Module 1: General specifications

Standard ASCII Batch Reporting Instructions and Specifications
May 30, 2015

On this page

• Changes in this Version

1. General Information
2. Acceptance Procedures
3. Batch Submission, Acknowledgement and Modification
   • 3.1 Batch type “A”: Add batch
   • 3.2 Batch acknowledgements
     • 3.2.1 Accepted batch
     • 3.2.2 Rejected batch
   • 3.3 Reports returned for further action (RRFA)
   • 3.4 Modification
     • 4.4.1 Batch type “C”: Correction Batch
     • 3.4.2 F2R
4. General Specifications
   • 4.1 General format requirements
   • 4.2 Mandatory and required fields
   • 4.3 Batch process
5. Batch Report Formatting
   • 5.1 Detailed specification layout – Batch header, sub-header and trailer
     • 5.1.1 Samples of batch headers, sub-headers and trailers
   • 5.2 Batch report format versions 03 and 04
     • 5.2.1 Detailed specification layout (format version 04) — STR
     • 5.2.2 Detailed specification layout (format version 03) — LCTR
     • 5.2.3 Detailed specification layout (format version 03) — non-SWIFT electronic funds transfer reports
   • 6.3 Report structure flowcharts
6. Code Tables and Editing Instructions
   • 6.1 Code tables
   • 6.2 Name editing instructions
7. Acknowledgement Formatting
   • 7.1 Detailed specification layout –batch acknowledgement
     • 7.1.1 General acknowledgement layout
     • 7.1.2 General acknowledgement examples
       • 7.1.2.1 Acknowledgement example for an accepted batch
       • 7.1.2.2 Acknowledgement example for a rejected batch
8. Reports Returned for Further Action Message Formatting
   • 8.1 Detailed specification layout – RRFA message
     • 8.1.1 General RRFA message layout
     • 8.1.2 RRFA Message Example
9. Report Validation and Processing Error Codes
   • 9.1 Report validation rules
   • 9.2 Batch error codes
10. Batch File Naming Convention
    • 10.1 Batch file naming standard
    • 10.2 FINTRAC batch acknowledgement file naming convention
    • 10.3 RRFA batch file naming convention

Changes in this Version

The file formatting specifications in Sections 7 and 8 have changed. The line length has increased from 80 characters to 132 characters. This may require programming changes on your part.

The acknowledgement file formatting specifications in Section 7 have changed to include the validation rule number. This may require programming changes on your part.

The specifications for the reject indicators in Section C6 and Section D2 of the batch acknowledgement message have been changed to reflect what is being generated in the actual message.

The Section 7 accepted batch acknowledgement has been corrected to match the specifications for section D:

• Current output:
• D D = SWIFT session number / Numéro de la séance SWIFT
• D E = SWIFT sequence number / Numéro de la séquence SWIFT

• To be:
• D D = Transaction / Opération
• D E = Disposition / Répartition

Section 9 has been amended to include information concerning the validation of reports submitted by batch.

1. General information

The purpose of this specification document is to provide reporting entities with the requirements and conditions for filing the following reports to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) using the electronic batch file transfer format:

• Suspicious transaction reports (STR)
• Large cash transaction reports (LCTR)
• Outgoing international non-SWIFT electronic funds transfer reports (EFTO)
• Incoming international non-SWIFT electronic funds transfer reports (EFTI)

The specifications defined in Sections 4, 5 and 6 reflect the file characteristics acceptable for submission of electronic batch reports. These must be adhered to unless replaced by a revision to this specification document.

For module 1 only, rather than use a version number for each revision to the module, revisions will show the publishing date as well as the effective date for the specification change if different from the publishing date.

Each revision of modules 2, 3 and 4 will have a different version number. The change in version number will be according to the extent of changes made.

• Change in batch report formats supported
  If the current version number of Module 2, 3 or 4 were to change by a whole number, for example, from 4.2 to 5.0, this would indicate that the batch report formats supported are being changed. This will signal programming changes for you if you are already submitting reports by batch, as the format you are using would no longer be supported.
  
• Change due to legislative amendments
  If the revisions to Module 2, 3 or 4 were to contain changes in reporting requirements but none to format, the version number would change by “0.1”. For example, if the version number were to change from “4.2” to “4.3”, this would indicate changes to the reporting requirements based on amendments to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (the Act) or the related Regulations. This would signal possible programming changes for you, if there were any changes to the reporting requirements applicable to you.
  
