OFFICE OF FOREIGN ASSETS CONTROL U.S. TREASURY DEPARTMENT CONSOLIDATED SANCTIONS LIST DATA SPECIFICATION First Released: 10/10/2014 Updated 04/17/2019 PLEASE NOTE IMPORTANT INFORMATION REGARDING THE TECHNICAL STRUCTURE OF THESE FILES ARE FEATURED AT THE BOTTOM OF THE DOCUMENT OFAC is publishing consolidated data format versions of its Non-Specially Designated Nationals (SDN) Lists. The "Consolidated List" contains designation and target information from OFAC’s Non-SDN, Palestinian Legislative Council List (NS-PLC List), the Part 561 List, the Non-SDN Iran Sanctions Act List (NS-ISA List), the Foreign Sanctions Evaders List (FSE List), and the Sectoral Sanctions Identifications List (SSI List). OFAC is publishing its Consolidated List in a number of data formats. These electronic publications as transmitted by OFAC are designed as reference tools providing actual notice of actions by OFAC with respect to OFAC's Non-SDN lists. The latest changes may appear here prior to their publication in the Federal Register, and it is intended that users rely on changes indicated in these documents that post-date the most recent Federal Register publication. Such changes reflect official actions of OFAC and will be reflected as soon as practicable in the Federal Register under the index heading "Foreign Assets Control." New Federal Register notices with regard to the sanctions lists administered by OFAC may be published at any time. Users are advised to check the Federal Register and these electronic publications routinely for additional names or other changes to the listings. Entities and individuals on the list are occasionally licensed by OFAC to transact business with U.S. persons in anticipation of removal from the list or because of foreign policy considerations in unique circumstances. Licensing in anticipation of official Federal Register publication of a notice of removal is reflected in these publications by removal from the list. Technical Specification: Format *.del consists of records separated by carriage returns (ASCII character 13), with fields (values) within records delimited by the "@" symbol (ASCII character 64). Text values are enclosed by quotation marks (")(ASCII character 34). Format *.ff consists of records separated by carriage returns, with fields within the records beginning at fixed locations. Format *.csv consists of records separated by carriage returns (ASCII character 13), with fields (values) within records delimited by the "," (comma) symbol (ASCII character 44). Format *.PIP consists of records separated by carriage returns (ASCII character 13), with fields (values) within records delimited by the "|" symbol (ASCII character 124). Null values for all four formats consist of "-0-" (ASCII characters 45, 48, 45). The @ Delimited (.del), Comma Separated Values (.csv), Pipe (|) delimited (.pip) and Fixed-Field (.ff) releases consist of four ASCII text files--a main file listing the name of the listing and other information unique to that entity (cons_prim.*), a file of addresses (cons_add.*), a file of alternate names (cons_alt.*), and a spillover file with additional identifying information (cons_comments.*). Addresses and alternate names are linked to particular entries using unique integer values in a linking or primary key column. The integers used are assigned for linking purposes only and do not represent an official reference to that entity. Releases of the database-format files are intended as a service to the user community. OFAC's NS-PLC List, Part 561 List, NS-ISA List, FSE List and SSI lists are published in the Federal Register. All of OFAC's lists are drawn from the same underlying data and every effort has been made to ensure consistency. The Federal Register will govern should differences arise. Due to the nature, urgency, and sensitivity of the programs which OFAC administers and enforces, it may not always be possible to provide advanced notice to users of format changes to the database structure. The files associated with each release are: @ delimited: CONS_PRIM.DEL, CONS_ADD.DEL, CONS_ALT.DEL, CONS_COMMENTS.DEL | delimited: CONS_PRIM.PIP, CONS_ADD.PIP, CONS_ALT.PIP, CONS_COMMENTS.PIP fixed field: CONS_PRIM.FF, CONS_ADD.FF, CONS_ALT.FF, CONS_COMMENTS.FF Comma delimited: CONS_PRIM.CSV, CONS_ADD.CSV, CONS_ALT.CSV, CONS_COMMENTS.CSV XML: consolidated.XML Misc: cons_dat_spec.txt (this file), consolidated.xsd (XML Consolidated List schema). [The Zip Archive contains a total of 19 files] <<>> FORMAT CONSOLIDATED @ DELIMITED Main table, text file name CONS_PRIM.DEL Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number unique record identifier/unique listing identifier 2 SDN_Name text 350 name of entry 3 SDN_Type text 12 type of entry 4 Program text 200 sanctions program name 5 Title text 200 title of an individual 6 Call_Sign text 8 vessel call sign 7 Vess_type text 25 vessel type 8 Tonnage text 14 vessel tonnage 9 GRT text 8 gross registered tonnage 10 Vess_flag text 40 vessel flag 11 Vess_owner text 150 vessel owner 12 remarks text 1000 remarks on entry* Address table, text file name CONS_ADD.DEL Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 Ent_num number link to unique listing 2 Add_num number unique record identifier 3 Address text 750 street address 4 City/ text 116 city, state/province, zip/postal code State/Province/ Postal Code 5 Country text 250 country of address 6 