Restricted Parties and Sanctions

KU is committed to compliance.

The University of Kansas fully supports compliance with United States export control and sanctions laws. Export controls are U.S. laws and regulations that regulate and restrict the release of critical technologies, information, and services to foreign nationals, within and outside of the United States, and foreign countries for reasons of foreign policy and national security.

Sanctions are prohibitions on transactions that can be either comprehensive or selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national security goals. 

Procedures have been enacted to establish, document, and implement actions needed to ensure that the university, and its employees and students, remain in full compliance with International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), Foreign Assets Control Regulations (FACR) and/or other applicable export control or sanction related regulations. GRS conducts reviews in areas such as:

  • international agreements including research agreements
  • international travel (students, faculty and staff)
  • international students (visa applications, federal requirements, etc.)
  • visitors (affiliates, visiting researchers or scholars, etc.)
  • international purchasing and shipping (customs regulations, international taxes, etc.)
  • research grants/contracts with security and export related requirements
  • numerous other areas of international collaboration or controlled technology access. 

If an export control review determines that an activity is subject to these regulations, GRS will assist the university department in obtaining any necessary licenses or government approvals and referral to university security personnel establish appropriate counter measures and protocols for ensuring compliance.


A Foreign National is any person who is NOT:

  • A U.S. citizen 
  • Permanent resident alien (Green Card Holders)
  • Asylee 
  • Refugee
  • Temporary resident under amnesty provisions

The following are considered foreign nationals or foreign persons:

  • Foreign corporation, business association, partnership entity or group not incorporated in the U.S.
  • Person in the U.S. in non-immigrant status (such as international students or F1 visas, visiting scholars or any person in the U.S. on a visa to include employees on J1 or H1B visas.)

A deemed export is the release of technology or information to a foreign national in the U.S., including students, post-docs, faculty, visiting scientists or training fellows.

Deemed exports are the most common exports for the university.

It depends on the equipment. Operation of a defense article by foreign nationals is prohibited, unless a license is obtained prior to operating.

Operation of EAR/CCL items equipment by a foreign national in the U.S. is not controlled by the export regulations. In the U.S., any person (including foreign nationals) may purchase export-controlled commodities and the "deemed" export rule only applies to technical information about the controlled commodity. As such, while the operation of equipment inside the U.S. is not controlled, the transfer of technical information relating to the use (i.e., operation, installation, maintenance, repair, overhaul and refurbishing) of equipment may be controlled in certain circumstances.

For example, if the manufacturer of the equipment provided the University some confidential, proprietary information about the design or manufacture of the equipment, then the University might need a "deemed" export license to provide such proprietary information to a foreign national, especially if shipment of the item to the home country of the foreign national would require an export license. In sum, the export regulations allow foreign students, researchers and visitors to operate (and receive information about how to operate) controlled equipment while conducting fundamental research on U.S. university campuses or while studying at the institution, as long as the technical information about the controlled equipment qualifies as "in the public domain" or "publicly available.”

Restricted Party Screening (RPS) is an essential component of the University of Kansas (KU) Export Compliance Program. The RPS checks persons or entities against various U.S. government lists of individuals, companies, and organizations, both foreign and domestic, where export regulations or sanctions block or restrict any export or prohibited transaction. Individuals on this list are “restricted parties”.

Regulators and enforcement authorities have made it clear that all organizations are obligated to conduct RPS on employees, contractors, vendors, business associates, and customers prior to any export or prohibited transaction.

KU has obligation to observe any red flags or indicators and potentially restrict or prohibit interacting with entities entirely.

A “red flag” is an anomaly or other indicator of a potential issue concerning U.S. laws or regulatory requirements. You may wish to visit Bureau of Industry and Security (BIS) page, "Know Your Customer Guidance."

They include the following:

  • The customer or its address is similar to one of the parties found on the Commerce Department's [BIS'] list of denied persons.
  • The customer or purchasing agent is reluctant to offer information about the end-use of the item.
  • The product's capabilities do not fit the buyer's line of business, such as an order for sophisticated computers for a small bakery.
  • The item ordered is incompatible with the technical level of the country to which it is being shipped, such as semiconductor manufacturing equipment being shipped to a country that has no electronics industry.
  • The customer is willing to pay cash for a very expensive item when the terms of sale would normally call for financing.
  • The customer has little or no business background.
  • The customer is unfamiliar with the product's performance characteristics but still wants the product.
  • Routine installation, training, or maintenance services are declined by the customer.
  • Delivery dates are vague, or deliveries are planned for out of the way destinations.
  • A freight forwarding firm is listed as the product's final destination.
  • The shipping route is abnormal for the product and destination.
  • Packaging is inconsistent with the stated method of shipment or destination.
  • When questioned, the buyer is evasive and especially unclear about whether the purchased product is for domestic use, for export, or for reexport.

Simply, a restricted party is an individual or entity (academic institutions, government, business, etc.) that the U.S. government prohibits or restricts transactions with. A prohibited transaction is broadly defined as “trade or financial transactions and other dealings in which U.S. persons may not engage.”  Because each program is based on different foreign policy and national security goals, prohibitions may vary between programs. A prohibited transaction may include the exchange of goods or services. It is KU policy to ensure compliance with the regulations and laws, therefore KU will not engage in exports or transactions with such entities or their representatives, employees, or agents.

We are here to help you make this determination. GRS is happy to perform a restricted party screening on your behalf. The lists are constantly evolving with additions and removals. Below are the most notable, but not a fully exhaustive list.

U.S. Treasury Department/OFAC: Specially Designated Nationals And Blocked Persons List (SDN)

BIS List: 15 CFR chapter VII Part 744

International Trade Administration: Consolidated Screening List (CSL)