Restricted Party Screenings
Overview: Northwestern’s global partnerships and collaborations are critically important to our research and teaching. We are committed to an open academic and research environment while following federal export controls and international compliance regulations.
It is essential to screen research collaborators to ensure they are not a denied or barred party to follow export control laws and other federal regulations. The U.S. federal government maintains lists of restricted parties (i.e., denied or barred parties). Northwestern subscribes to a third-party tool (Visual Compliance) to conduct restricted party screenings like many other universities.
Why do we conduct screenings? Individuals participating in international research and other university business must engage with domestic and international partners. Various U.S. government agencies maintain lists of individuals, companies, and organizations (foreign and domestic) whose U.S. export privileges have been blocked, restricted, or revoked, as well as entities or persons under embargoes or sanctions. These are known as “restricted parties.” Under the regulations, Northwestern may not engage in transactions with a restricted party on a U.S. entity list or U.S. sanctioned list without prior government approval. Restricted Party Screenings (RPS) are a part of Northwestern’s due diligence process.
Who should be screened? Restricted party screenings should be conducted for, but not limited to the following:
- Research Visitors
- Vendors
- Sponsored Research Collaborators
- Gifts
- Corporate/Industry Partners
- Hazardous Shipments
- All Other Shipments Abroad
- International Research Collaborations
- Teaching Courses Abroad
- Presenting at International Conferences
- Hosting Other International Visitors
How do I get someone screened? Screening is an easy and quick process. You can contact the Export Controls and International Compliance team directly to conduct your screening. Alternatively, you can have your own account if you anticipate ongoing screening needs. Reach out to our team; we can set up individual logins for users and provide training.
Visual Compliance Standard Operating Procedures
The Export Controls & International Compliance team is here to help, so if you have any questions, please reach out!