OFAC Screening Process: Run and Document an Initial Name Check

An initial OFAC screening check is a documented review of a name against the available OFAC list source. It can surface a possible match for investigation; it does not certify a company or replace a compliance decision.

Before you start

Record the legal name, country, address, registration number and known aliases when available. Note the list source and the date you will use. If an identifier is missing, record that gap instead of filling it with an assumption.

Step 1: preserve the input

Keep the exact name submitted for screening and the normalized form used by the tool. Record punctuation and transliteration variants. This makes the result reproducible and helps explain why a similar name did or did not appear.

Step 2: run the name screen

Use the current [Sanctions Screening guide](https://eximagent.ai/docs/guides/sanctions-screening) to run an initial OFAC name screen. Treat the result as a review queue item. A similarity score or matching name is not proof of identity.

Step 3: compare identifiers

For a possible match, compare country, address, registration details, aliases and other evidence. Separate information that matches from information that conflicts. If the evidence is incomplete, keep the result unresolved and escalate it according to your procedure.

Step 4: document the disposition

Use a clear status such as potential match, false positive, unresolved or escalated. Save the reviewer, timestamp, source, evidence considered and next action. Do not delete the original alert when new evidence changes the decision.

Step 5: set the next review

If the relationship continues, define when the name should be screened again and what event triggers an earlier review. A result is tied to its source and date; it is not a permanent clearance.

A compact record should answer:

- What exact name and identifiers were checked?

- Which OFAC source and date were used?

- What result appeared?

- Who reviewed it and why?

- What action is required next?

Scope note

An initial OFAC name screen is one control. It may not cover beneficial ownership, export controls, local restrictions or every watchlist. Explain those boundaries to the person using the workflow.

Publication note

This is a process guide, not legal advice. It does not certify a counterparty or promise comprehensive compliance coverage.