XML Batch Reporting Instructions and Specifications

MODULE 1

May 30, 2015

Table of Contents

Changes in this Version

  1. General Information
  2. Acceptance Procedures
  3. Batch Submission, Acknowledgement and Modification
  4. General Specifications
  5. Code Tables
  6. Acknowledgement from FINTRAC
  7. Reports returned for further action (RRFA)
  8. Report Validation and Processing Error Codes
  9. External File Name

Changes in this Version

Validation rules

The acknowledgment file formatting specifications in Section 6 has changed to include the validation rule number. This may require programming changes on your part.

Section 8 of this module 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 XML batch file transfer format:

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

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

This document reflects the provisions of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (the Act) and the related Regulations, that is, the Proceeds of Crime (Money Laundering) and Terrorist Financing 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 the appropriate guideline from the Guidelines page of FINTRAC's website.

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.

2 Acceptance Procedures

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

More information about the PKI registration process and batch transmission software installation can be found in the reporting section of FINTRAC's website
(http://www.fintrac-canafe.gc.ca).

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, if the format for CDRs changes from "1.0" to "2.0" and you submit CDRs by batch, you will need 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 a batch transmission software training channel, as follows:

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 subsection 3.1).

A separate batch must be submitted for each report type. The physical batch size cannot exceed 5 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.

To submit a new batch of CDRs, see module 2. To respond to a report returned by FINTRAC, see subsection 3.2. To submit a modification, see subsection 3.3. Even if you submit reports by batch, you can choose to process any corrections or deletions for reports through F2R, FINTRAC's secure website. See Section 3.3.2 for more information.

3.1 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 reporting entity report reference number (OrganizationReportReferenceIdentifier). The error message will also contain the data element and the associated error code. 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 6 for more information about how FINTRAC's acknowledgement messages are formatted, including two examples of a general Batch acknowledgement message.

3.1.1 Accepted batch

If your batch is accepted, FINTRAC will indicate this in the batch status message (ExternalFileProcessStatusCode) in the ReportSubmissionResponseXmlFile. The acknowledgement will also contain the number of reports accepted in your batch.

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

In this case, you will have to correct those reports, as explained in subsection 3.3.

3.1.2 Rejected batch

If your batch is rejected, it will be indicated in the batch status message (ExternalFileProcessStatusCode) in the ReportSubmissionResponseXmlFile. This means there are problems with that batch's 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 resubmit them in a new batch.

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 the ReportSubmissionResponseLineItem of your acknowledgement.

3.2 Reports returned for further action (RRFA)

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

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

3.3 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:

How you modify reports depends on whether you wish to submit the modifications through correction batches 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.

Subsection 3.3.1 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.

3.3.1 Corrections by batch

To correct one or more reports from a previously accepted batch, you must submit the complete corrected report with the ActionCode = "2" (Change). ALL FIELDS in each corrected report must be completed with the correct information, NOT JUST THE DATA ELEMENTS NEEDING CORRECTION.

To delete one or more reports from a previously accepted batch, you must submit the report with the ActionCode = "5" (Delete). Read the following instructions, depending on the type of report to be deleted:

Deleting a CDR

To delete a CDR from a previously accepted batch, you need not submit the complete report to be deleted in the correction batch. Only the following elements are to be completed to delete a report:

Example of a batch file to delete a report
<?xml version="1.0" encoding="UTF-8"?>
<CasinoDisbursementReportXmlFile ModelVersionNumber="1.0">
 <ReportSubmissionFileHeader>
  <SubmitOrganizationNumber>10090</SubmitOrganizationNumber> 
  <ExternalFileName>20091010_1101112_CDR.xml </ExternalFileName> 
  <ReportTypeCode>13</ReportTypeCode> 
  <OperationModeCode>2</OperationModeCode> 
  <PkiCertificateNumber>1211379999</PkiCertificateNumber> 
 </ReportSubmissionFileHeader>
 <CasinoDisbursementReport ActionCode="5" 
 CasinoDisbursementReportSequenceNumber="1">
  <ReportHeader>
   <OrganizationNumber>10090</OrganizationNumber> 
   <OrganizationReportReferenceIdentifier> Report01
   </OrganizationReportReferenceIdentifier> 
   <TwentyFourHourRuleCode>0</TwentyFourHourRuleCode> 
   <ReportContactInformation>
    <IndividualName>
     <Surname>Le Caré</Surname> 
     <GivenName>John</GivenName> 
    </IndividualName>
    <BusinessTelephone>
     <TelephoneNumber>613-888-8888</TelephoneNumber> 
    </BusinessTelephone>
   </ReportContactInformation>
  </ReportHeader>
 </CasinoDisbursementReport>
 <ReportSubmissionFileTrailer>
  <ReportCount>1</ReportCount> 
 </ReportSubmissionFileTrailer>
</CasinoDisbursementReportXmlFile>
	