Add_remarks text 200 remarks on address Alternate identity table, text file name CONS_ALT.DEL Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number link to unique listing 2 alt_num number unique record identifier 3 alt_type text 8 type of alternate identity (aka, fka, nka) 4 alt_name text 350 alternate identity name 5 alt_remarks text 200 remarks on alternate identity Record separator: carriage return field (value) delimiter: @ text value quotes: " null: -0- FORMAT CONSOLIDATED | DELIMITED Main table, text file name CONS_PRIM.PIP Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number unique record identifier/unique listing identifier 2 SDN_Name text 350 name of entry 3 SDN_Type text 12 type of entry 4 Program text 200 sanctions program name 5 Title text 200 title of an individual 6 Call_Sign text 8 vessel call sign 7 Vess_type text 25 vessel type 8 Tonnage text 14 vessel tonnage 9 GRT text 8 gross registered tonnage 10 Vess_flag text 40 vessel flag 11 Vess_owner text 150 vessel owner 12 remarks text 1000 remarks on entry* Address table, text file name CONS_ADD.PIP Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 Ent_num number link to unique listing 2 Add_num number unique record identifier 3 Address text 750 street address 4 City/ text 116 city, state/province, zip/postal code State/Province/ Postal Code 5 Country text 250 country of address 6 Add_remarks text 200 remarks on address Alternate identity table, text file name CONS_ALT.PIP Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number link to unique listing 2 alt_num number unique record identifier 3 alt_type text 8 type of alternate identity (aka, fka, nka) 4 alt_name text 350 alternate identity name 5 alt_remarks text 200 remarks on alternate identity Record separator: carriage return field (value) delimiter: | text value quotes: " null: -0- FORMAT CONSOLIDATED FIXED FIELD Main table, text file name CONS_PRIM.FF Column Posi- sequence Column name Type Size tion Description -------- ----------- ------- ---- ---- --------------------- 1 ent_num number 10 10 unique record identifier/unique listing identifier 2 SDN_Name text 350 11 name of entry 3 SDN_Type text 12 361 type of entry 4 Program text 200 373 sanctions program name 5 Title text 200 573 title of an individual 6 Call_Sign text 8 773 vessel call sign 7 Vess_type text 25 781 vessel type 8 Tonnage text 14 806 vessel tonnage 9 GRT text 8 820 gross registered tonnage 10 Vess_flag text 40 828 vessel flag 11 Vess_owner text 150 868 vessel owner 12 Remarks text 1000 1018 remarks on entry* END OF ROW 2018 Address table, text file name CONS_ADD.FF Column Posi- sequence Column name Type Size tion Description -------- ----------- ------- ---- ---- --------------------- 1 Ent_num number 10 1 link to unique listing 2 Add_num number 10 11 unique record identifier 3 Address text 750 21 street address 4 City/ text 116 771 city, state/province, zip/postal code State/Province/ Postal Code 5 Country text 250 887 country of address 6 Add_remarks text 200 1137 remarks on address END OF ROW 1337 Alternate identity table, text file name CONS_ALT.FF Column Posi- sequence Column name Type Size tion Description -------- ----------- ------- ---- ---- --------------------- 1 ent_num number 10 1 link to unique listing 2 alt_num number 10 11 unique record identifier 3 alt_type text 8 21 type of alternate identity (aka, fka, nka) 4 alt_name text 350 29 alternate identity name 5 alt_remarks text 200 379 remarks on alternate identity END OF ROW 579 Record separator: carriage return null: -0- FORMAT CONSOLIDATED CSV Main table, text file name CONS_PRIM.CSV Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number unique record identifier/unique listing identifier 2 SDN_Name text 350 name of entry 3 SDN_Type text 12 type of entry 4 Program text 200 sanctions program name 5 Title text 200 title of an individual 6 Call_Sign text 8 vessel call sign 7 Vess_type text 25 vessel type 8 Tonnage text 14 vessel tonnage 9 GRT text 8 gross registered tonnage 10 Vess_flag text 40 vessel flag 11 Vess_owner text 150 vessel owner 12 Remarks text 1000 remarks on entry* Address table, text file name CONS_ADD.CSV Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 Ent_num number link to unique listing 2 Add_num number unique record identifier 3 Address text 750 street address 4 City/ text 116 city, state/province, zip/postal code State/Province/ Postal Code 5 Country text 250 country of address 6 Add_remarks text 200 remarks on address Alternate identity table, text file name CONS_ALT.CSV Column sequence Column name Type Size Description -------- ------------ ------- ---- --------------------- 1 ent_num number link to unique listing 2 alt_num number unique record identifier 3 alt_type text 8 type of alternate identity (aka, fka, nka) 4 alt_name text 350 alternate identity name 5 alt_remarks text 200 remarks on alternate identity Record separator: carriage return field (value) delimiter: , text value quotes: " null: -0- *SPILLOVER FILES: OFAC has made certain changes to its list production system that now allow for an unlimited number of identifiers, features and linked to identifications to be added to a record. In the fixed-width and delimited files these data are stored in the remarks field. Due to these changes, it is now possible for a record to exceed the 1000 character remarks limitation. Data that exceeds the specified field limit will be