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Identity verification checks
Identity verification checks

An overview of the different sanctions lists that are being taken into account when verifying the identity of researchers

L
Written by Lise
Updated over a week ago

Identity verification

We use a 3rd party supplier to perform:

  • An independent set of watchlist checks

  • Liveness checks

  • Document validity checks

prior to marking the concerning researcher as having a verified identity.

Continuous checks against sanctions lists (blocking for every individual payout)

Export-related Restricted, Denied, and Blocked Persons Lists

Critical U.S. Government lists, including those from the Office of Foreign Assets Control (OFAC), Directorate of Defense Trade Controls (DDTC, Department of State), and Bureau of Industry and Security (BIS) trade-related lists.

  • Department of Commerce Denied Persons [BIS]

  • Department of Commerce Entity List [BIS]

  • Department of Commerce "Unverified" List [BIS]

  • Department of State Arms Export Control Act Debarred Parties [DDTC]

  • Department of State Cuba Restricted List

  • Department of State Nonproliferation Orders

    • Executive Order 13382

    • Iran and Syria Nonproliferation Act

    • Executive Order 12938, as amended

    • Missile Sanctions Laws

    • Chemical and Biological Weapons Sanctions Laws

    • Sanctions for the Transfer of Lethal Military Equipment

    • Iran, North Korea, and Syria Nonproliferation Act Sanctions (INKSNA)

    • Iran Sanctions Act (ISA) and the Iran Threat Reduction and Syria Human Rights Act (TRA)

    • CAATSA Section 231(d) Defense and Intelligence Sectors of the Government of the Russian Federation

  • Department of State Munitions Export Control Orders [DDTC]

  • Weapons of Mass Destruction Trade Control Designations [OFAC]

  • Department of State Designated Terrorist Organizations

  • Department of State Terrorist Exclusion List

  • US - OFAC, Non-SDN Chinese Military-Industrial Complex Companies List

  • U.S. Department of Defense Military List

  • U.S. Treasury Department Palestinian Legislative Council List [OFAC]

  • U.S. Federal Register General Orders

  • Military End User (MEU) List

  • Military-Intelligence End User (MIEU) List [BIS]

Sanction Programs-related Blocked Persons Lists

Common lists that cover sanctions programs-related group from U.S. government and international bodies.

  • U.S. Treasury Department Specially Designated Nationals and Blocked Persons, including Cuba and Merchant Vessels, Iran, Iraq and Merchant Vessels, Sudan Blocked Vessels [OFAC]

    • Department of Treasury Specially Designated Terrorist Organizations and Individuals

    • Department of Treasury Specially Designated Narcotic Traffickers and Narcotics Kingpins

    • Department of Treasury Foreign Narcotics Kingpins

    • Department of Treasury Sanctions Related to Significant Malicious Cyber-Enabled Activities

  • U.S. Treasury Department Foreign Financial Institutions Subject to Correspondent Account or Payable- Through Account Sanctions (the "CAPTA List") [OFAC]

  • U.S. Treasury Department Foreign Sanctions Evaders List (FSE-IR, FSE-SY) [OFAC]

  • U.S. Treasury Department Sectoral Sanctions Identifications List (UKRAINE-EO13662) [OFAC]

  • United Nations Consolidated List

    • U.N. sanctionsmeasures (assetsfreeze, travelban, orarmsembargo) imposed by the Security Council on individuals and entities under Security Council Resolutions 751 (1992) and 1907 (2009) concerning Somalia and Eritrea, 1267 (1999) and 1989 (2011) concerning Al-Qaida and associated individuals and entities, 1518 (2003), 1521 (2003) concerning Liberia, 1533 (2004) concerning The Democratic Republic of the Congo, 1572 (2004) concerning Côte d'Ivoire, 1591 (2005) concerning The Sudan, 1718 (2006), 1737 (2006), 1970 (2011) concerning Libya, 1988 (2011), and 2048 (2012) concerning Guinea-Bissau.

  • UN Port Ban Vessels

  • OMM Vessels Blacklisted in Annex III of UN Resolution 2270 (2016)

  • UN Designated Vessels Pursuant to Resolutions 1718 and 2270

  • Non-SDN Menu-based Sanctions (NW-MBS)

  • Malign RPC Companies on Major Indices

General Services Administration

Lists from the U.S. Government’s System for Awards Management identify restrictions that are vital when contracting with U.S. Government.

  • U.S. General Services Administration List of Parties Excluded from Federal Procurement Programs [SAM/EPLS]

  • U.S. General Services Administration List of Parties Excluded from Federal Nonprocurement Programs [SAM/EPLS]

  • U.S. General Services Administration List of Parties Excluded from Federal Reciprocal Programs [SAM/EPLS]

Law Enforcement-related Wanted Persons Lists

Various US federal-level government law enforcement agencies.

  • Air Force Office of Special Investigations - Top Ten Fugitives

    • Focuses on four priorities: to exploit counter intelligence activities for force protection, to resolve violent crime impacting the Air Force, to combat threats to Air Force information systems and technologies, and to defeat and deter acquisition fraud.

