OFAC & PLC Assistance

Receiving SDN List File from National Treasury Website

Specially Designated Nationals List (SDN)

Follow the directions below.

1. Pull the OFAC SDN List from the Treasury Department's Website.
   
   
   • You can visit this site by clicking here. A new window will open with the page you need. You can also copy and paste the following URL into your browser: www.treas.gov/offices/enforcement/ofac/sdn/
   
   
   
   
   
2. Click on the "ASCII Delimited, Fixed-Width and CSV data files in a DOS 16 bit archive" link.
   
   
   
   
3. Click on the Save button.
   
   
   
   
4. You need to save the "sdall.exe" file to the OFAC Directory on your "C" or "H" drive.
   
   
   
   
   Note: This message box will only come up if you have already saved an earlier version of the sdall.exe program in your OFAC folder.
   
   Click "Yes".
   
   
5. Click Close on the Download Complete box that will come up when the download is complete. We'll open the folder after we download the PLC files.
   
   

You now have the SDN File saved on your computer.

Receiving PLC List File from National Treasury Website

Palestinian Legislative Council List

Note the following information about this list.

Follow these directions:

1. Pull the OFAC PLC List from the Treasury Department Website. To do this, click here or type this url into a browser: www.treas.gov/offices/enforcement/ofac/
   programs/terror/ns/index.shtml
   
   
   
   
2. Click on the "ASCII CSV data files in a DOS 16 bit archive" link. You will find this towards the bottom quarter of the page.
   
   
   
   
3. Click the Save button on the File Download screen.
   
   
   
   
4. You need to save the "plc_dat.exe" file to the OFAC Directory on your "C" or "H" Drive.
   
   
   
   
   
   Note: This message box will only come up if you have already saved an earlier version of the plc_dat.exe program to your OFAC folder.
   
   Click Yes.
   
   
5. If you downloaded both files, click Open Folder on the Download Complete box before continuing to Section Three.
   
   

You have completed the downloads for this program.

Exploding Files: Making Files Available for Processing

Following the directions below.

1. At the end of Section 2, you clicked Open Folder to open the OFAC Folder. The two files we need are in this folder. First, find SDALL.EXE.
   
   
   
   

   If you did not click Open Folder, here is directions to get to the OFAC files: From your Windows Desk Top, Double Click on "My Computer" Double Left click on the drive you saved the sdall.exe file - C: or H:. Locate the OFAC directory and Double left click on it. This should display all the files in the OFAC directory.

   
   
   
2. Double left click on the sdall.exe file. This will explode the file.
   
   
   
   You may be asked if you want to Overwrite (y/n)?. Type in the letter "A". This will overwrite all the files over having to press the "Y" key for each file.
   
   
   
   Note: This step only occurs if the OFAC files were downloaded in the same directory at an earlier date. Overwriting the files is exactly what you want to do in this situation.
   
   
3. If the sdall.exe program remains on your desktop after it is completed, click "X" to exit the screen.
   
   
4. Go back to the OFAC Folder and double left click on the plc_dat.exe program. This will explode the file.
   
   
   
   You may be asked if you want to Overwrite (y/n)?. Type in the letter "A". This will overwrite all the files over having to press the "Y" key for each file.
   
   
   
   Note: This step only occurs if the PLC files were downloaded in the same directory at an earlier date. Overwriting the files is exactly what you want to do in this situation.

You have now completed the process of getting the SDN and PLC Files. You can now run the OFAC programs.

Setting Treasury Match Parameters

With the latest files from the US Treasury Department on your system, you can run the OFAC Programs. Follow these directions.

1. From the Master Menu, select 3 - Reports Menu, 6 - Additional Reports Menu, C - Regulatory Reports Menu and 3 - Treasury Match (OFAC) Report.
   