3.3.2 Corrections in F2R

F2R is the interface through which you will be able to administer your locations 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 (CDR, 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, reports returned for further action (RRFAs) will be sent to you via F2R.

You will be able to access previously accepted reports in F2R using the reporting entity report reference number. You will access report content to process your corrections.

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

4 General Specifications

4.1 General format requirements

The following information describes the general formatting specifications for completing reports using the XML batch file transfer format.

4.1.1 Prerequisites

The reader of this document should have the following:

Submitting your information to FINTRAC via batch involves creating an XML file formatted according to FINTRAC's XML schema. The schema is a file that defines rules by which the XML file must be constructed. It specifies which fields are required and which are optional. To some extent, it constrains the makeup of the data that can be included in the XML file. The schema file will be provided to you by FINTRAC. Use it to validate your XML batch files prior to submitting them to FINTRAC.

4.1.2 Character sets

FINTRAC XML specification documents use the UTF-8 charset using code page 10646 as the default character encoding mechanism.

4.1.3 Schema versioning

The version number is an integral part of the message name.

4.1.4 Conventions used in XML specifications documents

The following conventions are used in FINTRAC's XML specifications documents:

GENERAL FORMAT REQUIREMENTS
GENERAL FORMAT REQUIREMENTS
Format Element Comment

sequence with mandatory and optional elements

Indicates a sequence with mandatory and optional elements

required element

Required element

optional element

Optional element

required sub node

Required sub node

optional sub node

Optional sub node, 0 to N values

optional

Optional, but one of the two nodes should be provided

Date

YYYYMMDD (year/month/day)

Time

HHMMSS - Use the 24-hour clock
Hour (from 00 to 23), minutes (from 00 to 59) and seconds (from 00 to 59).
Examples: 1 o'clock PM = 130000 or 2:45 PM = 144500.

Address

If there is an apartment, suite or unit number, place the number at the start of the street address.
Enter entire names or use codes from appropriate code tables (see section 5).
If the address is in Canada, the appropriate fields must contain a valid Canadian province or territory and a postal code. If the address is in the United States or Mexico, the appropriate field must contain a valid state, and in the case of an address in the United States, a valid zip code. Refer to the relevant code tables (see section 5) for provinces, territories and states.
If the address is outside Canada and the United States and has no province/state or postal/zip code, those elements can be empty.

Postal codes

No embedded spaces or dashes (-).
Canada: X9X9X9
US: 99999 or 999999999

Telephone numbers

Must include area codes
Canada and US: 999-999-9999
For others, include country code, city code and local number: 999-9999-9999-9999

Reporting entity report reference number

Can contain letters from A to Z and numbers from 0 to 9. Do not use any special characters, such as "-", "#", etc., in this reference number.
Each report submitted by the same reporting entity has to have a unique number. In this context, the upper case of any letter is considered the same as the lower case of that letter. For example, a report reference number of ABC123 is considered the same as the report reference number abc123.

Decimal place

For an amount of money, the format requires a fixed decimal place, with two decimal places.
Do not include currency indicator (such as, "£", "€" or "$").
FINTRAC will only accept '.' as a decimal place notation.
For example, 12345.00 represents the amount of $12,345.00

Alpha character

Upper case and lower case letters

Numeric character

Numbers from 0 to 9

Character

Any character accepted under the UTF-8 charset can be used except for the following five predeclared entities that must be escaped:

& or "ampersand" &amp;
< or "less than" &lt;
> or "greater than" &gt;
' or "apostrophe" &apos;
" or "quotation mark" &quot;

SequenceNumber

The first sequence number for a particular element should begin at "1". Use "2" for the second sequence number, etc.

