Visual Compliance

The University of California subscribes to Visual Compliance (VC) to conduct due diligence for a wide variety of transactions that occur on-campus. The type of due diligence is referred to as Restricted Party Screening. Visual Compliance compiles information from a variety of key U.S. Government-produced lists that provide UC Davis with critical insight into whether an organization or individual is under sanctions by the U.S. Government. It is important to keep in mind that these restricted parties may also include universities and other research institutions.

Without proper authorization such as an export license, the government prohibits U.S. individuals and organizations from collaborating with or providing materials, services, and financial support to these restricted parties.

Visual Compliance Accounts

All UC Davis employees can register for an account with Visual Compliance to perform Restricted Party Screenings. To register for an account, visit Visual Compliance Registration and complete the steps listed.

    • Please be sure to use your @ucdavis.edu email address.
    • Once registered, log into Visual Compliance and navigate to the Restricted Party Screening tool.

Training is required for all new users of the system. The training course is entitled “Restricted Party Screening” and can be located within the campus Learning Center.

Using Visual Compliance

From the VC home page, click on the Restricted Party Screening link on the main page or on “RPS” in the middle of the navigation menu at the top of the page.

    • Fill out the “Individual and Company Screening” section, following the steps below.
    • Whenever possible, screen for the person’s name and their organization separately. When screening only one, it is okay to leave the other blank.
      1. Name: Enter the individual’s complete first and last name. Do not include a middle name, manners of address (Mr., Mrs., Dr., etc.), or degrees/credentials (M.D., Ph.D.) since there is uncertainty around governments’ use of and style employed when adding entities to the restricted party lists.
      2. Company/Organization/University: In the Company field, enter the organization’s complete name. For example, use “University of California” instead of “UC.”
      3. Country: Enter the home country for the individual or company. If you know of multiple countries, run multiple screenings.
      4. Comment: Enter your department, PI, and/or reason for screening. If you are performing test or practice screenings, include the word “test” in the comment field so the screening can be removed from future screening.
      5. Search Settings: Use “Fuzzy Level 2.”
      6. Screen: Click the “Screen” button to perform the Restricted Party Screening.

Restricted Party Screening Results

    1.  No matches found: If your screening produces zero records returned, and the person/organization you screened is not from Cuba, Iran, Syria, North Korea, Russia or Crimea, Donetsk and Luhansk regions of Ukraine, please proceed with your transaction. If your transaction involves a shipment or another type of transfer of items or information, contact Export Control for a review.
    2. Matches found: If your screening produces any matches, you need to pause the transaction and escalate to Export Control for a review. Please make sure to include the reason why the screening was performed in your email to Export Control. Export Control will review the screening and evaluate if an export license is required. Do not proceed with the transaction until Export Control indicates the transaction is clear to proceed.
    3. Country Alerts (Cuba, Iran, Syria or North Korea, Russia or Crimea, Donetsk and Luhansk regions of Ukraine): If your screening produces a match for the country where the individual or organization is located, and that country is Cuba, Iran, Syria, North Korea, Russia or Crimea, Donetsk and Luhansk regions of Ukraine, (comprehensively sanctioned countries), you must escalate your screening to Export Control for a review. An export license may be required for the proposed activity.
    4. Country Alerts (All other countries): If your screening produces a match for any country other than the comprehensively sanctioned countries listed above, you are clear to proceed with your transaction unless it is an international shipment. If your transaction involves a shipment or another type of transfer of items or information, contact Export Control for a review.

Dynamic Screening Alerts

Users and Export Control receive notifications from Visual Compliance if a previously screened entity has been added to a restricted list. Export Control will resolve the dynamic screening alerts sent from the system. Export Control may contact you to request additional information about the circumstances of the screening.