When To Request Restricted Party Screening

When Should You Request a Restricted Party Screening?

Restricted Party Screening (RPS) is one component of the University's Know Your Collaborator approach. Researchers should consider requesting a screening whenever a new external individual or organization becomes involved in research, academic, or business activities. Research today relies on collaboration across institutions, sectors, and countries. Understanding who you are working with is an important aspect of responsible research practice. Restricted Party Screening helps support informed decision-making, identify potential compliance considerations, and promote a culture of responsible collaboration across the research lifecycle.

New Collaborations

When exploring a new research partnership, it is important to understand who you are working with, their institutional affiliations, and the purpose of the proposed collaboration. Early due diligence can help inform decisions before a formal relationship is established.

Proposal Development

Proposal development often involves external institutions, consultants, subrecipients, and other project partners. Considering due diligence at this stage can help identify potential compliance and research security considerations before project activities begin.

Visitors & Scholars

Visiting scholars, researchers, and other external participants may require access to laboratories, facilities, equipment, data, or research activities. Reviewing these individuals before access is granted can help support informed collaboration and resource access decisions. 

External Engagements

Information-sharing discussions, non-disclosure agreements (NDAs), memoranda of understanding (MOUs), and other external engagements may warrant additional due diligence before moving forward. Screening can help researchers better understand the external parties involved in these activities.

Vendors & Service Providers

External companies and service providers frequently support research, academic, and operational activities. Evaluating these organizations when appropriate can help ensure that due diligence considerations are addressed before engagement.

Rule of Thumb: If a new external person or organization is entering your research ecosystem, consider whether collaborator due diligence and Restricted Party Screening may be appropriate.

Who Can Be Screened?

Restricted Party Screening helps researchers conduct due diligence on external individuals and organizations before engaging in research, academic, or business activities.

Restricted Party Screening may be conducted on a variety of individuals and organizations involved in research, academic, and business activities, including:

• Individual collaborators
• Visiting scholars and researchers
• Students being assigned to research activities
• Consultants and contractors
• Research partners
• Subrecipients and subcontractors
• Academic institutions
• Companies and vendors
• Service providers
• Recipients of technical information
• Other external organizations engaged in university activities

Screening is conducted as part of the University's due diligence process to identify potential compliance risks and support informed engagement decisions.

What Information Will You Need?

To support a screening request, please be prepared to provide:

• Name of the individual or organization
• Institutional affiliation
• Country information, when applicable
• Purpose of the collaboration or engagement
• Project or activity description
• Relevant dates of participation or involvement
• Any associated agreements, such as NDAs, CDAs, etc.
• Additional contextual information that may assist the review

Providing complete information helps facilitate timely review and reduces the need for follow-up requests. 

Request for Restricted Party Screening

The RSIE team is available to assist investigators with collaborator due diligence and Restricted Party Screening throughout the research lifecycle.

Complete the Restricted Party Screening Intake Form to begin the review process.

If you are unsure whether a screening is needed, RSIE can help determine the appropriate next steps.