An individual, organization or entity appearing on any one of the U.S. government restricted party lists (e.g., the Department of Treasury Specially Designated Nationals List (SDN) or the Department of Commerce Entity List) as a “restricted party” prohibited from receiving U.S. technology or financial transactions and/or with whom U.S. persons are restricted from engaging in export or financial transactions.
The Laboratory must not enter into subcontracts, exchange information, provide services, or otherwise participate, directly or indirectly, in any activities with any entity or person found on these lists without LBNL Export Control approval. This includes allowing individuals from such entities access to the Lab. All shipping recipients in foreign destinations must also be screened.
Who needs to be screened?
All non-US Government entities/persons/institutions should be screened if:
- They will receive non-public technical data
- They will receive technical services (including consulting, advising, or defense services )
- They are foreign entities who seek to enter into foreign engagements (MOU, SPP, CRADA, or ACT agreements) with LBNL
- They will receive federal funding (e.g. contracts, subcontractors, vendors, collaborators, etc.)
- They will have access to LBNL facilities or resources (including networks)
Visual Compliance Restricted Party Screening (RPS)
The Laboratory utilizes a commercial software called Visual Compliance to search for the names of foreign institutions and individuals who may be on the Entity List. Every Lab division has an Export Control Liaison who can assist you with restricted party screening. Registration is free to all LBNL staff with an lbl.gov email address. If this search results in a match of either the institution or individual, the contemplated visit/transaction/collaboration/contract must be reviewed and approved by LBNL Export Control prior to moving forward. Send all positive hits to email@example.com with the following information:
- Copies of visa or passport
- Complete description of the activities at LBNL including host name and host division.
- List of all locations for which access will be required
- List all equipment and data they will access/use. Indicate if any proprietary information or technology is involved.