OFAC Monitoring Interface

Transcription

1 PS_OFAC Application 4759 Extension ID: c-0f5c-4ba0-9ace-0ca cf OFAC Monitoring Interface

2 , Inc. or its affiliates. All rights reserved. This work is confidential and its use is strictly limited. Use is permitted only in accordance with the terms of the agreement under which it was furnished. Any other use, duplication, or dissemination without the prior written consent of, Inc. or its affiliates is strictly prohibited. The information contained herein is subject to change without notice. Except as specified by the agreement under which the materials are furnished,, Inc. and its affiliates do not accept any liabilities with respect to the information contained herein and is not responsible for any direct, indirect, special, consequential or exemplary damages resulting from the use of this information. No warranties, either express or implied, are granted or extended by this document. is a registered trademark of, Inc. Other brands and their products are trademarks or registered trademarks of their respective holders and should be noted as such. PS_OFAC 2

3 Overview: This application is designed to provide name and address information for all persons and organizations in the DNA database for the purpose of monitoring information for the Office of Foreign Assets Control (OFAC). Key Benefits: This application will help financial institutions comply with their OFAC screening requirements Processing: This application is designed to run in batch and produce a file that can then be loaded into an OFAC system for processing. The following nine output file formats are supported: 1. Generic 2. WatchDog 3. Thompson 4. WatchDog II 5. Wolters Kluwer PATRIOT Act 6. WatchDog III 7. Bridger 8. Wolters Kluwer 314(a) 9. PRIME OFAC Parameters: Parameter Code Description (how used) Required Default Report Type RTYP The following nine output file formats are supported: No 7 1 Generic 2 WatchDOG 3 Thompson 4 WatchDOG II 5 Wolters Kluwer PATRIOT Act 6 WatchDog III 7 Bridger 8 Wolters Kluwer 314(a) 9 PRIME OFAC Drivers Lic Pers ID Typ Cd 8DLC The Person ID Type Code to select for Drivers License information. No <Blank> If left blank, then an exception message will be printed as No DL ID Type Code supplied, application terminating. Note: Required for Report Type = 5 (Wolters Kluwer PATRIOT Act) ONLY PS_OFAC 3

4 Parameter Code Description (how used) Required Default Split File Orgs/Persons 8SOP If set to Y = Yes, the file output will be in two separate files, one for Person named PS_OFAC_PERSONS.CSV and one for Organization named PS_OFAC_ORGS.CSV. No N If set to N = No, the file output will contain both Person and Organization in one file named PS_OFAC.CSV. Split City, State and Zip 8CSZ Note: This is only used for Report Type = 5 (Wolters Kluwer PATRIOT Act). For WatchDog III report format City, State and Zip can split into unique fields or clubbed as a single, decision will be made based on the following parameter values - No 1 1- Do Not Spilt (Do Not Split) 2- For Primary Address (Split For Primary Address Only) 3- For Seasonal Address (Split For Seasonal Address Only) 4- For Primary and Seasonal Address (Split For Primary and Seasonal Address both) Current Acct Status Code CASC Note: This is only used for Report Type = 6 (WatchDog III). Include only persons, organizations that have a tax reported owner role on account with account status as provided to the CASC parameter. No <Blank> If no value provided to the parameter all persons, organizations will be included. Exclude Pers with blank Tax-Id 8EPB Note: This is only used for Report Type = 6 (WatchDog III). If set Yes, the extract will exclude the Persons who have blank Tax-Id defined in DNA. If set No, the extract will consider all Persons no matter if they have Tax-Id defined in DNA or not. No N Exclude Org with blank Tax-Id 8EOB Note: This is only used for Report Type = 6 (WatchDog III). If set Yes, the extract will exclude the Organizations who have blank EIN defined in DNA. If set No, the extract will consider all Organizations no matter if they have EIN defined in DNA or not. No N Note: This is only used for Report Type = 6 (WatchDog III). PS_OFAC 4

5 Parameter Code Description (how used) Required Default Mask TIN Information MTIN When set to Y, each individual s TIN will be masked in the file. When set to N, TIN will appear in the clear in all output. Yes N Masking format for OFAC_PRIME extract Will be as per the standard DNA functionality Masking format for rest of the extracts Persons: *****1234 Organizations: *****1234 Passport ID Type Code Nationality User Field Code Relationship Role Code Address Use Code 8PS1 8NTN RRC AUSE Identifies the Person ID Type Code to access a Person s Passport Number Required For Option 9 (PRIME OFAC) only Identifies the User Field Code to access the Nationality Person User Field Required For Option 9 (PRIME OFAC) only The Account Role that qualifies a Person for special reporting (see extract field RELATIONSHIP in the File Layouts section) For Option 9 (PRIME OFAC) only The Address Use Code to access a Person s primary physical address For Option 9 (PRIME OFAC) only No No No No <blank> <blank> BENE PRI Report(s): PS_OFAC 5