*

Denotes a mandatory field as prescribed in the Regulations.


5 Code Tables

The following code tables are available for download from the technical documentation area in the publications section of FINTRAC's website:

6 Acknowledgement from FINTRAC

6.1 General acknowledgment layout

The following tables outline the format for the acknowledgement files sent to you once a batch has been processed by FINTRAC.

?xml (XML declaration)

Acknowledgement from FINTRAC
Definition:

This is the top level XML declaration which specifies the version of XML being used.

Attributes:

version:
fixed: "1.0"
encoding:
fixed: "UTF-8"

Limits:

Mandatory for processing
One per submission instance

Example: <?xml version="1.0" encoding="UTF-8" ?>
Remarks:

This declaration is required to be alone on the first line of the file. The version number and encoding are fixed to the version of the schema.

ReportSubmissionResponseXmlFile (Root element)

ReportSubmissionResponseXmlFile

ReportSubmissionResponseXmlFile (Root element)
Definition:

This is the container for the following batch file contents:
ReportSubmissionResponseFileHeader
ReportSubmissionResponseLineItem
ReportSubmissionResponseFileTrailer

Attributes:
Limits:

Mandatory for processing
One per submission instance

Example: <ReportSubmissionResponseXmlFile>…</ReportSubmissionResponseXmlFile>
Remarks:

ReportSubmissionResponseFileHeader (Batch header)

ReportSubmissionResponseFileHeader

Batch header
Definition:

This is the container for the report acknowledgement file contents.

Attributes:
Limits:

Mandatory for processing
One per ReportSubmissionResponseXmlFile

Example:
<ReportSubmissionResponseFileHeader>
                 <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
                 <ExternalFileName>20090928_223915_CDR.XML</ExternalFileName>
                 <ExternalFileSequenceNumber>1</ExternalFileSequenceNumber>
                 <ReportTypeCode>13</ReportTypeCode>
                 <OperationModeCode>2</OperationModeCode>
                 <PkiCertificateNumber>1211379999</PkiCertificateNumber>
                 <ExternalFileStatusCode>1</ExternalFileStatusCode>
                 <ReportAcceptCount>750</ReportAcceptCount>
                 <ReportRejectCount>0</ReportRejectCount>
                </ReportSubmissionResponseFileHeader>
			
Remarks:

This element uniquely identifies the XML batch file submitted to FINTRAC that is the subject of the acknowledgement file from FINTRAC.

SubmitOrganizationNumber (Organization's identifier number)

SubmitOrganizationNumber

Organization's identifier number
Definition:

This is the identifier number assigned to the individual or institution who transmitted the file being acknowledged.

Attributes:
Limits:

Mandatory for processing
1 to 7 numeric characters
One per ReportSubmissionResponseFileHeader

Example: <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
Remarks:

ExternalFileName (Batch file name)

ExternalFileName

Batch file name
Definition:

This is the identifier for the batch report file being acknowledged.

Attributes:
Limits:

Mandatory for processing
1 to 80 characters
One per ReportSubmissionResponseFileHeader

Example: <ExternalFileName>20091010_1101112_CDR.xml</ExternalFileName>
Remarks:

Names should not contain spaces or dashes

ExternalFileSequenceNumber (Batch sequence number)

ExternalFileSequenceNumber

Batch sequence number
Definition:

This number represents the "nth" time the external file name was submitted to FINTRAC.

Attributes:
Limits:

Mandatory for processing
1 to 80 characters
One per ReportSubmissionResponseFileHeader

Example: <ExternalFileSequenceNumber>1</ExternalFileSequenceNumber>
Remarks:

ReportTypeCode (Report type)

ReportTypeCode

Report type
Definition:

This is the code used to identify the type of report.

Attributes:
Limits:

Mandatory for processing
2 numeric characters
One per ReportSubmissionResponseFileHeader

Example: <ReportTypeCode>13</ReportTypeCode>
Remarks:

Code:
13 - Casino Disbursement Report

OperationModeCode (Operational mode)

OperationModeCode

Operational mode
Definition:

This is the code used to identify which transmission channel was used to submit the file being acknowledged.