• Change due to editorial revisions
  If the revisions to Module 2, 3, or 4 contain changes that are simply editorial, the version number would be changed by “0.0.1”, for example, going from “4.2.1” to “4.2.2”. This indicates changes to clarify text or correct any typographical errors. This type of change does not signal any programming changes for you, unless a legislative change or changes in format were also indicated.

If you need to report international electronic funds transfers (EFTs) sent or received as a SWIFT member or sub-member through the SWIFT network, refer to the specification document called SWIFT Format EFT Transactions Batch Reporting Instructions and Specification for requirements and conditions for filing those reports to FINTRAC.

This document reflects the provisions of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (the Act) and associated Regulations. This document is provided as general information only. It is not legal advice, and is not intended to replace the Act and Regulations. For more information about money laundering, terrorist financing or other requirements under the Act and Regulations, including what type of person or entity is a reporting entity, see FINTRAC’s Guidance page.

Throughout this document, any references to dollar amounts (such as $10,000) refer to the amount in Canadian dollars or its equivalent in foreign currency.

If you have a question about batch reporting that is not answered in this document, refer to the batch questions Q&A section.

2. Acceptance procedures

Approval to participate in batch report filing under this version of these specifications is contingent upon the following:

• Enrolment with FINTRAC;
• Completion of the Public Key Infrastructure (PKI) registration process;
• Installation and configuration of the batch transmission software; and
• Successful completion of test submissions in the batch transmission software training channel for each report type to be submitted by batch.

More information about the PKI registration process and batch transmission software installation can be found in the reporting section of FINTRAC's website.

Each time the format changes for one or more report types that you submit by batch, you will need to go through the acceptance procedure of test submissions. For example, effective June 23, 2008, the format for STRs changed from “03” to “04”. This meant that if you submitted STRs by batch at that time, you would have needed to submit test submissions for that report type using the new format.

You (i.e., the transmitter of the batch files) will be asked to perform test submissions in the batch transmission software training channel, as follows:

• The test data will consist of a set of reports containing the data that you would normally supply. The test file must contain only one batch header, one to five sub-headers, between 25 and 100 reports and only one batch trailer. A minimum of five test files is required.
• The formatting of the batch records must adhere to the specifications explained in Sections 4 and 5. Otherwise, the batch and/or reports will be rejected. If files are unreadable for reasons such as format problems, error messages will be returned identifying the problem(s) through the batch transmission software process.
• Reporting entity location numbers used in test reports data must be valid for the reporting entity. See Part A of STR, Part A of LCTR, Part C of EFTO or Part E of EFTI for more information about these.
• Upon receipt of the test data by FINTRAC, it will be processed and an acknowledgement message, along with any error messages, will be returned to you within two working days.
• If all the reports in four out of five of your test batches are error-free (i.e., they contain the required fields, the file and data fields are formatted correctly and the location numbers are valid), FINTRAC will issue final acceptance for you to begin production submissions. Acceptance will be based on the last five batches submitted to FINTRAC.
• If a test file is incorrectly formatted or test reports contain mandatory field or field format errors, you will have to submit a new set of test data to FINTRAC. You have to correct these errors before FINTRAC will authorize you to submit production reports.

3. Batch submission, acknowledgement and modification

Currently, batches may be sent to FINTRAC at any time of the day and any day of the week. All batches received by FINTRAC will be acknowledged (see Section 3.2).

Batches can only contain reports of one type (STR, LCTR, etc.). Although a batch can contain up to 10,000 reports, the physical batch size cannot exceed 30 megabytes, uncompressed.

The batch file must be placed in the directory in which your batch transmission software is configured to look for files for transfer. Batch submissions can be made in one of the two following types:

• Batch type “A” — Add a new batch of reports (see Section 3.1)
• Batch type “C” — Correct or delete one or more reports from a previously accepted batch (see Section 3.4.1)

Instead of submitting correction batches, you can choose to process any corrections or deletions for STR, LCTR or EFTO and EFTI reports through F2R, FINTRAC's secure website. See Section 3.4.2 for more information.

3.1 Batch type “A”: add batch

The following circumstances require submission of batch type “A”:

• New reports
  If you need to submit reports that were not previously included in a batch, submit them in a new batch (batch type “A”).
• Rejected batch
  If you submitted a batch and it was completely rejected by FINTRAC, you have to make the required corrections and submit the reports from the rejected batch within a proper new batch (batch type “A”).

