Access Descartes Visual Compliance

Descartes Visual Compliance (VC) is available to University faculty, staff, and students using their @stonybrook.edu email address as their username.

If you are not already registered, go to Descartes Visual Compliance User Registration and complete the registration form. You will receive a confirmation email from VC after registration.

ACCESS DESCARTES VISUAL COMPLIANCE

How to Conduct a Restricted Entity Screening

Step 1 — Conduct the Initial Screening

Using the Restricted Party Screening (RPS) function in Visual Compliance:

1. Enter the organization's full legal name in the Company field or the individual's full legal name in the Name field.
2. Do not enter address or country information in the initial screening.
3. From the Comment drop-down menu, select the category that best describes the purpose of the screening and, when appropriate, enter additional information in the explanation field.
4. Select Fuzzy and Level 2.
5. Confirm that only Exports and Sanctions are selected.
6. Select Screen.

Step 2 — Review the Initial Results

If the screening returns No Matching Records Found, the screening is complete.

If the screening returns potential matches, review the results.

If there are numerous potential matches, refine the screening as described in Step 3.

Step 3 — Refine the Screening

Repeat the screening using:

• Exact
• Level 2

Review the refined results.

If the refined screening returns No Matching Records Found, the screening is complete.

If potential matches remain, proceed to Step 4.

Step 4 — Review Potential Matches

Compare the information associated with each potential match against reliable information about the individual or organization being screened.

Information that may help distinguish a potential match may include:

• Full legal name.
• Address.
• Country.
• Date of birth, when available and appropriate.
• Organization or employer.
• Other identifying information contained in the screening result.

Reliable supporting information may include official organizational websites or other authoritative documentation available for the screening activity.

If the available information clearly establishes that the individual or organization being screened is not the listed party, document the basis for resolving the potential match in accordance with applicable University procedures.

If you cannot confidently resolve a potential match, proceed to Step 5.

Step 5 — Refer Unresolved or Positive Matches to ORS

Do not proceed with the activity if:

• A potential match cannot be resolved.
• Information indicates that the individual or organization may be the listed party.
• You are uncertain how to interpret the screening result.

Send the screening results and available supporting information to the Office of Research Security for review.

To send Visual Compliance screening results to ORS:

1. Select Email these Results from the screening results page.
2. Enter the appropriate ORS email address.
3. Include relevant information or comments in the notation field.
4. Include your name and contact information.
5. Send the screening results to ORS.

Do not proceed with the activity until ORS provides a determination.

Step 6 — ORS Review

ORS will review unresolved or potential positive matches and may request additional information from the screening office or individual.

Depending on the circumstances, ORS may:

• Determine that the screening result is not a match.
• Request additional information to resolve the potential match.
• Determine that the individual or organization is a positive match.
• Evaluate applicable restrictions, licensing requirements, or other compliance requirements.
• Coordinate with appropriate University, Research Foundation, or other offices when additional review is required.

ORS will provide the requester with the screening determination and any required next steps.

Documenting the Screening

Screening records should be retained in accordance with applicable University procedures and any requirements associated with the underlying activity.

Documentation should be sufficient to demonstrate:

• Who or what was screened.
• When the screening was conducted.
• The screening results.
• How any potential matches were resolved.
• Any ORS determination, when applicable.

Frequently Asked Questions

Who is responsible for conducting Restricted Entity Screening?

Responsibilities vary depending on the activity. Review the Restricted Entity Screening Responsibilities guidance to identify the University office or individual responsible for conducting the screening.

What if I receive multiple potential matches?

Potential matches are common and do not necessarily mean that the individual or organization being screened is restricted. Follow the refinement and review procedures above. Refer any match that cannot be confidently resolved to ORS.

Does a potential match mean the activity is prohibited?

No. A potential match requires additional review. ORS determines whether an unresolved result is a positive match and evaluates any requirements that may apply.

Can I proceed while ORS reviews a potential match?

No. Do not proceed with the activity until ORS has resolved the potential match and provided any applicable guidance.

Do I need to retain screening documentation?

Yes. Screening documentation should be retained in accordance with applicable University procedures and requirements associated with the activity.

Related Guidance

Need Assistance?

If you need assistance conducting a Restricted Entity Screening, cannot resolve a potential match, or have questions about screening results, contact the Office of Research Security before proceeding with the activity.

CONTACT ORS