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Guidelines for Submitting Electronic Productions to OFAC

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Submission Requirements

When submitting electronic productions to the Office of Foreign Assets Control (OFAC), it’s essential to follow these guidelines:

  • All attachments related to a single submission should have the same root name.
  • All documents included in submissions should be labeled with:
    • The OFAC-provided case number (if assigned)
    • The submission date
    • Bates numbers

File Types and Formats

OFAC requires specific file types and formats for electronic productions:

  • PDF files should contain embedded text and have a minimum image quality resolution of 300dpi.
  • Optical Character Recognition (OCR) should be run on all PDF files, with the option to deliver OCR text as multi-page ASCII files or include it in the delimited text file (OCRTEXT field).
  • Page markers should be placed at the beginning or end of each page or image, including the IMAGE ID.

Transactional Data

Transactional data should be produced in Excel-compatible files.

Email Collections and Electronic Messaging Records

Email collections should be submitted as PST or PDF files. Electronic messaging records (e.g., MS Teams) should be submitted in PDF and/or any other format indicated by the OFAC representative handling the investigation.

Images and Audio/Video Recordings

Images should be submitted as CCITT 6.0 (Group 4 Compression) JPG, PDF, or PNG files, with a Bates number for each image. Audio recordings should be submitted in MP3 format, while video recordings should be submitted in MP4 format.

Submission Methods

Submissions can be made using the following methods:

  • Submissions under 150 megabytes can be emailed directly to the OFAC representative handling the case or to OFACDisclosures@treasury.gov (for initial voluntary disclosures).
  • Submissions over 150 megabytes must be sent via the OFAC Secure File Transfer Portal (OSFTP), which allows for submissions of up to 2 gigabytes per submission.

Security and Encryption

To ensure security and encryption, follow these guidelines:

  • Compressed files should be encrypted when appropriate or where data privacy concerns exist, using the Zip format compatible with WinZip.
  • Encrypted data should not be submitted with a third-party decryption application.