3.2 Batch acknowledgements

The batch transmission software will contain a log message that your batch file was sent along with an indication that it was successfully transferred to FINTRAC (although not necessarily processed). Once your batch file is processed by FINTRAC, an acknowledgement file will be returned to you through the batch transmission software. This file will contain an acknowledgement that your batch file was received, the number of reports accepted and any associated error messages. It will not include any report content; only batch identifying information and any applicable report error messages.

Any error messages will contain information referring to the report sequence number and your reporting entity report reference number. The error message will also contain the field reference number and the nature of the error. If the batch cannot be processed, a rejection message will be returned to you through the batch transmission software with batch identifying information and applicable error messages.

See Section 7 for more information about how FINTRAC's acknowledgement messages are formatted, including two examples of a general batch acknowledgement message.

3.2.1 Accepted batch

If your batch is accepted, FINTRAC will indicate this in the batch status message (tag C2) in Section C of the acknowledgement file. Section C will also contain the number of reports accepted in your batch.

The acknowledgement will also alert you about any reports requiring correction, as follows:

• Rejected reports (tags C4, D and D2 of the acknowledgement file); or
• Reports that have been accepted but have errors (tags D and D2 of the acknowledgement file).

In this case, you will have to correct those reports, as explained in Section 3.4.

3.2.2 Rejected batch

If your batch is rejected, it will be indicated in the batch status message (tag C2) in Part C of FINTRAC's acknowledgement. This means there are problems with that batch's header, sub-header, trailer or report format. It also means that the reports included in that batch have not been received by FINTRAC. You will have to re-submit them in a new batch, as explained in Section 3.1.

In the case of a rejected batch, FINTRAC will not have any information about the reports it contained. However, if any information is available at the report level, it will be reflected in Tag C6 of your acknowledgement message. A maximum of 40 such messages can be provided to help you correct the reports before you re-submit them in a new batch.

3.3 Reports returned for further action (RRFA)

If there are data quality issues with your accepted reports, FINTRAC may return those reports to you for adjustment. These are called reports returned for further action (RRFA).

For each LCTR or EFTO and EFTI report type that you submit by batch, you can choose to deal with RRFAs through either batch or F2R, as follows:

• If you choose to deal with RRFA by batch, you will receive an RRFA message through the batch transmission software, in a similar manner to how you receive your acknowledgement messages. See Section 8 for more information about how RRFA messages are formatted, including an example of an RRFA message. If an RRFA is sent to you in this manner, you will have to correct the affected reports and re-submit them to FINTRAC in a correction batch as explained in Section 3.4. Your F2R administrator will also be notified by email when an RRFA message has been sent by batch. These returned reports will appear in F2R along with additional messaging to assist you in understanding the data quality issue, but the reports must continue to be corrected and re-submitted by batch.
• If you choose to deal with RRFA through F2R, your F2R administrator will receive the RRFA notifications. These reports will be available in the RRFA report queue in F2R so that the required corrections can be made and the affected reports re-submitted to FINTRAC.

3.4 Modification

The following explains how you can make required modifications to reports that were submitted by batch to FINTRAC.

Modifications are required in the following instances:

• If your acknowledgement file indicates that a batch is accepted but that there were rejected reports or reports with errors, you will have to modify those reports.
• If FINTRAC sends you an RRFA, you will have to make the necessary modifications and re-submit that report as soon as possible.
• You may also need to correct or delete a report for other reasons. For example, if you were to discover that a report contained invalid data or was submitted in error.

How you modify reports depends on whether you wish to submit the modifications through correction batches (type “C”) or through F2R. You can only choose one of the two methods for a particular type of report, and it will apply to any modification required for all such reports.

3.4.1 Batch type “C”: Correction batch

The following applies only if you do not choose to process modifications through F2R. This applies to a processed report with errors as well as a rejected report.

Only the reports being corrected or deleted are to be included in the correction batch. All previously accepted batches can be corrected, by submitting a correction batch with changes to the following:

1. Batch type set to “C”.
2. Sub-header count set to the number of sub-headers in the correction batch.
3. Report count set to the number of reports in the correction batch.
4. Sub-header report count in the applicable sub-headers set to the number of reports in the correction batch.

To correct one or more reports from a previously accepted batch, you must submit a correction batch (batch type “C”) with each complete corrected report. Include the reporting entity report reference number, as used in the original file. ALL FIELDS in each corrected report must be completed with the correct information, NOT JUST THE DATA FIELDS NEEDING CORRECTION. The action code for each report to be corrected has to be set to “C”.