  • Bureau of Alcohol, Tobacco, Firearms and Explosives Most Wanted

    • Enforces U.S. federal laws and regulations relating to alcohol, tobacco products, firearms, explosives, and arson.

  • FBI Ten Most Wanted Fugitives

    • Investigative functions fall into the categories of applicant matters, civil rights, counter terrorism, foreign counterintelligence, organized crime/drugs, violent crimes and major offenders, and financial crime.

  • FBI Most Wanted Terrorists

    • Lists alleged terrorists that have been indicted by sitting Federal Grand Juries in various jurisdictions in the United States for the crimes reflected on their wanted posters.

  • FBI Wanted Fugitives

  • FBI Kidnappings and Missing Persons

  • FBI Seeking Information

  • Food and Drug Administration – Clinical Investigators

  • Food and Drug Administration – Disqualified and Restricted

  • Food and Drug Administration – Debarment List

    • Individuals that have had various restrictions placed against them by the Food and Drug Administration (FDA) for scientific misconduct.

  • Department of Homeland Security Investigations Most Wanted

    • Terrorism, Drug Smuggling, Money Laundering, Human Trafficking/Smuggling, Import/Export Violations, Child Pornography/Exploitation, Document and Benefit Fraud, Gang-related Crimes, Intellectual Property Rights Violations, Worksite Enforcement.

  • Naval Criminal Investigative Service - Wanted Fugitives

    • Conducts felony criminal investigations and counterintelligence for the Department of the Navy, and managing Navy security programs.

  • U.S. Immigration and Customs Enforcement and Removal Operations Most Wanted

    • U.S. Immigration and Customs Enforcement (ICE) enforces federal laws governing border control, customs, trade and immigration to promote homeland security and public safety.

  • U.S. Drug Enforcement Administration - Major International Fugitives

    • Enforces controlled substances laws and regulations of the United States and brings to the criminal and civil justice system of the United States those entities and individuals involved in the growing, manufacture, or distribution of controlled substances appearing in or destined for illicit traffic in the United States.

  • U.S. Marshals Service - Top 15 Most Wanted

  • U.S. Marshals Service - Major Fugitive Cases

    • Involved in most every federal lawenforcement initiative. U.S. Marshals major cases and top15 most wanted consists of individuals with a history of violent crimes who may be considered armed and dangerous.

  • Office of Research Integrity Administrative Actions

    • The names of individuals that have had administrative actions imposed against them by the Office of Research Integrity (ORI), maintained by the Public Health Service (PHS). The Assistant Secretary for Health (ASH) makes the final PHS decision on findings of research misconduct and the imposition of administration actions after reviewing the recommendations made by ORI.

  • U.S. Postal Inspection Service - Most Wanted

    • Important areas of jurisdictions include: assaults, bombs, controlled substances, electronic crimes, mail fraud, and money laundering.

  • U.S. Secret Service—Most Wanted

    • The United States Secret Service is mandated to carry out two missions: protection and criminal investigations. In criminal investigation, the Secret Service is responsible for the enforcement of laws relating to counterfeiting of obligations and securities of the United States, investigation of financial crimes including, but not limited to access device fraud, financial institution fraud, identity theft, computer fraud, telecommunications fraud, and computer based attacks on our nation's financial, banking, and telecommunications infrastructure.

Politically Exposed Persons and Office of Inspector General

Includes three lists: the CIA’s list of Politically Exposed Persons (foreign chiefs of state and cabinet members of foreign governments), and those related to senior political figures in the Russian Federation. These lists only identify individuals in senior positions of foreign governments and is not an indication of debarment. The third list, from the Office of Inspector General, details entities that are excluded from Federal Health and Medicare Programs, and can be very important to research, healthcare, and other organizations.

  • Chiefs of State and Cabinet Members of Foreign Governments [Central Intelligence Agency]

  • Senior Political Figures and Oligarchs in the Russian Federation [“Putin List”]

  • Office of Inspector General List of Individuals/Entities Excluded from Federal Health and Medicare Programs

International Terrorist, Blocked Person, Wanted, and Entity Lists

Contains denied, restricted, and sanctions lists from Europe, Asia, North America, and international bodies, that can greatly improve your trade compliance process.

  • European Union Consolidated List

    • The European Union Consolidated List, plus European Union persons and entities subject to restrictive measures under European Union Council Regulations.

  • Europol Most Wanted Fugitives

  • Japan Foreign End-Users of Concern

  • Kingdom of Saudi Arabia Wanted Militants

  • Canada Public Safety and Emergency Preparedness (CPSEP) Listed Entities

  • Australia Foreign Affairs Consolidated List

  • HM Treasury Consolidated List [England]

    • HM Treasury Consolidated List, plus HM Treasury persons and entities subject to restrictive measures under European Union Council Regulations.