6 File Layout(s): Output File Layout 1 - Generic Format If Report Type 1 Generic Format is selected when running the PS_OFAC, the extract text file is produced in the Generic Format and the extract file name is PS_OFAC.OUT. Within the extract, each field is separated with a comma. Field Format Description Last Name or Organization Name First Name Primary Address Primary City, State, Zip Seasonal Address Seasonal City, State, Zip XXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays the Organization Name. XXXXXXXXXX If Person record, displays the First Name of the Person. If Organization record, displays blank. XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. If Person or Organization record, displays the City, State and Zip Code of the Primary Address in following format <<City Name>>,<<State Code>> <<Zip Code>> XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Seasonal Address. If Person or Organization record, displays the City, State and Zip Code of the Seasonal Address in following format <<City Name>>,<<State Code>> <<Zip Code>> Type X If Person record, displays an I. If Organization record, displays an O. Social Security Number If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask SSN as *****9999. Date Of Birth MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. Output File Layout 2 - WatchDog Format This Report Type option is recommended for the WatchDOG OFAC monitoring program. If Report Type 2 WatchDog Format is selected when running the PS_OFAC, the extract text file is produced in the WatchDog Format and the extract file name is PS_OFAC.CSV. The Unique Id field can be used to maintain a Good Customer List. Within the extract, the first row contains the field headers and each field is separated with a comma. Field Format Description Name XXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays the Organization Name. Full Name (First Name Last Name) XXXXXXXXXX If Person record, displays the First Name and Last Name of the Person. If Organization, displays blank. Full Name ( Last Name, First Name) XXXXXXXXXX If Person record, displays the Last Name, First Name of the Person. If Organization, displays blank. PS_OFAC 6

7 Field Format Description Last Name Organization Name XXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization, displays blank. XXXXXXXXXX If Organization record, displays the Organization Name. If Person record, displays blank. Country Code XXXX If Person or Organization record, displays the Country Code of the Primary Address. Primary Address Primary City, State, Zip Seasonal Address Seasonal City, State, Zip XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. XXXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Primary Address in following format <<City Name>>,<<State Code>> <<Zip Code>> XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Seasonal Address. XXXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Seasonal Address in following format <<City Name>>,<<State Code>> <<Zip Code>> Type X If Person record, displays a P. If Organization record, displays an O. Unique Id Number If Person record, displays the Internal DNA Person Number. If Organization record, displays the Internal DNA Organization Number. The Unique Id field can be used to maintain a Good Customer List. Note: To provide unique ID Number s, has been added to the Organization number. Example: Organization Number 1717 would have a unique ID Number of Output File Layout 3 - Thompson Format If Report Type 3 Thompson Format is selected when running the PS_OFAC, the extract text file is produced in the Thompson Format and the extract file name is PS_OFAC.DAT. The extract is a fixed length record with a carriage return and each field is left justified and space filled. Field Format Size Beginning Ending Description Position Position Customer Record Number If Person record, displays the Internal DNA Person Number concatenated with the Internal Address Number for the Person. If Organization record, displays the Internal Organization Number concatenated with the Internal DNA Address Number for the Organization. PS_OFAC 7

8 Field Format Size Beginning Ending Description Position Position Customer Name XXXXXXXXX If Person record, displays the First Name, Middle Initial and the Last Name of the Person. If Organization record, displays the Organization Name. Address XXXXXXXXX If Person or Organization record, displays the address in Address Line 1 and Address Line 2 of all address(es). City State Zip Country Code XXXXXXXXX If Person or Organization record, displays the City, State, Zip Code and Country Code of all address(es). Nickname XXXXXXXXX If Person record, displays the Nickname of the Person. If Organization record, displays blank. Person or Organization Indicator X If Person record, displays a P. If Organization record, displays an O. Date of Birth MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. TIN Number If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask TIN as *****9999. US/International Indicator X If Person or Organization record, displays U if the Country is USA, displays I if the Country is other than USA. PS_OFAC 8