Attributes:
Limits:

Mandatory for processing
1 numeric character
One per ReportSubmissionResponseFileHeader

Example: <OperationModeCode>2</OperationModeCode>
Remarks:

Codes:
2 - Production
1 - Test (in a batch transmission software training channel)

PKICertificateNumber (PKI certificate ID)

PKICertificateNumber

PKI certificate ID
Definition:

This is the PKI certificate identifier number used to submit the file being acknowledged.

Attributes:
Limits:

Mandatory for processing
10 numeric characters
One per ReportSubmissionResponseFileHeader

Example: <PkiCertificateNumber>1211379999</PkiCertificateNumber>
Remarks:

ExternalFileStatusCode (Batch status message)

ExternalFileStatusCode

Batch status message
Definition:

This is the processing status code to indicate whether the batch file has been accepted or rejected.

Attributes:
Limits:

Mandatory for processing
1 numeric character
One per ReportSubmissionResponseFileHeader

Example: ExternalFileStatusCode>1</ExternalFileStatusCode>
Remarks:

Codes:
1 - Accepted
2 - Rejected

ReportAcceptCount (Reports accepted)

ReportAcceptCount

Reports accepted
Definition:

This is the number of reports accepted.

Attributes:
Limits:

Mandatory for processing
0 to 999999999 numeric characters
One per ReportSubmissionReportResponseFileHeader

Example: <ReportAcceptCount>750</ReportAcceptCount>
Remarks:

ReportRejectCount (Reports rejected)

ReportRejectCount

Reports rejected
Definition:

This is the number of reports rejected.

Attributes:
Limits:

Mandatory for processing
0 to 999999999 numeric characters
One per ReportSubmissionReportResponseFileHeader

Example: <ReportRejectCount>0</ReportRejectCount>
Remarks:

ReportSubmissionResponseLineItem (Messages on accepted reports, reports in error and reports rejected (for accepted batches only))

ReportSubmissionResponseLineItem

Messages on accepted reports, reports in error and reports rejected (for accepted batches only)
Definition:

This is the container for information about the error or warning messages for a report.

Attributes:
Limits:

Mandatory for processing
One per ReportSubmissionResponseXmlFile

Example:
<ReportSubmissionResponseLineItem>
 <XmlDataElementName>CasinoDisbursementReportXMLFile/
 CasinoDisbursementReport[2]/CasinoTransaction[1]/
CasinoTransactionDetail/TransactionDate</XmlDataElementName>
 <MessageNumber>303</MessageNumber>
 <OrganizationReportReferenceIdentifier>Report02
 </OrganizationReportReferenceIdentifier>
</ReportSubmissionResponseLineItem>
			
Remarks:

XmlDataElementName (XML element name)

XmlDataElementName

XML element name
Definition:

This is the name of the element to which the message relates.

Attributes:
Limits:

Mandatory for processing
1 to 400 characters
One per ReportSubmissionResponseLineItem

Example: <XmlDataElementName>CasinoDisbursementReportXMLFile/
CasinoDisbursementReport[2]/CasinoTransaction[1]/CasinoTransactionDetail/
TransactionDate</XmlDataElementName>
Remarks:

The number with the square brackets indicates the index of the element within the XML. In the example, the error was caused by the first transaction within the second report.

MessageNumber (Validation message)

MessageNumber

Validation message
Definition:

This is the error message code identifying the applicable issue. See section 8 for information about these messages.

Attributes:
Limits:

Mandatory for processing
3 numeric characters
One per ReportSubmissionResponseLineItem

Example: <MessageNumber>303</MessageNumber>
Remarks:

OrganizationReportReferenceIdentifier (Reporting entity report reference number)

OrganizationReportReferenceIdentifier

Reporting entity report reference number
Definition:

This is the unique report reference number of the report.

Attributes:
Limits:

Mandatory for processing
1 to 20 characters
One per ReportSubmissionResponseLineItem

Example: <OrganizationReportReferenceIdentifier>Report02
</OrganizationReportReferenceIdentifier>
Remarks:

ValidationRuleNumber (Validation rule that caused the validation message)

ValidationRuleNumber

Validation rule that caused the validation message
Definition:

This is the validation rule number identifying the applicable issue. See section 8.1 for information about these message rules.

