OFAC Potential Match Investigation Form

Form for documenting due diligence on a potential OFAC sanctions match, comparing identifiers, recording the investigation trail, and capturing the final block-or-clear decision.

Submission Notice

• Purpose of submission
• Anonymous submission
  Select only if your workflow allows anonymous submission for internal triage and no direct follow-up is needed.
• PII and compliance record acknowledgment
  I understand this form collects limited PII and compliance data for sanctions screening, audit trail, and recordkeeping purposes.

Alert and Screening Details

• Alert ID
• Screening date
• Screening system
• Alert type
• Source record reference
  Reference the internal customer, vendor, transaction, or shipment record tied to the alert. Avoid entering full account numbers unless required by policy.

Matched Party and Identifier Comparison

• Screened party name
• OFAC list name
• Identifier comparison
  Document the identifiers reviewed and whether they matched, partially matched, or did not match.
• Identifier comparison notes
  Summarize the key similarities and differences, including any progressive disclosure items that were reviewed only if relevant.

Due Diligence and Escalation

• Review steps completed
• Supporting documents
  Upload only the documents necessary to support the investigation and decision.
• Escalation required?
• Escalation details
  Show only if escalation is required. Include who was notified, when, and the reason for escalation.
• Audit trail notes
  Record the chronology of the review, including timestamps, reviewer names or roles, and key decision points.

Decision and Outcome

• Final decision
• Decision rationale
• Blocking or rejection action taken
  Select if the transaction, account, or relationship was blocked, rejected, or otherwise restricted.
• Next review date
  Set if the matter remains open or requires follow-up monitoring.