truncated to ensure that the current data specification is followed. However, in order to ensure that users of these files continue to have access to truncated data, OFAC has created "spillover files." These files will follow the same data specification of the files they are associated with. However, there will be no upper limit on row length in these files. The spillover file names will be: cons_comments.csv cons_comments.pip cons_comments.ff cons_comments.del These files will be included in the Consolidated zip files and will be listed separately on the OFAC website's Consolidated List page. They will also be listed separately in the /consolidated_list folder of OFAC's FTP sites. THE DISPOSITION OF ALIASES: OFAC classifies aliases as weak or strong. In the data files discussed in this document, weak aliases are not stored in the CONS_alt.* files. Weak aliases are stored in the remarks field that trails every primary record in the CONS_PRIM.* files. For more information on weak aliases please review the following text taken from the frequently asked questions on OFAC's website. What are weak aliases (AKAs)? A “weak AKA” is a term for a relatively broad or generic alias that may generate a large volume of false hits. Weak AKAs include nicknames, noms-de-guerre, and unusually common acronyms. OFAC includes these AKAs because, based on information available to it, the sanctions targets refer to themselves, or are referred to, by these names. As a result, these AKAs may be useful for identification purposes, particularly in confirming a possible “hit” or “match” triggered by other identifier information. Realizing, however, the large number of false hits that these names may generate, OFAC qualitatively distinguishes them from other AKAs by designating them as weak. OFAC has instituted procedures that attempt to make this qualitative review of aliases as objective as possible. Before issuing this updated guidance, OFAC conducted a review of all aliases on the SDN list. Each SDN alias was run through a computer program that evaluated the potential of an alias to produce false positives in an automated screening environment. Names were evaluated using the following criteria: Character length (shorter strings were assumed to be less effective in a screening environment than longer strings); The presence of numbers in an alias (digits 0-9); The presence of common words that are generally considered to constitute a nickname (example: Ahmed the Tall); References in the alias to geographic locations (example: Ahmed the Sudanese); The presence of very common prefixes in a name where the prefix was one of only two strings in a name (example: Mr. Smith). Aliases that met one or more of the above criteria were flagged for human review. OFAC subject matter experts then reviewed each of the automated recommendations and made final decisions on the flagging of each alias.* OFAC intends to use these procedures to evaluate all new aliases introduced to its various lists. Where can I find weak aliases (AKAs)? Weak AKAs appear differently depending on which file format of the Consolidated List is utilized. In the TXT and PDF versions of the NS-PLC, Part 561 List, NS-ISA List, FSE List and the SSI List, weak AKAs are encapsulated in double-quotes within the AKA listing: ALLANE, Hacene (a.k.a. ABDELHAY, al-Sheikh; a.k.a. AHCENE, Cheib; a.k.a. "ABU AL-FOUTOUH"; a.k.a. "BOULAHIA"; a.k.a. "HASSAN THE OLD"); DOB 17 Jan 1941; POB El Menea, Algeria (individual) [SDGT] This convention also is followed in the alphabetical listing published in Appendix A to Chapter V of Title 31 of the Code of Federal Regulations. In the DEL, FF, PIP, and CSV file formats, weak AKAs are listed in the Remarks field (found at the end of the record) of the Consolidated file. In these formats, weak AKAs are bracketed by quotation marks. 8219@"ALLANE, Hacene"@"individual"@"SDGT"@-0- @-0- @-0- @-0- @-0- @-0- @-0- @"DOB 17 Jan 1941; POB El Menea, Algeria; a.k.a. 'ABU AL-FOUTOUH'; a.k.a. 'BOULAHIA'; a.k.a. 'HASSAN THE OLD'." In the XML version of the Consolidated List, there is a Type element for each AKA. The Type can either be 'weak' or 'strong' (see the XML Schema (XSD file) at: http://www.treasury.gov/ofac/downloads/consolidated/consolidated.xsd for more information). Am I required to screen for weak aliases (AKAs)? OFAC’s regulations do not explicitly require any specific screening regime. Financial institutions and others must make screening choices based on their circumstances and compliance approach. As a general matter, though, OFAC does not expect that persons will screen for weak AKAs, but expects that such AKAs may be used to help determine whether a “hit” arising from other information is accurate. Will I be penalized for processing an unauthorized transaction involving a weak alias (AKA)? A person who processes an unauthorized transaction involving a designated person has violated U.S. law and may be subject to an enforcement action. Generally speaking, however, if (i) the only sanctions reference in the transaction is a weak AKA, (ii) the person involved in the processing had no other reason to know that the transaction involved a designated person or was otherwise in violation of U.S. law, and (iii) the person maintains a rigorous risk-based compliance program, OFAC will not issue a civil penalty against an individual or entity for processing such a transaction.