Attributes:
Limits:

Mandatory for processing
9 numeric characters
One per ReportSubmissionResponseLineItem

Example: <ValidationRuleNumber>200030</ValidationRuleNumber>
Remarks:

ReportSubmissionResponseFileTrailer (Batch file trailer)

ReportSubmissionResponseFileTrailer

Batch file trailer
Definition:

This is the container for the acknowledgement file trailer.

Attributes:
Limits:

Mandatory for processing
One per ReportSubmissionResponseXmlFile

Example:
<ReportSubmissionResponseFileTrailer>
 <ResponseLineItemCount>1</ResponseLineItemCount>
</ReportSubmissionResponseFileTrailer>
Remarks:

ResponseLineItemCount (Message count)

ResponseLineItemCount

Message count
Definition:

This is the total number of ReportSubmissionLineItem records contained in the acknowledgement file.

Attributes:
Limits:

Mandatory for processing
0 to 999999999 numeric characters
One per ReportSubmissionResponseFileTrailer

Example: <ResponseLineItemCount>1</ResponseLineItemCount>
Remarks:

6.2 General acknowledgement example

6.2.1 Acknowledgement example for an accepted batch

<?xml version="1.0" encoding="UTF-8"?>
<ReportSubmissionResponseXmlFile>
 <ReportSubmissionResponseFileHeader>
  <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
  <ExternalFileName>20090928_223915_CDR.XML</ExternalFileName>
  <ExternalFileSequenceNumber>1</ExternalFileSequenceNumber>
  <ReportTypeCode>13</ReportTypeCode>
  <OperationModeCode>2</OperationModeCode>
  <PkiCertificateNumber>1211379999</PkiCertificateNumber>
  <ExternalFileStatusCode>1</ExternalFileStatusCode>
  <ReportAcceptCount>750</ReportAcceptCount>
  <ReportRejectCount>0</ReportRejectCount>
 </ReportSubmissionResponseFileHeader>
 <ReportSubmissionResponseLineItem>
  <XmlDataElementName>CasinoDisbursementReportXMLFile/
  CasinoDisbursementReport[2]/CasinoTransaction[1]/
CasinoTransactionDetail/TransactionDate</XmlDataElementName>
  <MessageNumber>303</MessageNumber>
  <OrganizationReportReferenceIdentifier>Report02
  </OrganizationReportReferenceIdentifier>
 </ReportSubmissionResponseLineItem>
 <ReportSubmissionResponseFileTrailer>
  <ResponseLineItemCount>1</ResponseLineItemCount>
 </ReportSubmissionResponseFileTrailer>
</ReportSubmissionResponseXmlFile> 
	

6.2.2 Acknowledgement example for a rejected batch

<?xml version="1.0" encoding="UTF-8"?>
<ReportSubmissionResponseXmlFile>
 <ReportSubmissionResponseFileHeader>
  <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
  <ExternalFileName>20090928_223915_CDR.XML</ExternalFileName>
  <ExternalFileSequenceNumber>1</ExternalFileSequenceNumber>
  <ReportTypeCode>13</ReportTypeCode>
  <OperationModeCode>2</OperationModeCode>
  <PkiCertificateNumber>1211379999</PkiCertificateNumber>
  <ExternalFileStatusCode>2</ExternalFileStatusCode>
  <ReportAcceptCount>0</ReportAcceptCount>
  <ReportRejectCount>1</ReportRejectCount>
 </ReportSubmissionResponseFileHeader>
 <ReportSubmissionResponseLineItem>
  <XmlDataElementName>CasinoDisbursementReportXMLFile</XmlDataElementName>
  <MessageNumber>412</MessageNumber>
  <OrganizationReportReferenceIdentifier></OrganizationReportReferenceIdentifier>1
 </ReportSubmissionResponseLineItem>
 <ReportSubmissionResponseFileTrailer>
  <ResponseLineItemCount>1</ResponseLineItemCount>
 </ReportSubmissionResponseFileTrailer>
</ReportSubmissionResponseXmlFile>
	

7 Reports Returned for Further Action (RRFA)

7.1 RRFA Message Formatting

The following tables outline the format for RRFA files 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.

?xml (XML declaration)

XML declaration
Definition:

This is the top level XML declaration which specifies the version of XML being used.