To delete one or more reports from a previously accepted batch, you must also submit a correction batch (batch type “C”). Read the following instructions, depending on the type of report to be deleted:

3.4.2 F2R

F2R is the interface with FINTRAC through which you will be able to administer your location number and user information and send non-batch reports to FINTRAC.

If you select this as an option upon your enrolment with FINTRAC for a particular report type (STR, LCTR or EFTO and EFTI reports), you can process modifications required to your reports of that type through F2R. If you choose this option, you will not send correction batches for those reports. Instead, you will have to make any changes required to accepted reports from previously accepted batches through F2R.

You will be able to access reports from an accepted batch in F2R using your reporting entity report reference number. You will access report content to process your corrections. This includes reports with errors and reports that were rejected from an accepted batch.

For more information about FINTRAC's enrolment process and use of F2R, contact FINTRAC.

4. General Specifications

4.1 General format requirements

The following table identifies the general formatting specifications for completing suspicious transaction reports (STR), large cash transaction reports (LCTR), Outgoing non-SWIFT International EFT Reports (EFTO) and Incoming Non-SWIFT International EFT Reports (EFTI) using the batch file transfer format.

Section 5 provides detailed formatting requirements for each report type. You also have to follow the abbreviations and code standards identified in Section 6.

All records are to be fixed in length as specified in the format descriptions. The physical batch size cannot exceed 30 megabytes, uncompressed.

The standard file characteristics must be in ASCII code page 850 (Western European), upper and lower characters, and English and/or French character set. EBCDIC data format will not be accepted. The code page format 850 must be indicated in the batch header.

All batch headers, sub-headers, report parts and batch trailers must be delimited with carriage return, line feed (<CRLF>). As these may be implicit in certain programs, please ensure that this does not cause blank lines to be inserted.

4.2 Mandatory and required fields

The fields for all reports are established by Regulations. They are either mandatory, mandatory if applicable, or require reasonable efforts to complete, as follows:

• Mandatory: All fields of a report marked with an asterisk (*) have to be completed.
• Mandatory if applicable: The fields that have both an asterisk and “if applicable” next to them have to be completed if they are applicable to you or the transaction being reported.
• Reasonable efforts: For all other fields that do not have an asterisk, you have to make reasonable efforts to get the information. For more information about “reasonable efforts” please refer to:
  • Reporting suspicious transactions to FINTRAC
  • Reporting large cash transactions to FINTRAC

Fields in the batch format indicated by “±” are required for processing purposes, such as those within the batch header, sub-header and trailer blocks.

In certain circumstances, only as directed in the detailed specification layout for each report type, if you need to indicate that a required field in a report is not applicable, enter “N/A” or “n/a”. Do not substitute any other abbreviations or special characters (e.g., “x”, “-” or “*”).

Some parts of a report are only required if applicable. For example, Part C of the STR is only required if the transaction involved an account. The fields within those parts are not required, unless the part is in fact applicable. The parts that are to be excluded if they are not applicable are indicated in the detailed layout for each report in Section 5.2.

Where mandatory and required fields have not been completed, the report may be rejected.

4.3 Batch process

A batch must contain one batch header, at least one batch sub-header, and only one report type (STR, LCTR, EFTO or EFTI). It must also have one batch trailer.

5. Batch Report Formatting

A separate batch must be submitted for each report type. An individual batch file is limited to a maximum of 10,000 reports. The physical batch size cannot exceed 30 megabytes, uncompressed.

The following charts provide details on how to format reports for batch submission to FINTRAC. Section 5.1 provides information concerning a batch header, sub-header and trailer. Section 5.2 provides specifications for each report type, based on batch report format version 03.

5.1 Detailed specification layout – Batch header, sub-header and trailer

5.1.1 Samples of batch headers, sub-headers and trailers

As explained in Section 5.1, you must have one batch header, at least one sub-header, and one batch trailer for each batch you send to FINTRAC. Sub-headers are part of the batch format to allow you to group reports within a batch according to your organizational structure or any other grouping need. The use of different sub-headers is optional, but you must include at least one sub-header in a batch.

The following examples illustrate two possible scenarios regarding the use of batch headers and sub-headers.

Example 1

A reporting entity called “ABC and Company” is sending three suspicious transaction reports in a production batch. Their reporting entity identifier is 0004567 and their PKI certificate identifier is 1234567890. The contact person is John Smith and Mr. Smith's telephone number is 416-555-5555 (no extension). ABC and Company does not wish to group reports within a batch.