9 Output File Layout 4 - WatchDog II Format This Report Type option is an enhanced version of the file recommended for the WatchDOG OFAC monitoring program. If Report Type 4 WatchDog II Format is selected when running the PS_OFAC, the extract text file is produced in the WatchDog II Format and the extract file name is PS_OFAC.CSV. The Unique Id field can be used to maintain a Good Customer List. Within the extract, the first row contains the field headers and each field is separated with a comma. Fields Format Description Last Name or Organization Name XXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays the Organization Name. Full Name (First, Middle Last) XXXXXXXXXX If Person record, displays the First Name, Middle Initial and Last Name of the Person. If Organization record, displays blank. Full name (Last, First Middle) XXXXXXXXXX If Person record, displays the Last Name, First Name and Middle Initial of the Person. If Organization record, displays Organization Name. Last Name XXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays blank. Organization Name XXXXXXXXXX If Organization record, displays the Organization Name. If Person record, displays blank. Country Code XXXX If Person or Organization record, displays the Country Code of the Primary Address. Primary Address XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. Primary City, State, Zip XXXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Primary Address. Seasonal Address XXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Seasonal Address. Seasonal City, State, Zip XXXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Seasonal Address. Person or Organization Indicator X Unique Id Number If Person record, displays a P. If Organization record, displays an O If Person record, displays the Internal DNA Person Number. If Organization record, displays the Internal DNA Organization Number. The Unique Id field can be used to maintain a Good Customer List. Note: To provide unique ID Number s, has been added to the Organization number. Example: Organization Number 1717 would have a unique ID Number of Date of Birth MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. Social Security Number If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask SSN as *****9999. PS_OFAC 9

10 Output File Layout 5 - Wolters Kluwer PATRIOT Act Format This Report Type option is the file recommended for the Wolters Kluwer PATRIOT Act Connection monitoring program. If Report Type 5 Wolters Kluwer PATRIOT Act Format is selected when running the PS_OFAC, the extract text file is produced in the Wolters Kluwer PATRIOT Act Format. Within the extract, each field is separated with a comma. The extract file names are determined by the value set for the Runtime Parameter Split File - Orgs/Person. If set to No, the extract file name is PS_OFAC.CSV. If set to Yes, the extract file names are PS_OFAC_Persons.CSV and PS_OFAC_Orgs.CSV Fields Format Description Null Null Null If Person or Organization record, displays blank. If Person or Organization record, displays blank. If Person or Organization record, displays blank. First Name XXXXXXXXXXX If Person record, displays the First Name of the Person. If Organization record, displays blank. Middle Name XXXXXXXXXXX If Person record, displays the Middle Name of the Person. If Organization record, displays blank. Last Name XXXXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays blank. Organization Name XXXXXXXXXXX If Organization record, displays the Organization Name. If Person record, displays blank. Street Address Line 1 XXXXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. Street Address Line 2 XXXXXXXXXXX If Person or Organization record, displays the address in Address Line 2 of the Primary Address. City XXXXXXXXXXX If Person or Organization record, displays the City of the Primary Address. State Code XXXX If Person or Organization record, displays the State of the Primary Address. Zip Code (Zip 4) XXXXXXXXXXX If Person or Organization record, displays the Zip Code of the Primary Address. Province XXXXXXXXXXX If Person or Organization record, displays the Sub Division of the Primary Address. Country Name XXXXXXXXXXX If Person or Organization record, displays the Country of the Primary Address. TIN If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask TIN as *****9999. Date of Birth MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. Phone If Person record, displays the phone number defined by the Phone Use Code in the Calculation Variables Inst PS_OFAC 10

11 Fields Format Description Processing for Home Phone Use Code/HPHE. If Organization record, displays the phone number defined by the Phone Use Code in the Calculation Variables Inst Processing for Business Phone Use Code/BPHE. Fax Phone If Person or Organization record, displays the phone number for the Phone Use Code of FAX. Drivers License Number XXXXXXXXXXX If Person record, displays the ID Number for the designated Person ID Type Code as defined in the Drivers Lic Pers ID Typ Cd parameter. If Organization record, displays blank. Drivers License State XXXX If Person record, displays the State Code for the designated Person ID Type Code as defined in the Drivers Lic Pers ID Typ Cd parameter. If Organization record, displays blank Identification Number If Person record, displays any ID Number that exists for anything other than the designated Person ID Type Code as defined in the Drivers Lic Pers ID Typ Cd parameter. If Organization record, displays blank. Output File Layout 6 - WatchDog III Format This Report Type option is an enhanced version of the file recommended for the WatchDOG OFAC monitoring program. If Report Type 6 WatchDog III Format is selected when running the PS_OFAC, the extract text file is produced in the WatchDog III Format and the extract file name is PS_OFAC.CSV. The Unique Id field can be used to maintain a Good Customer List. Within the extract, the first row contains the field headers and each field is separated with a comma. Fields Format Description Last Name First Name Full Name (First, Middle Last) Full name (Last, First Middle) Organization Name XXXXXXXXX If Person record, displays the Last Name of the Person. If Organization record, displays blank. XXXXXXXXX If Person record, displays the First Name of the Person. If Organization record, displays blank. XXXXXXXXX If Person record, displays the First Name, Middle Initial and Last Name of the Person. If Organization record, displays blank. XXXXXXXXX If Person record, displays the Last Name, First Name and Middle Initial of the Person. If Organization record, displays Organization Name. XXXXXXXXX If Organization record, displays the Organization Name. If Person record, displays blank. Country Code XXXX If Person or Organization record, displays the Country Code of the Primary Address. Primary Address Primary City, State, Zip XXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. XXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Primary Address. PS_OFAC 11