Attributes:

version:
fixed: "1.0"
encoding:
fixed: "UTF-8"

Limits:

Mandatory for processing
One per submission instance

Example: <?xml version="1.0" encoding="UTF-8" ?>
Remarks:

This declaration is required to be alone on the first line of the file. The version number and encoding are fixed to the version of the schema.

ReportReturnForFurtherActionXmlFile (Root element)

ReportReturnForFurtherActionXmlFile

Root element
Definition:

This is the container for the following batch file contents:
ReportReturnForFurtherActionFileHeader
ReportReturnForFurtherActionLineItem
ReportReturnForFurtherActionFileTrailer

Attributes:
Limits:

Mandatory for processing
One per submission instance

Example: <ReportReturnForFurtherActionXmlFile>…</ReportReturnForFurtherActionXmlFile>
Remarks:

ReportReturnForFurtherActionFileHeader (Batch header)

ReportReturnForFurtherActionFileHeader

Batch header
Definition:

This is the container for the RRFA file contents.

Attributes:
Limits:

Mandatory for processing
One per ReportForFurtherActionXmlFile

Example:
<ReportReturnForFurtherActionFileHeader>
 <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
 <ReportTypeCode>13</ReportTypeCode>
 <PkiCertificateNumber>1211379999</PkiCertificateNumber>
 <ReturnReportForFurtherActionIdentifierNumber>125
 </ReturnReportForFurtherActionIdentifierNumber>
 <ReturnReportSummaryText>Please correct the following information …
 </ReturnReportSummaryText>
 <ReturnReportDueDate>20091112</ReturnReportDueDate>
 <ReturnReportCount>20</ReturnReportCount>
 <QualityIssueCount>45</QualityIssueCount>
 <ExternalFileInvolveCount>45</ExternalFileInvolveCount>
</ReportReturnForFurtherActionFileHeader>
			
Remarks:

This element uniquely identifies the XML RRFA batch file submitted to you from FINTRAC.

SubmitOrganizationNumber (Reporting entity's identifier number)

SubmitOrganizationNumber

Reporting entity's identifier number
Definition:

This is the identifier number assigned to the individual or institution who transmitted the file with the reports being returned.

Attributes:
Limits:

Mandatory for processing
1 to 7 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
Remarks:

ReportTypeCode (Report type)

ReportTypeCode

Report type
Definition:

This is the code used to identify the type of report.

Attributes:
Limits:

Mandatory for processing
2 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <ReportTypeCode>13</ReportTypeCode>
Remarks:

Code:
13 - Casino Disbursement Report

PkiCertificateNumber (PKI certificate ID)

PkiCertificateNumber

PKI certificate ID
Definition:

This is the PKI certificate identifier number used to submit the reports being returned.

Attributes:
Limits:

Mandatory for processing
10 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <PkiCertificateNumber>1211379999</PkiCertificateNumber>
Remarks:

ReturnReportForFurtherActionIdentifierNumber (RRFA ID number)

ReturnReportForFurtherActionIdentifierNumber

RRFA ID number
Definition:

FINTRAC's numeric identifier for the RRFA.

Attributes:
Limits:

Mandatory for processing
9 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <ReturnReportForFurtherActionIdentifierNumber>125
</ReturnReportForFurtherActionIdentifierNumber>
Remarks:

ReturnReportSummaryText (RRFA summary text)

ReturnReportSummaryText

RRFA summary text
Definition:

This is the explanation of what issues need to be addressed.

Attributes:
Limits:

Mandatory for processing
unlimited
One per ReportReturnForFurtherActionFileHeader

Example: <ReturnReportSummaryText>Please correct the following information …</ReturnReportSummaryText>
Remarks:

ReturnReportDueDate (RRFA due date)

ReturnReportDueDate

RRFA due date
Definition:

This is the date by which the corrected reports should be submitted to FINTRAC.

Attributes:
Limits:

Mandatory for processing
8 characters
One per ReportReturnForFurtherActionFileHeader

Example: <ReturnReportDueDate>20091112</ReturnReportDueDate>
Remarks:

ReturnReportCount (Number of reports returned)

ReturnReportCount

Number of reports returned
Definition:

This is the total number of reports returned.

Attributes:
Limits:

Mandatory for processing
1 to 999999999 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <ReturnReportCount>20</ReturnReportCount>
Remarks:

QualityIssueCount (Number of quality issues)

QualityIssueCount

Number of quality issues
Definition:

This is the total number of data quality issues for all reports included in the RRFA.