1A850STR 0004567SMITH     JOHN     416-555-5555     0000012345678902005071923155500001A000010000303P
1B00001ABC AND COMPANY 	  00003
       Report 1
       Report 2
       Report 3
1C00001

Example 2

A reporting entity called “Entity X” operates in several different geographical locations (Location A, Location B, etc.) and wishes to group their reports by location. In this case, the reporting entity would include a different sub-header for each location. Their reporting entity identifier is 0000567 and their PKI certificate identifier is 7771234567. The contact person is John Brown and Mr. Brown's telephone number is 416-666-6666 (no extension). To send a batch with a total of five LCTR reports (three from Location A and two from Location B), they would use two sub-headers, as follows:

1A850LCTR 0000567BROWN    JOHN    416-666-6666    0000077712345672005071923155500001A000020000503P
1B00001   LOCATION A      00003
          Report 1 from Location A
          Report 2 from Location A
          Report 3 from Location A
1B00002   LOCATION B      00002
          Report 1 from Location B
          Report 2 from Location B
1C00001

5.2 Batch report format versions 03 and 04

The specifications for LCTR, EFTI and EFTO are based on batch report format version “03”.The specifications for STR are based on batch format version “04”.

5.2.1 Detailed specification layout (format version 04) — STR

These are published in Module 2.

5.2.2 Detailed specification layout (format version 03) — LCTR

These are published in Module 3.

5.2.3 Detailed specification layout (format version 03) — non-SWIFT electronic funds transfer reports

These are published in Module 4.

5.3 Report structure flowcharts

These are published in Modules 2, 3 and 4, according to the report type.

6. Code Tables and Editing Instructions

6.1 Code tables

The following code tables are available for download from the technical documentation area in the batch documentation section of FINTRAC's website. These apply to all reports submitted to FINTRAC through standard batch format reporting.

• Country codes based on ISO 3166
• Province/State codes:
  • Canadian province or territory codes
  • Mexican State codes
  • United States (U.S.) State codes
• Currency codes
  The rows without shading (or without brackets in txt format) in this table contain current currency codes on ISO 4217. The shaded rows (or the rows with brackets in txt format) provide retired codes that are not on the current ISO 4217 list.
  
• Standard word abbreviations
  All the abbreviations listed in this table are singular. They may be changed from singular to plural by the addition of the letter 's'
• Street type names and abbreviations

6.2 Name editing instructions

To enter the name of an individual, use the specific individual name fields (Surname, Given name, Other name/initial). When completing these fields, delete any titles, prefixes, suffixes or other descriptive information such as Mr., Mrs., Dr., Reverend, Partner, or Trustee. Do not delete suffixes that distinguish family members such as Jr., Sr., III or IV. Such suffixes should be included in the fields for “Other name/initial” (e.g., for an individual whose name includes the initial “S” as well as the suffix “Junior”, the “Other name/initial” field would be completed as follows: S JR). Do not include any punctuation (e.g. “JR.” would be submitted as “JR”).

For entity and business names, use the non-delimited entity name fields.

7. Acknowledgement Formatting

The following charts provide details on how FINTRAC's acknowledgement files are formatted for batches submitted to FINTRAC.

7.1 Detailed specification layout – batch acknowledgement

7.1.1 General acknowledgement layout

The following tables outline the format for the acknowledgement messages returned to you once a batch has been processed by FINTRAC. All tag fields are three characters, left justified and space-filled.

Note: The legend will be sent with all acknowledgements.

7.1.2 General acknowledgement examples

7.1.2.1 Acknowledgement example for an accepted batch

Note: Due to space constraints this example is not padded to 132 characters.

A  Your batch has been processed. / Votre lot a été traité.

