斯德哥尔摩国际和平研究所-Restricted-parties-and-the-transport-sector_7页_312kb

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RESTRICTED PARTIES AND THE TRANSPORT SECTOR SUMMARY

Introduction

The transport sector plays a crucial role in countering the proliferation of weapons of mass destruction (WMD) due to its global reach and involvement in international supply chains. All participants in the sector have a responsibility to ensure compliance with export control and strategic trade management regulations. These regulations include export, transit, and trans-shipment licensing, as well as end-use, dual-use, and restricted-party screening. Compliance is particularly complex for transport companies due to the multi-jurisdictional nature of transactions and potential extraterritorial implications.

What Are Restricted Parties and Restricted Party Lists?

A restricted party refers to an individual, company, or organization that is subject to trade restrictions imposed by international or regional bodies such as the UN Security Council or the EU, or by individual states. These parties are typically included on restricted-party lists due to prior involvement in illegal activities, including terrorism, organized crime, nuclear proliferation, corruption, and trafficking. The types of restrictions can vary from total prohibition to requiring permits for specific activities. These lists are often publicly available and can be known by various names, such as denied persons list, specially designated national (SDN) list, or consolidated sanctions list.

Series Summary

The SIPRI Good Practice Guides on the transport sector as a counterproliferation partner are the result of a MacArthur-funded research project. The goal of the project was to enhance the transport sector's contribution to counterproliferation efforts and encourage greater collaboration with government authorities. The guides were developed through engagement with stakeholders across Asia, Europe, the Middle East, and the United States, and include insights from regional workshops. They are intended for use in training, awareness raising, and internal compliance programs.

Where Do Restricted Party Lists Come From?

UN Security Council is the primary source of high-level restricted-party lists, which are mandatory for all UN member states to incorporate into national legislation.
These lists are published as the Consolidated United Nations Security Council Sanctions List.
Regional and national bodies also produce their own lists, which may include entities of particular concern based on local trade threats.
Lists are dynamic and frequently updated, sometimes daily, with varying numbers of entities (several hundred to several thousand).

What Is Screening and How Is It Done?

Screening involves checking transactions against restricted-party lists to ensure compliance with export control regulations. This is particularly important for high-volume transactions. Most governments provide these lists online in various formats, such as PDF, HTML, and XML, enabling both manual and automated screening. Trade compliance software often allows for screening across multiple lists simultaneously, though manual review is still necessary for accurate decision-making.

Who Should Be Screened?

All parties in the supply chain must ensure that transactions do not involve restricted parties. Transport companies should consider screening for the following:

Customers (existing and new)
Physical aspects of the transaction: exporter, collection address, importer, delivery address
Suppliers (e.g., subcontractors, airlines, handling companies)
Business partners (e.g., shareholders, associates)
Employees (subject to data protection laws)

It is the responsibility of the transport company to ensure compliance, even if the shipper has not conducted the screening.

Which Lists Should Be Screened?

Transport sector actors should at least screen against national restricted-party lists. In some cases, screening against other countries' lists may be necessary, depending on the transaction's route and destination. Key considerations include:

The legal nationality of the company (e.g., US-based or listed on US stock market)
The transit countries involved
The destination countries linked to the transaction

What Are the Next Steps in the Case of a Match?

When a match is found, the transport company must:

Contact the appropriate competent authority as soon as possible
Verify the match by comparing transaction details with those on the list
Maintain records of screening, decision-making, and actions for potential future audits

Manual review is still required even with advanced screening tools due to the potential for false positives.

Why Is It Important for a Transport Company to Screen for Restricted Parties?

While not legally mandatory, facilitating transactions with restricted parties is illegal.
Penalties can include civil fines, disciplinary action, reputational damage, and criminal charges.
Employees may also face personal liability.
Restrictions apply to both international and national transactions.
Entities within the transport company's own country may also be listed on sanctions lists, requiring equal diligence.

Key Facts

Restricted parties are those on sanctions lists from intergovernmental organizations or individual states.
Sanctions and embargoes apply to all levels of society, including businesses and individuals.
There is a misconception that restricted-party screening is only for international transactions; it also applies to domestic transactions.
Many transport companies have been penalized for facilitating transactions with restricted parties, particularly by US authorities.

Useful Websites

About SIPRI

SIPRI is an independent international institute dedicated to research on conflict, armaments, arms control, and disarmament. Founded in 1966, it provides data, analysis, and recommendations to policymakers, researchers, media, and the public.

Governing Board

Sven-Olof Petersson (Chairman, Sweden)
Dr Dewi Fortuna Anwar (Indonesia)
Dr Vladimir Baranovsky (Russia)
Ambassador Lakhdar Brahimi (Algeria)
Ambassador Wolfgang Ischinger (Germany)
Professor Mary Kaldor (United Kingdom)
Dr Radha Kumar (India)

Director

Dan Smith (United Kingdom)

About the Author

Martin Palmer, a UK-based expert with over 30 years of experience in distribution and logistics, is the founder of Supply Chain Compliance Ltd, a company specializing in international trade compliance. He is actively involved in export control, IPR, anti-corruption, and customs compliance programs and is a Fellow of the Chartered Institute of Logistics and Transport.