OFAC & PLC Assistance

Receiving SDN (Specially Designated Nationals) List File from National Treasury Website

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 (Palestinian Legislative Council) List File from National Treasury Website

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 now completed Sections 1 and 2. We are no longer going to need the US Treasury website, so you can close that window.

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, D - Regulatory Reports Menu and 3 - Treasury Match (OFAC) Report.
   
   
   
   
2. Set the Program Parameters by tab. Make sure the Report Option Tab is selected and fill out the parameters.
   
   
   
   

   Suggested Parameter Settings:
   Sort Key:	Control/Account #
   Page Headings:	Page Heading on Each Page
   Member Status Codes:	All Status Codes
   Option Selected:	All Control Groups
   Control Breaks:	Print Totals by Control Group
   Search Type:	See special info below.

   
   
   

   Search Type Option The Search Type Option give you a choice between the Exact Match and the Sounds Like match. Exact Match requires the member to match exactly to the SDN and PLC files. The Sounds Like option will match members that sound like or have similiarities to the information in the SDN and PLC files. Note: Sounds Like option does not work when doing a Business Search. For example, Osama bin Laden can have several different spellings and formats. This option finds them all. This may lead to member being found that are not involved in terrorist activity. There is a setting in their member master file to edit to confirm that they are not involved. More about this topic in Section Six - OFAC Verification.

   
   
   
3. Select the Treasury File Options tab and set the parameters as suggested below.
   
   
   
   To put the files in the appropriate textboxes, click on the button with the three periods. You will be prompted to select the file to put in the appropriate box.
   
   
   
   Repeat this step for each file name.

If the OFAC file was downloaded and exploded successfully and the Treasury Path is correct, the Date of Treasury File field should be the same date as the file you received from the Department Of The Treasury.

To check the Treasury Path for the SDN.FF, ADD.FF and ALT.FF click on the ... Command Button after each file name. It should point to the OFAC directory on the "C" or "H" drive where you have saved the files.

4. Select the PLC File Options tab and set the parameters as suggested below.
   
   
   
   To put the files in the appropriate textboxes, click on the button with the three periods. You will be prompted to select the file to put in the appropriate box.
   
   
   
   

   Suggested Parameter Settings:
   File Type	File Name	Date of PLC File
   PLC File Name	PLC_PRIM.CSV	MM/DD/YYYY
   Address File Name	PLC_ADD.CSV	MM/DD/YYYY
   Alias File Name	PLC_AKA.CSV	MM/DD/YYYY
   Print PLC File Options:	Print PLC Records for CSS Matches We'll return to this option in Section Five

   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.
   
   To check the PLC Path for the CSV files, click on the ... Command Button after each file name. It should point to the OFAC directory on the "C" or "H" drive where you have saved the files.

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. Treasury Match - Full Report - Select the Reports menu and select Print Treasury Match - Full Report.
   
   
   
   This option 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.
   
   
2. Treasury Match - Short Report - Select the Reports menu and select Print Treasury Match - Short Report.
   
   
   
   This option 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.
   
   
3. Prior Matches - Select the Reports menu and select Print Prior Matches. This report is optional.
   
   
   
   This option lists all matches previously found.
   
   
4. Treasury SDN/PLC File - Select the Reports menu and select Print Treasury SDN/PLC File.
   
   
   
   NOTE: Make sure the Print Treasury File Options (Bottom of Treasury File Options tab) and the Print PLC File Options (Bottom of PLC File Options tab) are correctly before printing the desired file.

Each report will conclude with a message box informing you that the report is complete. Click OK to complete the process.

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 - Main Master File Maintenance.
   
   
2. Enter the Control/Account # of the member and click Display All Accounts.
   
   
   
   
3. Select Member Master Account on the left side and click Edit Selected Account.
   
   
   
   
4. Click the Personal Data Tab on the Member Account Maintenance screen.
   
   
5. OFAC Verified field keeps track of the member OFAC Status. You can set this field to one of the following.
   
   
   • OFAC Match - Researched - NOT Valid
   • No OFAC Match Found
   • OFAC Match - Researched - MATCH VALID
   
   
   
   
   
6. Click Save Changes to complete the process.
   
   

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 - Click the US Map button on the toolbar.
   
   
   
   
2. If you have member information already entered in OTC prior to clicking the Map button, the member information will already be filled out on the screen. Skip down to step 4.
   
   
   
   
3. Enter the member's Control/Account #. Be sure to tab off the Account Number field to ensure the rest of the tab is filled in. If you don't know the Control/Account #, use the member's first and last name.
   
   
4. Set the Exact Match or Sounds Like setting.
   
   
   
   

   Search Type Option The Search Type Option give you a choice between the Exact Match and the Sounds Like match. Exact Match requires the member to match exactly to the SDN and PLC files. The Sounds Like option will match members that sound like or have similiarities to the information in the SDN and PLC files. Note: Sounds Like option does not work when doing a Business Search. For example, Osama bin Laden can have several different spellings and formats. This option finds them all. This may lead to member being found that are not involved in terrorist activity. There is a setting in their member master file to edit to confirm that they are not involved. More about this topic in Section Six - OFAC Verification.

   
   
   
5. Click on the File Options tab.
   
   
   
   
6. Click on each Browse button to place in the appropriate file.
   
   

   SDN File Name:	SDN.FF
   Address File Name:	ADD.FF
   Alias File Name:	ALT.FF
   PLC File Name:	PLC_PRIM.CSV
   Address File Name:	PLC_ADD.CSV
   Alias File Name:	PLC_AKA.CSV

   
   
   If you have not retrieved the latest OFAC files, please do so. For more information on how to get these files, check out Sections 1 to 3.
   
   
7. To print the Individual OFAC, select the Reports from the menu and select Print OFAC Search Report.
   
   
   
   
8. Click OK on the Print Reported message box.
   
   

That concludes our tutorial for processing OFAC.