A2 Report type / Genre de déclaration       : LCTR 
A3 Batch type  / Catégorie de lot           : A 
A4 Operational mode / Mode opérationnel     : P
A5 Date batch processed by FINTRAC / Date de traitement par CANAFE  : 20050723
A6 Time batch processed by FINTRAC / Heure de traitement par CANAFE : 041733

B  Batch ID / Identification du lot				
B2 Date / Date                                                      : 20050722
B3 Time / Heure                                                     : 234527
B4 Batch sequence ID / Numéro séq. d'identification du lot          : 00003

C  Batch processing messages / Messages portant sur le traitement du lot
C2 Batch accepted / Lot accepté
C3 Sub-headers accepted / Sous-en-têtes de lot acceptés	            : 00001
C4 Reports rejected / Déclarations rejetées                         : 1
C4 Duplicate reports ignored / Déclarations en double mises de côté : 0
C4 Reports deleted / Déclarations supprimées                        : 0
C4 New reports accepted / Nouvelles déclarations acceptées          : 3
C4 Total reports processed / Nombre de déclarations traitées        : 4

D  Messages on accepted reports, reports in error and reports rejected
D  Messages portant sur les décl. acceptées, avec des erreurs et rejetées
D  A = Sub-header / Sous-en-tête
D  B = Report sequence / Séquence de la déclaration
D  C = RE report reference number / Numéro de référence de la déclaration de l'ED  
D  D = Transaction / Opération
D  E = Disposition / Répartition
D  F = Field / Champ
D  G = Message code / Code de message
D  * = Reject indicator / Indicateur de rejet
D  H = Validation rule number / Numéro de la règle de validation

D     A       B               C              D      E        F        G      H
D2 : 1     : 1     : Report97000000       : 1    : 1      : B1.7a  : 320* : 28765
D2 : 1     : 2     : Report97100000       : 1    : 1      : B1.7a  : 320  : 28765
D2 : 2     : 3     : Report97200000       : 1    : 1      : B1.7a  : 320  : 28765

E  Accepted sub-header and report processing totals
E  Nombre de sous-en-têtes acceptés et de déclarations traitées avec succès
E  Sub-header	      Report count
E  Sous-en-tête	      Nombre de déclarations
E2 : 1                : 4

F  End of report / Fin du rapport
============================================================================ 
Legend / Légende

A   Section contains summary of the batch processed
A   Cette section présente des renseignements sur le traitement du lot 
A2  Report type contained in the batch / Genre de décl. comprises dans le lot
A3  Batch type / Catégorie de lot
A4  Operational mode / Mode opérationnel
A5  Date processed by FINTRAC / Date de traitement par CANAFE
A6  Time processed by FINTRAC / Heure de traitement par CANAFE

B   Section contains batch identification details
B   Cette section présente des renseignements sur l'identification du lot
B2  Date provided in the batch header / Date indiquée dans l'en-tête de lot
B3  Time provided in the batch header / Heure indiquée dans l'en-tête de lot
B4  Seq. provided in the batch header / Séq. indiquée dans l'en-tête de lot

C   Section contains batch processing results
C   Cette section présente les résultats du traitement du lot 
C2  Batch acceptance or reject message / Message d'acceptation ou de rejet du lot 
C3  Number of sub-headers accepted / Nombre de sous-en-têtes acceptés
C4  Number of reports rejected / Nombre de déclarations rejetées
C4  Number of duplicate reports ignored / Nombre de décl. en double mises de côté
C4  Number of reports deleted / Nombre de décl. supprimées 
C4  Number of new reports accepted / Nombre de nouvelles déclarations acceptées
C4  Number of reports processed / Nombre de déclarations traitées
C5  Rejected batch legend / Légende de rejet de lot
C6  Rejected batch messages / Messages de rejet de lot

D   Section contains validation messages for reports
D   Cette section présente les messages de validation des déclarations
D2  Validation messages for report fields (repeating message line)
D2  Messages de validation des champs de la décl.(ligne répétitive du message)

E   Section contains the total number of reports per sub-header in the batch
E   Cette section présente le nombre total de déclarations incluses dans chaque
E     sous-en-tête de lot
E2  For each sub-header, the number of reports (repeating message line)
E2  Nombre de déclarations par sous-en-tête (ligne répétitive du message)

F   Section indicates end of the acknowledgement messages
F   Cette section indique la fin des messages de l'accusé de réception

7.1.2.2 Acknowledgement example for a rejected batch

Note: Due to space constraints this example is not padded to 132 characters.

A  Your batch has been processed. / Votre lot a été traité.