  • Canadian Border Services Agency Wanted List

    • Violations of human or international rights under the Crimes Against Humanity and War Crimes Act or under international law.

  • Canadian Economic Sanctions

    • The sanctions encompass a variety of measures, including limitations on official and diplomatic contacts or travel, the imposition of legal measures to restrict or prohibit trade or other economic activity between Canada and the target state, or the seizure or freezing of property situated in Canada.

  • RCMP Wanted Fugitives

    • Enforces laws made by, or under, the authority of the Parliament of Canada.

  • FinCEN (USA PATRIOT Act) Section 311 - Special Measures

  • World Bank Listing of Ineligible Firms

    • Lists names of firms and individuals that are ineligible to be awarded a WorldBank-financed contract for the periods indicated because they were found to have violated the fraud and corruption provisions of the Procurement Guidelines or the Consultants Guidelines.

  • OSFI Consolidated List - Entities

  • OSFI Consolidated List - Individuals

    • Office of the Superintendent of Financial Institutions (OSFI) issues names subject to the regulations establishing a list of entities made under the Canada Criminal Code or the United Nations suppression of terrorism regulations. OSFI is the sole regulator of banks, and the primary regulator of insurance companies, trust companies, loan companies and pension plans in Canada.

  • OSFI Warning List

    • Issues entity names that may be of concern to the business community and the public.

Sanctions and Embargoes

A comprehensive list of sanctions and embargoes, including but not limited to:

  • OFFICE OF FOREIGN ASSETS CONTROL (OFAC) SANCTIONS

  • EAR PART 746, EMBARGOES — Comprehensive controls

  • EAR PART 746, EMBARGOES — Sanctions on selected categories of items to specific destinations. EAR PART 736, GENERAL PROHIBITION THREE - Foreign-produced direct product re-exports

  • EAR PART 736, GENERAL PROHIBITION EIGHT - In transit shipments and items to be unladen from vessels or aircraft

  • EAR PART 736, GENERAL ORDER NO. 2

  • EAR SUPPLEMENT NO. 1 TO PART 740, TERRORIST SUPPORTING COUNTRIES (Country Group E:1)

  • EAR PART 744.21, RESTRICTIONS ON CERTAIN 'MILITARY END USES' IN THE PEOPLE'S REPUBLIC OF CHINA OR FOR A 'MILITARY END USE' OR 'MILITARY END USER' IN RUSSIA OR VENEZUELA

  • SUPPLEMENT NO. 3 TO PART 744, COUNTRIES NOT SUBJECT TO CERTAIN NUCLEAR END-USE RESTRICTIONS IN §744.2(a)

  • UNITED NATIONS SANCTIONS AND EMBARGOES

  • DEPARTMENT OF STATE ARMS EMBARGOES (ITAR 126.1 PROHIBITED EXPORT DESTINATIONS)

  • DEPARTMENT OF STATE EXPORT RESTRICTIONS ON TECHNOLOGIES AND SERVICES REGULATED UNDER THE USML

  • DEPARTMENT OF STATE NONPROLIFERATION SANCTIONS

  • U.S. DEPARTMENT OF STATE, STATE SPONSORS OF TERRORISM

  • U.S. DEPARTMENT OF STATE, COUNTRIES NOT COOPERATING FULLY WITH UNITED STATES ANTITERRORISM EFFORTS

  • COUNTRIES WHICH REQUIRE OR MAY REQUIRE PARTICIPATION IN, OR COOPERATION WITH, AN INTERNATIONAL BOYCOTT (WITHIN THE MEANING OF SECTION 999(B)(3) OF THE INTERNAL REVENUE CODE OF 1986)

  • CANADA ECONOMIC SANCTIONS

  • EUROPEAN UNION ARMS EMBARGOES

Additional lists that we are actively screening against

  • BaFin (Germany) Forbidden Foreign Extremist Organizations (without Islamism)

  • BaFin (Germany) Forbidden Islamist Organizations

  • BaFin (Germany) Forbidden Right-Wing Extremist Organizations

  • BaFin (Germany) List of Companies Subject to Enforcement

  • BaFin (Germany) Measures and Sanctions by Securities Supervision Directorate

  • Dutch National Terrorism List

  • Exclusion or Financial Penalty by European Commission

  • German Wanted Persons

  • List of people indicted in the International Criminal Tribunal for Rwanda

  • Liste Nationale – France

  • Monetary Authority of Singapore

  • National Financial Sanctions by Federal Public Service Finance of Belgium

  • Netherlands National Police Most Wanted

  • Serious Fraud Office (UK) Press Releases

  • Singapore Terrorist Entities

  • Swiss FDFA Measures Against Certain Persons from Arab Republic of Egypt

  • Swiss FDFA Measures Against Certain Persons from Tunisia

  • Swiss FDFA Measures Against Certain Persons from Ukraine

  • U.K. Financial Conduct Authority

  • U.K. Investment Ban

  • U.K. Proscribed Terrorist Groups

  • UK Crimestoppers Most Wanted

  • UK Sanctions List

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