筛选被拒方或受限制方是出口合规性方面最重要的风险管理任务之一,特别是对于受耳朵约束的项目.

对于涉及最敏感项目的交易,在筛选受限制方时应给予额外的注意,这似乎是直觉, 例如受ITAR管制的国防物品,或商业管制清单上600系列的军用物品.

但更大的风险可能在于那些出口受ear管制的各种物品的组织,特别是那些被归类为 耳朵99 和 other ECCNs that typically may be exported or reexported NLR.

这是因为几乎所有受ITAR约束的东西都需要许可证申请. The same is often true for 600 series items. 但耳朵允许如此多的商品以NLR出口,以至于这种状态经常被误解为不适用出口管制. That’s never the case, 和 if you’re not doing a thorough job of restricted party screening, 当看似无害的事务的细节触发许可证要求时,很容易错过实例.

此外,美国.S. government’s use of sanctions has evolved. At one time, the various restricted party lists comprised largely imprisoned smugglers, terrorist organizations 和 a few hostile government entities. Now, these lists have become a go-to tool for implementing U.S. 外交政策. As a result, they’ve grown to include many legitimate 和 established businesses. And given the fluidity of global politics, 由于种种原因,新名字经常被添加到限制政党名单中.

因此,这里有一些限制政党筛选的考虑因素和最佳实践.

筛选谁

在筛选受限制方时,应包括所有已知的交易方,包括:

  • 客户;
  • 销售代表;
  • Resellers, distributors 和 any other channel partners;
  • Service providers 和 intermediaries, 例如银行和货运代理(无论是您自己的还是客户指定的)

还要筛选业务其他方面的相关方,尤其是与您共享数据(也受到出口管制)或进行金融交易的相关方.

Some companies will screen vendors, 员工和承包商在招聘前或在入职过程中对照这些清单. It’s a good idea that can save trouble 和 embarrassment later on, 在进行其他就业前筛查的同时,这样做是有意义的.

And for companies that do sensitive work or deal with sensitive customers, it’s also prudent to screen visitors.

Screen beyond the name

Some of the restricted party lists provide addresses or other information. 它并不总是有意义或准确的,但当信息可用时,使用它. 它可以发现一些情况,例如某人使用的DBA不在任何列表中,但却共享被拒绝或受限制方的地址.

You can also screen by geo-location, IP address or email domain, which can be especially helpful for businesses that take orders online. If you have an order that comes in for shipment to Toronto, but the IP address is from a computer in 古巴, that’s information you would want to know before fulfilling the purchase. 虽然IP地址和电子邮件地址很容易被掩盖,但也有过美国政府使用互联网的情况.S. Treasury Office of Foreign Assets Control (外国资产控制办公室), which maintains the government’s most radioactive list of denied parties, 没有做额外的检查可以被认为是疏忽.

What’s important is that you act upon the information available to you, even if there are limitations to its accuracy.

Screen in any relevant jurisdictions

美国.S. government maintains several lists, each with its own purpose [see related post: Underst和ing the Various Restricted Party Lists]. 这些包括:

  • Entity List (耳朵)
  • 否认 Persons List (耳朵)
  • Unverified List (耳朵)
  • Military End-User List (耳朵)
  • Debarred Parties List (ITAR)
  • 特别指定国民和被封锁人员名单(外国资产控制办公室SDN名单)
  • 综合筛选清单(由国际贸易管理局从上述清单中汇总而成)

In addition to these, 如果你自己的组织有可能参与交易的国外子公司或附属机构, 你应该看看这些地方所在国家的适当清单.

最后,为您要出口的物品在终端用户所在的国家中显示受限制方列表. 在其他国家与错误的政党做生意是你自己的公司最终被其他国家拒绝的一种方式.

New call-to-action

Screen beyond public lists

政府机构无法提供有效筛查所需的所有相关信息. 例如, 外国资产控制办公室的“50%规则”将对个人的制裁扩大到包括该人拥有50%或以上权益的任何公司. Example: A 俄罗斯n oligarch who owns a range of businesses. 个人将出现在外国资产控制办公室的SDN名单上,但不断变化的公司名称可能不会出现.