A2 Report type / Genre de déclaration       : LCTR 
A3 Batch type  / Catégorie de lot           : A 
A4 Operational mode / Mode opérationnel     : P
A5 Date batch processed by FINTRAC / Date de traitement par CANAFE  : 20050723
A6 Time batch processed by FINTRAC / Heure de traitement par CANAFE : 014532

B  Batch ID / Identification du lot				
B2 Date / Date                                                      : 20050722
B3 Time / Heure                                                     : 234527
B4 Batch sequence ID / Numéro séq. d'identification du lot          : 00003

C  Batch processing messages / Messages portant sur le traitement du lot
C2 Batch accepted / Lot accepté
C3 Sub-headers accepted / Sous-en-têtes de lot acceptés	            : 00001
C4 Reports rejected / Déclarations rejetées                         : 3
C4 Duplicate reports ignored / Déclarations en double mises de côté : 0
C4 Reports deleted / Déclarations supprimées                        : 0
C4 New reports accepted / Nouvelles déclarations acceptées          : 0
C4 Total reports processed / Nombre de déclarations traitées        : 0
C5 A = Sub-header sequence number / Numéro séquentiel du sous-en-tête
C5 B = Report sequence number / Numéro séquentiel de la déclaration
C5 C = RE report reference number / Numéro de référence de déclaration de l'ED
C5 D = Transaction / Opération
C5 E = Disposition / Répartition
C5 F = Field / Champ
C5 G = Reject code / Code de rejet
C5 * = Reject indicator / Indicateur de rejet

C5    A       B               C              D      E        F        G  
C6 : 1     : 1     : 111111234567         : 1    :        : A.1A   : 411*
C6 : 1     : 2     : 111111234568         : 1    :        : A.1A   : 411*
C6 : 1     : 3     : 111111234569         : 1    :        : A.1A   : 411*

F  End of report / Fin du rapport
============================================================================ 
Legend / Légende

A   Section contains summary of the batch processed
A   Cette section présente des renseignements sur le traitement du lot 
A2  Report type contained in the batch / Genre de décl. comprises dans le lot
A3  Batch type / Catégorie de lot
A4  Operational mode / Mode opérationnel
A5  Date processed by FINTRAC / Date de traitement par CANAFE
A6  Time processed by FINTRAC / Heure de traitement par CANAFE

B   Section contains batch identification details
B   Cette section présente des renseignements sur l'identification du lot
B2  Date provided in the batch header / Date indiquée dans l'en-tête de lot
B3  Time provided in the batch header / Heure indiquée dans l'en-tête de lot
B4  Seq. provided in the batch header / Séq. indiquée dans l'en-tête de lot

C   Section contains batch processing results
C   Cette section présente les résultats du traitement du lot 
C2  Batch acceptance or reject message / Message d'acceptation ou de rejet du lot 
C3  Number of sub-headers accepted / Nombre de sous-en-têtes acceptés
C4  Number of reports rejected / Nombre de déclarations rejetées
C4  Number of duplicate reports ignored / Nombre de décl. en double mises de côté
C4  Number of reports deleted / Nombre de décl. supprimées 
C4  Number of new reports accepted / Nombre de nouvelles déclarations acceptées
C4  Number of reports processed / Nombre de déclarations traitées
C5  Rejected batch legend / Légende de rejet de lot
C6  Rejected batch messages / Messages de rejet de lot

D   Section contains validation messages for reports
D   Cette section présente les messages de validation des déclarations
D2  Validation messages for report fields (repeating message line)
D2  Messages de validation des champs de la décl.(ligne répétitive du message)

E   Section contains the total number of reports per sub-header in the batch
E   Cette section présente le nombre total de déclarations incluses dans chaque
E     sous-en-tête de lot
E2  For each sub-header, the number of reports (repeating message line)
E2  Nombre de déclarations par sous-en-tête (ligne répétitive du message)

F   Section indicates end of the acknowledgement messages
F   Cette section indique la fin des messages de l'accusé de réception

8. Reports Returned for Further Action Message Formatting

The following charts provide details on how the message files from FINTRAC about reports returned for further action (RRFA) are formatted.

8.1 Detailed specification layout – RRFA message

8.1.1 General RRFA message layout

The following tables outline the format for RRFA messages that will be sent to you by FINTRAC if you choose to deal with RRFA by batch for reports that were originally submitted by batch. All tag fields are three characters, left justified and space-filled.

8.1.2 RRFA Message Example

Note: Due to space constraints this example is not padded to 132 characters.

