Denied Parties

Questions and answers about Denied Parties

  • Denied Party List

    Question: How are you recording / documenting that you are checking the Denied party list, before export for each shipment in a paperless situation?  Answer 1: There are a couple of ways to do this.  You may have a solution that does automated ongoing screening of entities/individuals.  If you have all parties to the transaction […]

  • RPL SCREENING SOP

    QUESTION: Does anyone have a general screening SOP for Denied Parties/Persons for US Export Transactions they can share =========== Answer: The thing with your question is that yes, there is usually a high level “policy” in your export compliance manual or wherever, saying we will screen, including who and when.  But this is usually high level.  […]

  • Denied party screening and employees

    QUESTION: Looking for measures or recommendations from the ICPA community regarding DPS and employees (existing or soon to be) In some cases, companies perform denied party screening prior to onboarding any new employees and as part of background check. Employment and state laws sometimes require an individual to grant consent before screening takes place and […]

  • SPL Question

    QUESTION: How many sanction party lists do members think our compliance software should scan to stay compliant? Example: 5 lists, 20 or 50. What makes the largest difference whether it’s 5 or 50? Thank you. %%%%%%%%%% ANSWERS: There’s not enough information below to answer that question.  You should be asking yourself:  What is our export […]

  • Denied Party Screening

    QUESTION: Regarding Denied Party Screening:  is DPS required for both International AND Domestic purchases for E-Commerce and non-E-Commerce items?   ———————- ANSWERS: Not required. No regulation on DPS screening.  But it’s highly recommended. —————————- Denied party screening is not a requirement.  Not doing business with a denied party is the requirement. Who you screen, what you […]

  • RUNNING DENIED PARTY SCREENING

    QUESTION: We are a US based company with facilities in Canada and GB. As the parent company located in the USA, we run DPS on all visitors to our US locations.  Should we be running DPS on visitors to non-US facilities?   Specific references to regulations or rulings to backup answers would be appreciated. ========== […]

  • Answer to QUESTION ON RESTRICTED PARTY SUMMARY DOCUMENT

    QUESTION: I am working to create an at-a-glance document to help explain internally to our global stakeholders who all the U.S. government entities are that issue the denied/restricted/sanction lists, what their reach is, and what the implication of the lists are.  Probably more than the one page high level document that I envision, but I […]

  • ANSWERS TO Question on Denied Party Screening

    UESTION: Regarding Denied Party Screening:  is DPS required for both International AND Domestic purchases for E-Commerce and non-E-Commerce items?   %%%%%%%%%% ANSWERS: Not required. No regulation on DPS screening.  But it’s highly recommended. %%%%%%%%%% Denied party screening is not a requirement.  Not doing business with a denied party is the requirement. Who you screen, what you […]

  • Answers to QUESTION ON RUNNING DENIED PARTY SCREENING

    QUESTION: We are a US based company with facilities in Canada and GB. As the parent company located in the USA, we run DPS on all visitors to our US locations.  Should we be running DPS on visitors to non-US facilities?   Specific references to regulations or rulings to backup answers would be appreciated. ========== […]

  • Answer to QUESTION ON CUSTOMER VETTING

    QUESTION: How do other companies maintain that their 3rd party companies screen and vet their customers, suppliers and vendors properly?  In other words how far do you go with a 3rd party agent?  Do you feel it’s necessary to screen and vet an international bank that will receive wire transfers as well ?  ========== Answer: YES!!!

  • Denied parties screening domestic vendors and customers

    QUESTION: What is the risk for not screening domestic customers and vendors?  I know OFAC has a lot of entities in the US, but what is our risk if all the payments we send or receive go through our bank.  Don’t banks have their own screening in place that would stop transactions sent or received […]

  • Denied Party Address Screening

    QUESTION: We are evaluating our search criteria for denied party screenings and are curious if other members screen addresses along with names (company and contact names)? We deliver almost all of our exports electronically, so we don’t know if our exports are delivered to the address we screen. Most of the false hits we review […]