进一步, in some countries, governments may not publish their lists of restricted parties, 而是向少数第三方供应商或某些经过审查的出口商开放.

There are private-sector businesses that gather 和 sort this kind of data. 主要参与者包括道琼斯、汤森路透、Kharon和Sayari等公司. The category is sprawling 和 not clearly defined, but their own descriptions typically include terms like:

  • Commercial risk intelligence
  • 制裁 compliance
  • 否认 party screening or restricted party screening

If you’re dealing in sensitive materials, or doing business in places with lots of sanctioned entities, such as 俄罗斯 和 中国, these services may provide a welcome additional layer of scrutiny.

屏幕上早期 

最佳实践是在您第一次开始与可能发展为业务的新方进行交互时进行筛选. 一些公司有一项政策,在将名字输入CRM系统或销售数据库之前要进行筛选.

If you put out an RFQ, 在收到回复时进行筛选,而不是在名单筛选到一两个最终入围者之后.

如果你还没有对访问者进行筛查,但正在考虑增加这一层安全措施, 筛选应该在预约的时候进行,而不是在他们出现在前台的时候. It doesn’t take long to learn that lesson the hard way.

Screen 和 then screen again

The various restricted party lists change frequently. 公司 get sold. People change jobs. 因此,以前通过筛选的个人或实体今天可能会被标记.

There are two general approaches to rescreening.

事务: An entity gets screened each time you do a transaction with them. This is where most companies begin in their export compliance journey.

择偶: An entity gets screened before being entered into a company database, 和 any time a change is made in that entity’s file. 然后, whenever there is a change in the relevant restricted parties lists, the entire database gets screened against those changes. This increases the number of individual files that gets screened, but it reduces the overall frequency of screening processes. This tends to be the model companies move to as their compliance programs mature.

Automate the screening process

手动检查综合筛选列表将适用于只偶尔出口的小型企业. But as a routine practice, it’s an invitation for error—the most common being, “We’ve screened that name a hundred times 和 it’s never been flagged, so we don’t bother with it anymore.”

有很多企业级软件工具可以自动化筛选过程, using fuzzy logic or AI to compensate for misspellings, foreign language translations 和 other traps.

These systems need ongoing care 和 attention. If your system never seems to get any matches, it could be a result of low screening volume, or it could mean that it’s not sensitive enough. 另一方面,如果你被误报淹没,它就没有发挥作用.

Develop process for managing soft matches

如果你建立了负责任的筛选实践,一些回报将是模棱两可的. 一个有效的合规计划需要包括一个清晰的命令链:谁被授权审查软匹配, 和 what is the process to be followed in deciding?

Maintain good records

As with every aspect of an export compliance program, the most important risk-management feature is that if something does happen, you can demonstrate that you weren’t negligent, 和 that you faithfully followed a well-designed screening process.

Do better than the minimum

As a final best practice, 考虑到对涉及受限方的出口交易的严格监管禁令之外. 例如,除了SDN名单外,外国资产控制办公室还保留了另一个名册,称为 Non-SDN Chinese Military-Industrial Complex 公司 List (NS-CMIC列表). 与这份名单上的一些实体做生意可能没有规定. But it may invite unwanted scrutiny 和 reputational harm.

Contact the Export Compliance Training Institute

Do you have questions about best practices for restricted party screening? 访问 qrljka.jtsjumpnplay.net to learn about our company, our faculty, our staff 和 our esteemed Export Compliance Professional (ECoP®) certification program. To find upcoming e-seminars现场研讨会 在美国.S., Europe 和 elsewhere, 和 生活LOL外围下注 和 browse our catalog of 80-plus on-dem和 webinarsvisit our ECTI Academy. You can also call the Export Compliance Training Institute at 540-433-3977 for more information. 斯科特Gearity is President of ECTI, Inc.

New call-to-action