It seems intuitive that extra care in screening for restricted parties should be given to transactions that involve the most sensitive items, such as defense articles subject to the ITAR or those military items that comprise the 600 series on the Commerce Control List.
But the bigger risk may lie with organizations that export a wider variety of items subject to the 耳朵—particularly those classified as 耳朵99和其他通常可以出口或再出口NLR的eccn.
That’s because just about everything subject to the ITAR requires a license application. 600系列的产品也是如此. But the 耳朵 allows so many goods to be exported NLR that this status is often misunderstood to mean export controls don’t apply. 事实并非如此, 如果你没有做彻底的限制党派筛选工作, it’s easy to miss instances when the specifics of a seemingly innocuous transaction trigger a license requirement.
此外，美国.S. 政府对制裁的使用已经发生了变化. 曾几何时， 各种受限制方名单 主要由被监禁的走私者组成, 恐怖组织和一些敌对的政府机构. 现在，这些清单已经成为实施美国政策的必备工具.S. 外交政策. 因此，它们已经发展到包括许多合法和成熟的企业. 考虑到全球政治的不稳定性, new names are routinely being added to restricted party lists for any number of reasons.
So here are some considerations 和 best practices for restricted party screening.
筛选谁
When screening for restricted parties, include all known parties to the transaction, including:
- 客户;
- 销售代表;
- 经销商、分销商和任何其他渠道合作伙伴;
- 服务提供者及中介人, such as banks 和 freight forwarders (whether your own or those specified by the customer)
Also screen parties to other aspects of your business—especially those with whom you share data (which is also subject to export controls) or conduct financial transactions.
一些公司会筛选供应商, employees 和 contractors against these lists before hiring or as part of the onboarding process. 这是个好主意，可以避免以后的麻烦和尴尬, 和 it makes sense to do it at the same time other pre-employment screenings are being conducted.
也适用于从事敏感工作或与敏感客户打交道的公司, 对访客进行筛选也是谨慎的做法.
屏幕之外的名称
一些受限制方名单提供地址或其他信息. It’s not always meaningful or accurate, but when the information is available, use it. It can uncover situations such as someone using a DBA that’s not on any list but which shares the address of a denied or restricted party.
你也可以根据地理位置进行筛选, IP地址或电子邮件域, 哪一种方法对接受在线订单的企业特别有帮助. 如果你有订单要运到多伦多, 但IP地址来自古巴的一台电脑, 这是你在购买之前想要知道的信息. While IP 和 email addresses are easy to mask, there have been instances in which the U.S. 美国财政部外国资产控制办公室(外国资产控制办公室), 哪一个维护着政府被拒绝的最具放射性的政党名单, has suggested that failure to do this extra level of screening could be deemed negligent.
重要的是你要根据你能得到的信息采取行动, 即使它的准确性有限制.
在任何相关司法管辖区进行筛选
美国.S. 政府有几个清单，每个清单都有自己的目的[见相关文章: 了解各种限制派对名单]. 这些包括:
- 实体清单(耳朵)
- 被拒绝人员名单(耳朵)
- 未经核实名单(耳朵)
- 军事最终用户清单(耳朵)
- 被禁止当事人名单(ITAR)
- Specially Designated Nationals 和 Blocked Persons List (SDN list of the Office of Foreign Assets Control)
- Consolidated Screening List (aggregated from lists above by the International Trade Administration)
除了这些, if your own organization has foreign subsidiaries or affiliates that may be involved in a transaction, you should look at any appropriate lists in the countries where these are located.
Finally, screen restricted party lists in the country of the end-user for the items you’re exporting. Doing business with the wrong parties in other countries is one way your own company can end up on some other nation’s denied party list.
公开名单之外的筛选
Government agencies can’t keep up with all the relevant information you may need for effective screening. 例如, 外国资产控制办公室’s “50 Percent Rule” extends sanctions against an individual to include any companies in which that person owns a 50 percent-or-greater interest. 例子:一个拥有一系列企业的俄罗斯寡头. The individual will show up on 外国资产控制办公室’S SDN list, but the ever-changing company names may not.
进一步, 在一些国家, 政府不得公布受限制政党的名单, instead making them available to a small number of third-party vendors or to certain vetted exporters.
有私营企业收集和整理这类数据. Major players include companies like Dow Jones, Thomson Reuters, Kharon 和 Sayari. 这个类别很庞大，而且没有明确的定义, 但他们自己的描述通常包括这样的术语:
- 商业风险情报
- 制裁合规
- 拒绝政党筛选或限制政党筛选
如果你处理的是敏感材料, 或者在有很多制裁实体的地方做生意, 比如俄罗斯和中国, 这些服务可能会提供一个受欢迎的额外审查层.
屏幕上早期
The best practice is to screen when you first begin to interact with new parties that might develop into business. Some companies have a policy to screen before a name can be entered into the CRM system or sales database.
如果你发出询价, screen as responses come in—not after the list has been winnowed to one or two finalists.
And if you don’t already screen visitors but are considering adding that layer of security, the screening should occur when an appointment is made—not when they show up at the front desk. 用不了多久，你就能从惨痛的教训中吸取教训.
筛选，然后再筛选
各种受限制政党的名单经常变化. 公司被出售. 人们换工作. So it’s possible that a person or entity that previously passed a screening would get flagged today.
一般有两种重新筛查的方法.
事务: 每次与实体进行交易时，都会对其进行筛选. 这是大多数公司出口合规之旅的起点.
择偶: 实体在进入公司数据库之前要经过筛选, 当实体的文件发生变化时. 然后, 当有关受限制方名单有变动时, 针对这些更改对整个数据库进行筛选. 这增加了被筛选的单个文件的数量, 但它减少了筛查过程的总体频率. 随着合规计划的成熟，这往往是公司转向的模式.
自动化筛选过程
Manually checking the Consolidated Screening List will work for small businesses that only export occasionally. 但是作为常规练习, 这是对错误的邀请——最常见的错误, “皇冠365官方app已经筛选了这个名字一百次了，从来没有被标记过, 所以皇冠365官方app不用再为它操心了.”
There are lots of enterprise-level software tools to automate the screening process, 使用模糊逻辑或人工智能来弥补拼写错误, 外语翻译等陷阱.
这些系统需要持续的照顾和关注. 如果你的系统似乎从来没有找到任何匹配, 这可能是筛查量过低的结果, 也可能意味着它不够敏感. On the other h和, if you’re overwhelmed with false positives, it’s not doing its job.
制定管理软匹配的流程
If you’ve built responsible screening practices, some of the returns will be ambiguous. An effective compliance program needs to include a clear chain of comm和: Who is authorized to review soft matches, 决定的过程是什么?
保持良好的记录
就像出口合规计划的各个方面一样, 最重要的风险管理特征是，如果事情真的发生了, 你可以证明你没有疏忽, 你忠实地遵循了精心设计的筛选程序.
做得比最小值更好
作为最后的最佳实践, think beyond the strict regulatory prohibition against export transactions involving restricted parties. 例如, in addition to its SDN list, 外国资产控制办公室 maintains another roster, called the 非sdn中国军工联合体公司名单 (NS-CMIC列表). There may be no rule against doing business with some of the entities on this list. 但它可能招致不必要的审查和声誉损害.
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