Attributes:
Limits:

Mandatory for processing
1 to 999999999 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <QualityIssueCount>45</QualityIssueCount>
Remarks:

ExternalFileInvolveCount (Number of batches involved)

ExternalFileInvolveCount

Number of batches involved
Definition:

The total number of batches involved.

Attributes:
Limits:

Mandatory for processing
0 to 999999999 numeric characters
One per ReportReturnForFurtherActionFileHeader

Example: <ExternalFileInvolveCount>45</ExternalFileInvolveCount>
Remarks:

ReportReturnForFurtherActionLineItem (Data quality issues messages)

ReportReturnForFurtherActionLineItem

Data quality issues messages
Definition:

The container for information related to the individual data quality issue.

Attributes:
Limits:

Mandatory for processing
One per ReportForFurtherActionXmlFile

Example:
<ReportReturnForFurtherActionLineItem>
 <ExternalFileName>20090928_223915_CDR.XML</ExternalFileName>
 <ExternalFileNameSequenceNumber>21
 </ExternalFileNameSequenceNumber>
 <OrganizationReportReferenceIdentifier>Report04
 </OrganizationReportReferenceIdentifier>         
 <XmlDataElementName>CasinoDisbursementReportXMLFile/
 CasinoDisbursementReport[4]/CasinoTransaction[1]/
CasinoTransactionDetail/TransactionDate</XmlDataElementName>
 <MessageNumber>306</MessageNumber>
</ReportReturnForFurtherActionLineItem>
			
Remarks:

ExternalFileName (Batch file name)

ExternalFileName

Batch file name
Definition:

This is the identifier for the batch report file to which the returned report belonged.

Attributes:
Limits:

Mandatory for processing
1 to 80 characters
One per ReportReturnForFurtherActionLineItem

Example: <ExternalFileName>20091010_1101112_CDR.xml</ExternalFileName>
Remarks:

Names should not contain spaces or dashes

ExternalFileNameSequenceNumber (Batch sequence number)

ExternalFileNameSequenceNumber

Batch sequence number
Definition:

This number represents the nth time the external file was submitted to FINTRAC.

Attributes:
Limits:

Mandatory for processing
1 to 999999999 numeric characters
One per ReportReturnForFurtherActionLineItem

Example: <ExternalFileNameSequenceNumber>21</ExternalFileNameSequenceNumber>
Remarks:

OrganizationReportReferenceIdentifier (Reporting entity report reference number)

OrganizationReportReferenceIdentifier

Reporting entity report reference number
Definition:

This is the unique report reference number of report the report.

Attributes:
Limits:

Mandatory for processing
1 to 20 characters
One per ReportReturnForFurtherActionLineItem

Example: <OrganizationReportReferenceIdentifier>Report04
</OrganizationReportReferenceIdentifier>
Remarks:

XmlDataElementName (XML element name)

XmlDataElementName

XML element name
Definition:

This is the name of the element to which the message relates.

Attributes:
Limits:

Mandatory for processing
1 to 400 characters
One per ReportReturnForFurtherActionLineItem

Example: <XmlDataElementName>CasinoDisbursementReportXMLFile/
CasinoDisbursementReport[4]/CasinoTransaction[1]/CasinoTransactionDetail/
TransactionDate</XmlDataElementName>
Remarks:

The number with the square brackets indicates the index of the element within the XML. In the example, the data quality issue can be found in the first transaction within the fourth report.

MessageNumber (Data quality message number)

MessageNumber

Data quality message number
Definition:

This is the error message code identifying the applicable issue. See section 8 for information about these messages.

Attributes:
Limits:

Mandatory for processing
3 numeric characters
One per ReportReturnForFurtherActionLineItem

Example: <MessageNumber>306</MessageNumber>
Remarks:

ReportReturnForFurtherActionFileTrailer (Batch trailer)

ReportReturnForFurtherActionFileTrailer

Batch trailer
Definition:

This is the container for the RRFA file trailer.

