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Restricted Party Screening

Under federal export control regulations, U.S. persons and entities are prohibited from engaging with certain domestic and international individuals, institutions, governments, companies, or entities. Various U.S. government agencies, primarily the Departments of State, Commerce, and Treasury, maintain lists of individuals, companies, or entities known as restricted parties, barred or restricted from certain transactions with U.S. individuals, corporations, and organizations. Failure to comply with these regulations can result in civil penalties for UMassD and civil or criminal penalties for individuals involved in the transactions.

Pre-screening is crucial for identifying ineligible recipients and potential licensing requirements, minimizing risks before investing time or resources. Implementing Restricted Party Screening (RPS) helps identify and mitigate risks by preventing unauthorized entities from accessing sensitive technologies, information, or resources for malicious purposes.

UMassD implements a comprehensive Restricted Party Screening (RPS) process, emphasizing the importance of gathering detailed information to enhance accuracy and reduce false-positive 'hits,' thereby improving the effectiveness of the screening procedure.

UMassD utilizes Descartes Visual Compliance, a web-based software, for prompt screenings against federal lists. This proactive approach ensures compliance standards with regulations, includes automated periodic re-screening and provides documentation for audit purposes.

UMassD screens all potential collaborators against restricted parties lists before engaging in:

  • International collaborations (screening collaborators)
  • Teaching courses abroad or online (screening students and host institutions)
  • Presenting at conferences (screening conference sponsors)
  • Hosting international visitors (screening visitors)
  • Exchange of personnel, materials, data, technical information, or money (screening recipients or sponsors)
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