12 Fields Format Description Seasonal Address Seasonal City, State, Zip If Input Parameter 8CSZ supplied with a value of 2 or 4, this field can break out into three separate fields as Primary City, Primary State and Primary Zip XXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Seasonal Address. XXXXXXXXX If Person or Organization record, displays the City, State and Zip Code of the Seasonal Address. Person or Organization Indicator Unique Id Number X If Input Parameter 8CSZ supplied with a value of 3 or 4, this field can break out into three separate fields as Seasonal City, Seasonal State and Seasonal Zip If Person record, displays a P. If Organization record, displays an O If Person record, displays the Internal DNA Person Number. If Organization record, displays the Internal DNA Organization Number. The Unique Id field can be used to maintain a Good Customer List. Date of Birth Note: To provide unique ID Number s, has been added to the Organization number. Example: Organization Number 1717 would have a unique ID Number of MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. Social Security Number If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask SSN as *****9999. Output File Layout 7 - Bridger Format This Report Type option is required for use with the Bridger Insight OFAC monitoring program. If Report Type Bridger is selected when running the PS_OFAC, the extract text file is produced in the Bridger Format and the extract file name is PS_OFAC.OUT. Within the extract, each field is separated with a tab. Fields Format Description Full name XXXXXXXXX If Person record, displays the First Name, Middle Initial and Last Name of the Person. If Organization record, displays the Organization Name. Primary Address XXXXXXXXX If Person or Organization record, displays the address in Address Line 1 of the Primary Address. Primary Address XXXXXXXXX If Person or Organization record, displays the address in Address Line 2 of the Primary Address. Primary City Name XXXXXXXXX If Person or Organization record, displays the City of the Primary Address. Primary State Code XXXX If Person or Organization record, displays the State of the Primary Address. Primary Zip Code XXXXXXXXX If Person or Organization record, displays the Zip Code of PS_OFAC 12

13 Fields Format Description the Primary Address. Primary Country Code XXXX If Person or Organization record, displays the Country Code of the Primary Address. Person or Organization Indicator X Person or Organization Number If Person record, displays a P. If Organization record, displays an O. If Person record, displays the Internal DNA Person Number of the Person. If Organization record, displays the Internal Organization Number of the Organization. Social Security Number If Person record, displays the Tax Id Number. If Organization record, displays the EIN Number. When Parameter MTIN set to Y, mask SSN as *****9999. Date Of Birth MMDDYYYY If Person record, displays the Birth Date. If Organization record, displays blank. Output File Layout 8 - Wolters Kluwer 314(a) The Wolters-Kluwer 314(a) output consists of 2 separate files, with the following applied for all: Files must have a header record with field names as indicated in the Field section of the layout table Each record must be followed by a carriage return to end the record Fields containing commas must be enclosed with quotation marks but quotation marks should NOT be used when commas are not present Output File 1 Person Records (PS_OFAC_314a_PERS.CSV) Field Format Description Tracking_Number Numeric Record sequence number Last_Name Character Person Last Name First_Name Character Person First Name Middle_Name Character Person Middle Name Suffix Character Person Name Suffix Alias_Last_Name Character Blank, not a valid DNA field Alias_First_Name Character Blank, not a valid DNA field Alias_Middle_Name Character Blank, not a valid DNA field Alias_Suffix Character Blank, not a valid DNA field Number Character ID Number Number_Type Character ID Type Description DOB Date Person Date of Birth (MM/DD/YYYY) Street Character Primary address street line City Character Primary address city State Character Primary address state code Zip Numeric Primary address zip code, including hyphen and +4,if applicable Country Character Primary Address Country Phone Numeric Person Phone Number This field will select the phone number based on the Home Phone Use Code/HPHE institution-level variable PS_OFAC 13

14 Output File 2 Business Records (PS_OFAC_314a_ORG.CSV) Field Format Description Tracking_Number Numeric Record sequence number Business_Name Character Organization Name Dba_Name Character Blank Number Character ID Number for OrgID, if applicable Number_Type Character ID Type Description Incorporated Numeric Y if org type = Corporation, else N Street Character Primary address street line City Character Primary address city State Character Primary address state code Zip Numeric Primary address zip code, including hyphen and +4,if applicable Country Character Primary Address Country Phone Numeric Org Phone Number This field will select the phone number based on the Business Phone Use Code/BPHE institution-level variable PS_OFAC 14

15 Output File Layout 9 PRIME OFAC File Layout(s): When PS_OFAC is run for Report Type 9, it will produce a single extract text file (PS_OFAC_PRIME.TXT) for PRIME OFAC processing consisting of variable-length records of data fields delimited by tilde (~) characters. The layout is described below for both persons and organizations. Field Format Description CUSTID XXXXXXXX Depending on Relationship: For Members: DNA Member Agreement Number For Non-Members: P + DNA Person Number or O + Organization Number NAME XXXXXXXX Person s full name First, Middle and Last, space-separated or Organization s full name RELATIONSHIP Depending on Relationship: For Members (w/primary or Joint account role): DNA Member Agreement Number For Non-Members w/beneficiary account role: Primary DNA Member Agreement Number For Non-Members w/o Beneficiary account role: <NULL> STREET_ADDRESS XXXXXXXXX Person or Organization Street Address (based on Address Use Code Parameter) CITY XXXXXXX Person or Organization City (based on Address Use Code Parameter) STATE XX Person or Organization State Code (based on Address Use Code Parameter) ZIP Person or Organization Zip Code (based on Address Use Code Parameter) COUNTRY XXX Person or Organization Country Code (based on Address Use Code Parameter) NATIONALITY XXXXXX Person s Nationality (from User Field identified by Nationality User Field Code Parameter), left blank for Organizations. DOMICILE XXX Person s Residential Tax Country Code), left blank for Organizations. DATE_OF_BIRTH YYYYMMDD Person s date of birth, left blank for Organizations. TAX_ID Person or Organization Tax ID Organization TIN PASSPORT_ID XXXXXXXX Person s Passport ID Number, left blank for Organizations. OTHER1 XXXXX Depending on Relationship: For Members: UNFCU For Non-Members: <NULL> PS_OFAC 15

16 Field Format Description OTHER2 X Depending on Relationship: For Members: 0 (zero) For Non-Members: <NULL> Additional Requirements: Requires DNA 4.0 or higher Bridger Insight Mapping Information: Bridger Insight utilizes a mapping screen where input file fields are mapped to Bridger's database fields. Based on input from our clients that use Bridger Insight, we suggest using the following mapping information: Position Field 1 Name 2 Address1 4 City 5 State 6 Acct Date 7 Country 8 Acct Amount 9 Other Data Configuration Checklist: Item Parameters Test Environment Production Environment PS_OFAC 16

17 Installation: Note: If you obtained this application from the DNAappstore, please disregard the installation instructions below. If you did not obtain this application from the DNAappstore, please complete the installation instructions below. Copy PS_OFAC.SQT to the Batch Process to the PS batch application directory; this is typically G:\OSI\BANK\BAT_EXE\PS (or the location specified in the PS Batch Report Directory BATP Institution Option). This application requires the running of the script PS_OFAC.SQL (Setup Script): Copy this file to any directory accessible to the applicable SQL application (SQL Developer, PL/SQL Developer, etc.) You need to run the setup script to register the application. These applications require an Authorization Key. After the primary installation instructions have been completed, you must apply the Authorization Key. Using the System Manager/Application Manager functionality, enter the supplied Authorization Key for this application. Revisions: Date App Version # Change 08/ Fixed Validation Finding- Removed extra spaces when First Name and DOB is blank and updated document. 06/ Applied MTIN related changes to extract files (for report type 1-8). 05/ Updated Masked Tin parameter in the document to state it is required. 05/ Needed to change the 8PSP parameter to 8PS1 05/ Added File option 9 for Prime OFAC and the associated parameters in addition to being able to mask the TIN in all of the file options. 06/ Added 2 new parameters 8EPB and 8EOB for Report Type WatchDog III 06/ Added File Layout Wolters Kluwer 314(a) 02/ Re-Packaged and Re-documented for DNA AppStore PS_OFAC 17