINRAs Broker Check program
- Investment Adviser Public Disclosure Program.
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What Is A Restricted Or Denied Parties List
Governments around the world want to ensure that organizations know their business partners. Monitoring these vast commercial networks in order to publicly designate criminal and terrorist organizations takes the vast resources of national governments and international organizations such as the United Nations and the World Bank.
Sanctioned individuals, vessels, companies, entities and charities are published on sanctions lists and restricted or denied parties lists. These lists often identify the name, address, alias used and sometimes personal information such as date of birth. Companies, insurance and financial industry partners utilize these various lists as part of their trade compliance operation. The restricted lists are compared or screened against an organizations business partners, suppliers, vendors, and customers to identify potential risks of inadvertently conducting business with debarred parties. The terms: restricted sanctioned denied and debarred are often used interchangeably when speaking of these many various lists.
Due to trade compliance requirements, the partners involved in allcross border trade transactions must undergo screening. Any parties or transactions flagged by an active sanction list will need to be investigated further. During the additional due diligence process organizations may find that a transaction partner is subject to a strict export ban, license requirement, or further evaluation of the end-use.
Wherever And However You Do Business There Are Denied Parties Lists That You Need To Screen Against
Many government bodies publish watch lists of individuals and organizations that are subject to trade restrictions. Among these are denied parties lists published by the U.S. Departments of State , Commerce , and Treasury . Additionally, many governments around the world maintain their own watch lists. As do international bodies, such as the United Nations, the World Bank, and the European Union.
Individuals and organizations facing export, trade, and OFAC restrictions can be found domestically and internationally, so, no matter the nature of your business, screening for denied parties is an essential part of your day-to-day activities.
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Your Comprehensive Restricted Party List Screening Solution
The benefits of denied parties screening far outweigh the costs. Perhaps most importantly, by screening for denied parties, you are helping protect the United States national security.
Other benefits include:
- Avoid Costly Fine And Penalties: Even if you make an innocent error, your company can still incur expensive fines and damaging non-compliance penalties.
- Save Time And Money: By knowing which business partners you cant engage with.
- Automation: Our screening tool is a must-have for any best-practice compliance program.
- Preservation Of Workflow And Supply Chain: Avoiding fees and disruptions will ensure your supply chain flows uninterrupted and workflow isnt compromised for you and your employees.
Contact us today for more information on our screening and compliance solutions.
Key Considerations For A Kyc Program Include:
Familiarize yourself with Red Flag Indicators that signal potential wrongdoing, including:
- Unclear end-use of an item
- Cash payments for big-ticket items
- Little to no business background
- Freight forwarders listed as the final destination
Screen all parties involved in a transactionincluding freight forwarders, consignees, etc. against sanctions list and denied or restricted party lists. Contact your internal trade compliance director if an export transaction seems potentially illegal to alert them to your suspicions. Always review for red flags and alert management to any irregularities impacting trade compliance.
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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 ) are lists of organizations, companies or individuals that various U.S. agenciesand other foreign governmentshave identified as parties that one cant 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:
Consequences of Non-compliance
Blocked Denied Entity And Debarred Persons Lists
Below is a list of links to the Office of Foreign Assets Control’s Specially Designated Nationals and Blocked Persons list, the Bureau of Industry and Security’s Denied Parties List, the Entry List and the Office of Defense Trade Controls’ Debarred Persons Lists.
Each agency is responsible for maintaining and updating their respective lists. Companies, entities, and persons found on the lists are sanctioned by the U.S. government and may not export goods from the United States or receive exported goods from the United States. Exporters are responsible for ensuring that all export transactions are properly authorized.
Exporters are advised to check the Federal Register publication and each agency’s web site routinely for changes to the above mentioned lists. Export sanctions, written by the appropriate agency, are published in the Federal Register and are the official source of information about denied persons, Specially Designated Nationals or debarred parties.
See Also – on the web:
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How To Avoid Restricted Parties
The sanctions list and denied or restricted party lists are regularly updated with the names and addresses of additions and removals, all list publishing organizations add or remove parties from a sanctions list when necessary to meet their global trade and foreign policy objectives. The government makes these lists available through three channels: a manual search engine, downloadable CSV and open API. An API, in particular, enables firms to input data into a dashboard for real-time transaction monitoring. Others may work with third-party providers who develop tools that incorporate the various lists.
Organizations need to understand the KYC guidance, which detail controls for recognizing and avoiding restricted persons.
Agencies That Oversee Restricted Party Lists
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 companies perform restricted party screening periodically and repeatedly throughout the movement of goods in the supply chain.
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Export Control And Sanction Related Lists
The following lists must be consulted prior to any export of controlled items or information from the University or prior to the provision of services to a foreign party this does not include participation of foreign nationals in University courses or unrestricted fundamental research activities on Grounds:
- Department of Commerce Lsts
- Denied Persons List – Individuals and entities that have been denied export privileges, Any dealings with a party on this list that would violate the terms of its denial order are prohibited.
- Unverified List – End-users who BIS has been unable to verify in prior transactions. The presence of a party on this list does not necessarily mean that the transaction cannot go forward, but it is a “Red Flag” that must be resolved prior to proceeding with the export.
- Entity List – Parties whose presence in a transaction can trigger a license requirement supplemental to those elsewhere in the Export Administration Regulations . The individual listing specified the requirements and policy for each listed party.