Restricted Party Overview

Campus Requirement: Restricted Party Screening

SBU Export Control Policy requires the Campus Community to conduct Restricted Party Screenings.

All non-U.S. persons and all entities (foreign and domestic) must be screened for inclusion on any of the U.S. government's restricted party list prior to engaging in activities.

Campus Responsibility for Conducting Restricted Party Screening

How to conduct a Restricted Party Screening

Who Can be a Restricted Party?

Anyone! Restricted parties are not limited to foreign persons and can include U.S. persons. Restricted parties are subject to change and are updated routinely. Restricted party designation is not based upon nationality but instead is based upon previous behavior or action.

What is a Restricted Party?

A restricted party (or denied party as they are sometimes referred to) is an entity or individual that is placed on a denial list by the U.S. government or any other country’s government. An export license from one, or more, of the federal agencies may be required if you plan on conducting any business or research with a restricted party, even if you are conducting Fundamental Research.

There are over fifty lists issued by U.S. governmental agencies that restrict transactions with specific individuals, groups and entities which include the following:

Denied Persons List is a list of individuals and entities that have been denied export privileges. Any dealings with a party on this list would violate the terms of its denial order and is prohibited;

Entity List is a list of parties whose presence in a transaction can trigger a license requirement under the EAR. The license requirements are in addition to any license requirements imposed on the transaction by other provisions of the EAR;

Unverified” List is a list of parties where the Bureau of Industry and Security has been unable to verify the end-user in prior transactions.
Debarred List is a list of parties who are barred by 22 CRF §127.7 (ITAR) from participating directly or indirectly in the export of defense articles, including technical data or in the furnishing of defense services for which a license or approval is required by ITAR;

Nonproliferation Sanctions is a list of parties that have been sanctioned under various statutes.
See Updated List July 19, 2024

June 2023, the U.S. Department of Defense issued "Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education".

Pages 18-21 of this document serve as the FY22 Lists Published in Response to Section 1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (public Law 115-232) - commonly referred to as the "1286 List".

The 1286 List :
- Identifies those foreign institutions that have been confirmed as engaging in problematic activity as described in the referenced law;
- Identifies foreign talent programs that have been confirmed as posing a threat to the U.S. as described in the referenced law.
This list is subject to updates

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