Copyright held by The John Cooke Fraud Report. Reprint rights are granted with attribution to The John Cooke Fraud Report with a link to this website.
By Mike Sankey
This article examines public record databases of individuals and companies that have federal sanctions, violations, agency enforcement actions, or warnings initiated against them by one of these federal government departments.
• Commerce Department
• FDA – Food & Drug Administration
• GSA – Government Services
• Human Health Care Services Department
• Justice Department
• Labor Department
• OSHA – Occupational Safety & Health Administration
• State Department
• Treasury Department
(Note: Federal Reserve enforcement actions and stocks and securities actions are not included due to space limitations.)
Commerce Department — The Bureau of Industry and Security (BIS), part of the U.S. Department of Commerce, provides the three lists described below that are relevant to import/export transactions. www.bis.doc.gov
1. Denied Persons List – The purpose of the Denied Persons List is to prevent the illegal export of dual-use items before they occur and to investigate and assist in the prosecution of violators of the Export Administration Regulations. www.bis.doc.gov/dpl/default.shtm
2. Unverified List – This is a list of parties whom BIS has been unable to verify in some manner in prior transactions. The Unverified List includes names and countries of foreign persons who in the past were parties to a transaction with respect to which BIS could not conduct a prelicense check (“PLC”) or a post-shipment verification (“PSV”) for reasons outside of the U.S. Government’s control.
3. Entity List – The Entity List, Available in PDF or ASCII text format, this is a list of parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations. The original purpose of this list was to inform the public of entities whose activities imposed a risk of diverting exported and re-exported items into programs related to weapons of mass destruction. Now the list includes those with any license requirements imposed on the transaction by other provisions of the Export Administration Regulations. The list specifies the license requirements that apply to each listed party.
Food & Drug Administration — The FDA regulates scientific studies that are designed to develop evidence to support the safety and effectiveness of investigational drugs (human and animal), biological products, and medical devices. Physicians and other qualified experts (“clinical investigators”) who conduct these studies are required to comply with applicable statutes and regulations intended to ensure the integrity of clinical data on which product approvals are based and, for investigations involving human subjects, to help protect the rights, safety, and welfare of these subjects.
The FDA Enforcement Report Index includes Recalls, Market Withdrawals, and Safety Alerts.
The FDA Enforcement Report, published weekly, contains information on actions taken in connection with agency regulatory activities. Activities include Recalls and Field Correction, Injunctions, Seizures, Indictments, Prosecutions, and Dispositions. A record of enforcement reports going back eight years can be found at the agency’s web page.
Visit Recalls, Market Withdrawals, & Safety Alerts for the most significant product actions of the last 60 days, based on the extent of distribution and the degree of health risk. These recalls on the list are mainly Class I, the most serious category.
The FDA Debarment List maintains a list of individuals and entities that are prohibited from introducing any type of food, drug, cosmetics or associated devices into interstate commerce.
The FDA Disqualified or Restricted Clinical Investigator List — A disqualified or totally restricted clinical investigator is not eligible to receive investigational drugs, biologics, or devices. Some clinical investigators have agreed to certain restrictions with respect to their conduct of clinical investigations.
GSA – Government Services Administration maintains the Excluded Party List System (EPLS). It contains information on individuals and firms excluded by various Federal government agencies from receiving federal contracts or federally approved subcontracts and from certain types of federal financial and non-financial assistance and benefits. Note that individual agencies are responsible for their data.
EPLS is now provided by the System for Award Management (SAM), which is combining federal procurement systems and the Catalog of Federal Domestic Assistance into one new system.
The Department of Human Health Services includes the Excluded Individuals/Entities (LEIE)
The LEIE, maintained by the Office of Inspector General (OIG) for the Department of Human Health Services, is a list of currently excluded parties due to program-related fraud and patient abuse convictions, board licensing actions, and default on Health Education Assistance Loans: searchable database – downloadable database
Justice Department — There are a number of Divisions within the Justice Department that maintain news articles, stories, records lists, and most wanted lists that can be very useful for research and investigation purposes.
1. Bureau of Alcohol, Tobacco, Firearms and Explosives — Below ATF are two online resources:
2. Federal Bureau of Investigation — The FBI’s Most Wanted Site contains numerous lists to search; including kidnappings, missing persons, unknown bank robbers, and others.
3. Drug Enforcement Administration (DEA) – – This is a fugitive search and includes a map showing the states within each division. Also, major international fugitives and captured fugitives are listed here.
Labor and Labor Unions
The Office of Labor-Management Standards (OLMS) in the U.S. Department of is the Federal agency responsible for administrating union labor issues and enforcing most provisions of the Labor-Management Reporting and Disclosure Act of 1959, as amended (LMRDALMRDA). Note that does not have jurisdiction over unions representing solely state, county, or municipal employees. OLMS responsibilities include:
Public Disclosure of Reports, Compliance Audits, Investigations, and Education and Compliance Assistance. The OLMS Internet Public Disclosure Room web page enables users to view and print reports filed by union reports, union officers and employees, employers, and labor relations consultants.
Occupational Safety & Health Administration — The purpose of the Occupational Safety & Health Administration (OSHA) is to insure employee safety and health in the U.S. by setting and enforcing standards in the workplace. OSHA partners with the states for inspections and enforcements, along with education programs, technical assistance and consultation programs. There are a number of searchable databases at OSHA. For example you can search by establishment name for information on over three million inspections conducted since 1972. You can also search by the North American Industry Classification Code (NAIC) or the Standard Industrial Classification Code (SIC). Another useful search is of the OSHA Accident Investigation Database. This database contains abstracts dating back to 1984 and injury data dating back to 1972. Another available search is the OSHA Docket. This is a rule-making master file that includes the materials that are collected and re viewed in reaching decisions concerning the change or creation of an OSHA regulation.
State Department — The ITAR Debarred List is a list compiled by the State Department of parties who are barred by the International Traffic in Arms Regulations (ITAR) (22 CFR §127.7) from participating directly or indirectly in the export of defense articles, including technical data, or in the furnishing of defense services for which a license or approval is required. The list is found at “ The State Department also maintains the Nonproliferation Sanctions Lists, a list of parties that have been sanctioned under various statutes and legal authority.
Treasury Department — The U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC), publishes the
1. Specifically Designated Nationals (SDN) List, a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction.
2. Central Contractor Registration (CCR). This database registers all companies and individuals that sell services and products to, or apply for assistance from, the federal government. The 450,000+ registrants at CRR are searchable online using a DUNS number, company name, or other criteria. CCR is now provided by the System for Award Management (SAM), which is combining federal procurement systems and the Catalog of Federal Domestic Assistance into one new system.
3. Online Representations and Certifications Application (ORCA) is a system allowing contractors to enter company data regarding certification needed on federal contracts. This is a publicly accessible database, but it does require the subject’s DUNS number. ORCA is also now provided by the System for Award Management (SAM), which is combining federal procurement systems and the Catalog of Federal Domestic Assistance into one new system.
Small Business Administration (SBA)
4. The SBA maintains a database of Dynamic Small Business (DSBS) that, while primarily self-certified, does indicate certifications relating to 8(a) Business Development, HUBZone or Small Disadvantaged Business status. To find woman-owned, veteran- owned, and service disabled veteran owned specific profiles in this same SBA database, go to the Quick Market Search screen.
[color-box color=”gray”]© 2013 BRB Publications, Inc. Reprinted with permission. Mike (and Mark) Sankey are long time friends of and contributors to The John Cooke Fraud Report.[/color-box]