   
   
   
2. Set the Report Parameters by selecting 4 - Change Parameters from the menu.
   
   
   
   

   Suggested Parameter Settings:
   Sort Key:	0 - Control/Account #
   Option Selected:	1 - All Control Groups
   Page Headings:	Y - Page Heading on Each Page
   Control Breaks:	Y - Print Totals by Control Group
   Member Status Codes:	A - All Status Codes
   Report Type:	1 - Full Report
   Treasury Path:	Path to the files downloaded for OFAC and PLC.
   Master File Name:	SDN.FF PLC_PRIM.CSV
   Address File Name:	ADD.FF PLC_ADD.CSV
   Alt. File Name:	ALT.FF PLC_AKA.CSV
   Report Opt:	0 - Print Detail for Matches

   
   
   Please Note: You will have additional CSV files in the OFAC folder that are not called in this report. Please make sure you are setting the files correctly as stated in the table above.

Process Treasury Match Report

There are four reports available in our OFAC program. Follow these directons to process the report you want.

Please Note: You do not have to run every report in this program.

1. Process Treasury OFAC Files - Select the first menu choice. You can either print the full report or the short report. The Rpt Typ parameter determines which report style prints.
   
   
   
   The full report will compare all your Member Masters to the Names & Address on the OFAC Lists and will print any matches it finds. This report prints members account number, name, address, social security number, date of birth and open or closed status.
   
   The short report will compare all your Member Masters to the Names & Address on the OFAC List and will print any matches it finds. This report just prints the account number, name, social security number and open or closed status.
   
   
2. Prior Matches - Select the second menu choice.
   
   
   
   This option lists all matches previously found.
   
   
3. Print Treasury Data Files - Select the third menu choice. .
   
   
   
   NOTE: Make sure the Report Opt parameter correctly before printing the desired file.

You have now completed processing the Treasury Match program.

Setting Member Master

OFAC Verified Field in Member Master

To set the OFAC Verified field in the Member Master File, follow these directions:

1. From the Master Menu, select 4 - Maintenance Routines Menu and select 1 - Member Master File Maintenance.
   
   
2. Enter the Control/Account # of the member and press enter.
   
   
   
   
3. Press the Page Down button on your keyboard twice.
   
   
4. OFAC Verified field keeps track of the member OFAC Status. You can set this field to one of the following.
   
   
   • Y - This Account matched a name on the OFAC List and was researched by a Credit Union Employee. This match is not valid.
   • N - This Account has not been matched to the OFAC list.
   • F - This Account matched a name on the OFAC List and was researched by a Credit Union Employee. This match is valid.
   
   
   
   
   
5. Press Escape on your keyboard and select Update Maintence Entry to save your changes.
   
   

Note: It is the Credit Union's responsibility to determine if these matches are valid matches.

If a match is validated, the Credit Union should manually update (OFAC VERFIED field) in the Members Master to OFAC Match - Researched - MATCH VALID. All the members Assets must be blocked, and the Treasury Department must be notified. (OFAC Hotline 1-800-540-6322).

When the matches are not valid (OFAC VERFIED field) in the Member Master should remain OFAC Match - Researched - NOT Valid. This will eliminate the account from appearing on any subsequence reports the next time the SDN Lists and PLC Lists are processed.

Search OFAC List for an Individual

Follow the directions below.

1. From the Over the Counter Program - press ALT + M to display the menu.
   
   
   
   
2. Select OFAC - OFAC Treasury Search at the bottom of the menu.
   
   
   
   
3. Enter the member's Control/Account #. Be sure to press enter on the Account Number field to ensure the rest of the information is filled in. If you don't know the Control/Account #, use the member's first and last name.
   
   
   
   
4. Set the Emp ID Code to either 0 - Last Name, First Name (SSN) search or 1 - Business Name (EIN) search.
   
   
5. Press Escape on your keyboard.
   
   
6. In the menu that comes up, select Check Member Against OFAC Files.
   
   
   
   
7. Repeat the step in this section for each individual you would like to do.
   
   If you have not retreived the latest OFAC files, please do so. For more information on how to get these files, check out Sections 1 to 3. You can set the OFAC Verified field in the Member Master by following directions in Section 6.
   
   

That concludes our tutorial for processing OFAC.