A  Please review and correct the following report(s):
A  Veuillez réviser et corriger la ou les déclaration(s) suivante(s) :

A2 Report type / Genre de déclaration                : LCTR
A3 Date issued by FINTRAC / Date d'envoi par CANAFE  : 20060523

B  RRFA identification / Identification de la DRM
B2 RRFA number / Numéro de la DRM                                     : 99
B3 Number of batches involved / Nombre de lots impliqués              : 2
B4 Number of reports returned / Nombre de déclarations retournées     : 4
B5 Number of quality issues / Nombre de problèmes de qualité          : 5

C  Data quality issues / Problèmes de qualité 
C2 A = RE's identifier number / Numéro d'identification de l'ED
C2 B = Batch date / Date du lot 
C2 C = Batch time / Heure du lot 
C2 D = Batch sequence ID / Numéro séq. d'identification du lot
C2 E = RE report reference number / Numéro de référence de déclaration de l'ED
C2 F = Report part and field number / Numéros de partie et du champ de la décl.
C2 G = Transaction / Opération
C2 H = Disposition / Répartition
C2 I = Quality issue code / Code du problème de qualité

C3      A          B         C       D              E         F     G   H   I
C4 : 1211379 : 20061028 : 000523 : 00003 : XT007889944100 : B1.7  : 1 :   : 329
C4 : 1211379 : 20061028 : 000523 : 00003 : XT007889944100 : B2.8A : 1 : 1 : 442
C4 : 1211379 : 20061029 : 001725 : 00004 : 00QZ0078952123 : C.1   : 1 : 1 : 77
C4 : 1211379 : 20061029 : 001725 : 00004 : 00RG0078751167 : C.2   : 1 : 1 : 77 

D  End of report / Fin du rapport
=================================================================================================== 

9. Report Validation and Processing Error Codes

9.1 Report validation rules

Report validation rules apply at the field level to reports within an accepted batch to ensure that reports are error-free (i.e., they contain the required fields, the fields are formatted correctly, and the data is valid). Validation messages returned in Section D of the batch acknowledgement file identify rejected reports and provide warnings about accepted reports based on these validation rules.

A report validation rules table is available for download. The table provides a description of the validation applied to each field within the reports.

9.2 Batch error codes

Batch processing error codes are returned in Section C (for a rejected batch) and Section D (for an accepted batch) of the batch acknowledgement file. Error codes are also found in Section C of the RRFA message to identify quality issues. A code table for these error messages is available for download in the technical documentation.

In the error code table, certain error codes (e.g., codes 400 to 439) are used when an entire batch file is rejected. In the case of a rejected batch, the error codes in the acknowledgement file will reflect our attempt to process the batch. It is possible that there were other errors that we did not get far enough to detect.

Other error codes (such as 9, 77, 300 to 372, 442, and 978 to 999) apply at the field level to reports within an accepted batch. These error codes explain why a report was rejected or a why a warning message was received about an accepted report.

10. Batch File Naming Convention

The following provides batch file naming recommendations to ensure all batch files for a reporting entity have a unique name.

10.1 Batch file naming standard

Use the following naming convention for your batch files: Date_Time_Report Type.FileExtension Each element of this naming convention is required, except for the report type, as follows:

• The date is required (YYYYMMDD).
• The time is required (HHMMSS).
• The report type is optional (STR, LCTR, EFTO or EFTI).
• One of the following file extensions is required: “.DAT”, “.DATA” or “.TXT”. The batch will be refused for any other file extension values.

Example:         20050722_223915_LCTR.DAT

File names may only include standard upper/lower case alphanumeric characters (A to Z and 0 to 9). The only separator allowed is the underscore character “_”. The file name must only have one dot extension (e.g., .dat). File names containing spaces will cause the file to be rejected.

In this context, the upper case of any letter is considered the same as the lower case of that letter. For example, a batch file name of 20050722_223915_LCTR.DAT is considered the same as 20050722_223915_lctr.DAT.

All batch files that you submit to FINTRAC must have a unique file name, regardless of the file contents, or the file will be rejected. This is true even if the previously submitted file had been rejected or if you are submitting a correction batch.

10.2 FINTRAC batch acknowledgement file naming convention

FINTRAC's acknowledgement file returned to you will have the same name as your original batch file name, but with a different suffix. For batch files with no batch reject or report validation messages the suffix will be “.001”. For those files with reject or validation messages, the suffix will be as follows:

• file_name.002: All reports accepted but some warning messages
• file_name.004: Batch accepted but some rejected reports
• file_name.005: Batch rejected for structural reasons (bad file name, invalid contents, report counts do not match, etc.)

10.3 RRFA batch file naming convention

The following naming convention will be used by FINTRAC for the RRFA notification file sent to you:

• RRFA_DRM_999999999.txt

The “999999999” represents the RRFA number reflected in Tag B2 of the RRFA message.