Attributes:
Limits:

Mandatory for processing
One perReportForFurtherActionXmlFile

Example:
<ReportReturnForFurtherActionFileTrailer>
 <ResponseLineItemCount>1</ResponseLineItemCount>
</ReportReturnForFurtherActionFileTrailer>
			
Remarks:

ReportLineItemCount (Message count)

ReportLineItemCount

Message count
Definition:

This is the total number of ResponseLineItem records contained in the RRFA file.

Attributes:
Limits:

Mandatory for processing
1 to 999999999 numeric characters
One per ReportReturnForFurtherActionFileTrailer

Example: <ReportLineItemCount>1</ReportLineItemCount>
Remarks:

7.2 RRFA message example

        <?xml version="1.0" encoding="UTF-8"?>
        <ReportReturnForFurtherActionXmlFile>
         <ReportReturnForFurtherActionFileHeader>
          <SubmitOrganizationNumber>987654</SubmitOrganizationNumber>
          <ReportTypeCode>13</ReportTypeCode>
          <PkiCertificateNumber>1211379999</PkiCertificateNumber>
          <ReturnReportForFurtherActionIdentifierNumber>125
          </ReturnReportForFurtherActionIdentifierNumber>
          <ReturnReportSummaryText>Please correct the following information …
          </ReturnReportSummaryText>
          <ReturnReportDueDate>20091112</ReturnReportDueDate>
          <ReturnReportCount>20</ReturnReportCount>
          <QualityIssueCount>45</QualityIssueCount>
          <ExternalFileInvolveCount>45</ExternalFileInvolveCount>
         </ReportReturnForFurtherActionFileHeader>
         <ReportReturnForFurtherActionLineItem>
          <ExternalFileName>20090928_223915_CDR.XML</ExternalFileName>
          <ExternalFileNameSequenceNumber>21</ExternalFileNameSequenceNumber>
          <OrganizationReportReferenceIdentifier>Report04
          </OrganizationReportReferenceIdentifier> 
          <XmlDataElementName>CasinoDisbursementReportXMLFile/
          CasinoDisbursementReport[4]/CasinoTransaction[1]/
        CasinoTransactionDetail/TransactionDate</XmlDataElementName>
          <MessageNumber>306</MessageNumber>
         </ReportReturnForFurtherActionLineItem>
         <ReportReturnForFurtherActionFileTrailer>
          <ResponseLineItemCount>1</ResponseLineItemCount>
         </ReportReturnForFurtherActionFileTrailer>
        </ReportReturnForFurtherActionXmlFile>

8 8 Report Validation and Processing Error Codes

8.1 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 rule messages (ValidationRuleNumber) are included as part of the ReportSubmissionResponseLineItem in the batch acknowledgement file to identify rejected reports and provide warnings about accepted reports based on these validation rules.

A report validation rules table is available for download in the technical documentation area of FINTRAC's website at www.fintrac-canafe.gc.ca. The table provides a description of the validation applied to each field within the reports.

8.2 Batch error codes

Batch processing error codes (MessageNumber) are included as part of the ReportSubmissionResponseLineItem in the batch acknowledgement file from FINTRAC. Error codes are also as part of the MessageNumber of the RRFA file to identify quality issues. A code table for these error messages is available for download, along with other code tables, in the technical publications area of the publications section of FINTRAC's website at www.fintrac-canafe.gc.ca.

In the error code table, certain error codes such as 9, 77, 300 to 362, 442 and 986 to 993 apply at the element level to reports within an accepted batch. These error codes apply to explain why a report was rejected or to provide a warning message concerning an accepted report.

The rest of the error codes (e.g., codes 400 to 436) 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 FINTRAC's attempt to process the batch. It is possible that there were other errors that processing did not get far enough to detect.

9 External File Name

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

9.1 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:

Example: 20090928_223915_CDR.XML

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., .xml). 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 20090928_223915_CDR.XML is considered the same as 20090928_223915_cdr.xml.

All new batch files that you submit to FINTRAC must have a unique file name, regardless of the file contents, or the file will be rejected.

9.2 FINTRAC batch acknowledgement naming convention

The acknowledgement file sent to you by FINTRAC 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:

9.3 RRFA batch file naming convention

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

The "999999999" represents the RRFA number reflected in ReturnReportForFurtherActionIdentifierNumber of the RRFA message.

1 The OrganizationReportReferenceIdentifier element will be empty as the entire batch has been rejected.

Date Modified: