Financial Crimes Enforcement Network
FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.1 | October 2019) i
User Guide
Financial Crimes Enforcement Network (FinCEN)
XML Schema 2.0
FinCEN Designation of Exempt Person
(FinCEN DOEP | Form 110)
Electronic Filing Requirements
Financial Crimes Enforcement Network
FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) ii
DEPARTMENT OF THE TREASURY
FINANCIAL CRIMES ENFORCEMENT NETWORK (FINCEN)
Financial Crimes Enforcement Network
FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) iii
0. Revision History
Version
Number
Change Description
1.0
Initial version
1.1
FinCEN DOEP XML Element Requirements
RawStateCodeText
o Modified the element Description, Value Restrictions, Remarks, and Example
to emphasize that all entries for this element must correspond with a valid
U.S. State/Territory with the exception of the Transmitter party address,
which allows Canadian and Mexican State/Territory/Province entries in
addition to U.S. State/Territory entries.
Party Elements by Party Type
Modified the table to remove the bullets associating the RawIndividualTitleText
element with the Transmitter (35) and Transmitter Contact (37) party types (this
element should only be associated with the Authorized Official (3) party type).
Electronic XML Filing Instructions (Attachment C)
General Instructions: 5. Addresses
o Added the following note at the end of the instructions: “NOTE: The ISO
3166-2 country list contains the code “UM” that stands for the United State
Minor Outlying Islands. Using “UM” in country fields is prohibited. These
islands are uninhabited. As such they have no addresses.”
Attachment E – Sample Data (New)
Added new Attachment E – Sample Data section to the XML User Guide. It includes a
link to sample data corresponding with this form type.
1.2
Added Error Code F60 – “The namespace prefix for the element is invalid.”
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) iv
Contents
0. Revision History ............................................................................................................................................................................................... iii
Contents ...................................................................................................................................................................................................................... iv
1. Introduction ....................................................................................................................................................................................................... 1
2. FinCEN DOEP XML Schema Overview ...................................................................................................................................................... 1
2.1. File Organization ................................................................................................................................................................................. 1
2.1.1. XML declaration (prolog) ............................................................................................................................................................ 1
2.1.2. EFilingBatchXML ............................................................................................................................................................................ 1
2.1.3. Activity ............................................................................................................................................................................................... 2
2.1.4. Party ................................................................................................................................................................................................... 2
2.1.5. DesignationExemptActivity ........................................................................................................................................................ 4
3. FinCEN DOEP XML Batch Reporting Requirements ............................................................................................................................ 4
3.1. Element Definition Overview .......................................................................................................................................................... 4
3.2. Batch Validation (Form & Fit) Overview ..................................................................................................................................... 5
4. FinCEN DOEP XML Element Requirements ............................................................................................................................................ 6
4.1. XML declaration/prolog ................................................................................................................................................................... 6
4.2. EFilingBatchXML Elements .............................................................................................................................................................. 6
4.3. Activity Elements ................................................................................................................................................................................. 7
4.4. ActivityAssociation Elements ....................................................................................................................................................... 10
4.5. Party Elements .................................................................................................................................................................................. 12
4.5.1. PartyName Elements ................................................................................................................................................................. 16
4.5.2. Address Elements ....................................................................................................................................................................... 22
4.5.3. PhoneNumber Elements .......................................................................................................................................................... 27
4.5.4. PartyIdentification Elements ................................................................................................................................................... 29
4.5.5. PartyOccupationBusiness Elements ..................................................................................................................................... 33
4.5.6. ElectronicAddress Elements ................................................................................................................................................... 34
4.6. DesignationExemptActivity Elements ....................................................................................................................................... 36
5. Party Elements by Party Type ................................................................................................................................................................... 38
5.1. Party Record Examples .................................................................................................................................................................. 39
5.1.1. Transmitter .................................................................................................................................................................................... 39
5.1.2. Transmitter Contact ................................................................................................................................................................... 39
5.1.3. Exempt Party ................................................................................................................................................................................ 39
5.1.4. Exempt Filer Bank ....................................................................................................................................................................... 40
5.1.1. Exempt Affiliated Bank ............................................................................................................................................................. 40
5.1.1. Authorized Official ..................................................................................................................................................................... 41
6. FinCEN DOEP XML Acknowledgement Format .................................................................................................................................. 42
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) v
6.1. XML File Structure ........................................................................................................................................................................... 42
6.1.1. XML declaration/prolog ........................................................................................................................................................... 42
6.1.2. EFilingBatchXML ......................................................................................................................................................................... 42
6.1.3. EFilingSubmissionXML.............................................................................................................................................................. 43
6.1.4. EFilingActivityXML ...................................................................................................................................................................... 43
6.1.5. EFilingActivityErrorXML ............................................................................................................................................................ 44
6.2. Acknowledgement XML Example .............................................................................................................................................. 46
7. Attachment A – Error Descriptions ......................................................................................................................................................... 47
7.1. General errors .................................................................................................................................................................................... 47
7.2. Document Errors .............................................................................................................................................................................. 48
7.3. Exempt Person (Part II) Errors ...................................................................................................................................................... 49
7.4. Filer (Part III) & Affiliated Bank Errors ....................................................................................................................................... 50
7.5. Transmitter & Transmitter Contact Errors .............................................................................................................................. 50
8. Attachment B – Error Correction Instructions ..................................................................................................................................... 52
9. Attachment C – Electronic XML Filing Instructions ............................................................................................................................... 54
10. Attachment D – Secure Data Transfer Mode Filers ................................................................................................................... 58
11. Attachment E – Sample Data ............................................................................................................................................................ 59
Financial Crimes Enforcement Network
FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.1 | October 2019) 1
1. Introduction
The FinCEN Designation of Exempt Person (FinCEN DOEP | Form 110) Electronic Filing Requirements XML Schema 2.0
User Guide outlines the business and validation rules to support the electronic batch transmission of the FinCEN
DOEP. Electronic filing of this report will be through the Bank Secrecy Act (BSA) E‐Filing System operated by the
Financial Crimes Enforcement Network (FinCEN). BSA E-Filing users who intend to file the FinCEN DOEP batch XML
should be familiar with FinCEN regulations, Extensible Markup Language (XML) and the FinCEN XML schemas. For
more information, please go to bsaefiling.fincen.treas.gov.
2. FinCEN DOEP XML Schema Overview
Before you begin submitting your BSA data to FinCEN’s BSA E-Filing System (bsaefiling.fincen.treas.gov) via XML
batch, you must first review the required schemas to assist you with constructing and testing your XML batch file..
These schemas define the requirements by which the FinCEN DOEP XML batch file must be constructed, such as
which elements are required and which are not required, what are the appropriate values you may enter for certain
elements, and what sequence the elements should appear in when building the batch. Please visit
https://www.fincen.gov/sites/default/files/schema/base/EFL_DOEPXBatchSchema.xsd to access the FinCEN XML 2.0
batch schema file.
2.1. File Organization
This section describes the general formatting requirements for FinCEN DOEP XML batch reporting. The diagrams that
follow provide a visual representation of the XML batch file layout from a high-level perspective.
2.1.1. XML declaration (prolog)
The XML declaration specifies the XML version and character encoding used in the file. It must appear on the first line
of the file.
2.1.2. EFilingBatchXML
This is the root element and serves as the container for all FinCEN DOEP documents recorded in the batch. It must be
the first element recorded in the file.
The EFilingBatchXML element is parent to the <Activity> element. This complex element is the container for each
FinCEN DOEP document in the batch. All BSA data related to a single FinCEN DOEP document must be recorded
within the <Activity> element. The count of <Activity> elements in the batch will depend on the count of FinCEN
DOEP documents being reported.
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 2
2.1.3. Activity
Each FinCEN DOEP document in the batch must begin with the <Activity> element. This element identifies all
information related to a single FinCEN DOEP. This information includes the transmitter of the batch file, the
transmitted contact, the exempt person, the filer, the affiliated bank (if any), the authorized official, and any details
about the type of designation being filed. There is no limit to the number of <Activity> elements that may be
recorded in the batch. However, the total size of the batch file must not exceed 60MB.
The <Activity> element is parent to the following complex element(s):
ActivityAssociation. This element is the container for the type of filing (i.e. Initial designation, Exemption
amended, or Exemption revoked) for the FinCEN DOEP.
Party. This element is the container for any person (individual or entity) associated with the FinCEN DOEP,
specifically, the transmitter [of the batch file], the transmitter contact, the exempt person, the filer, the
affiliated bank (if any), and the authorized official.
DesignationExemptActivity. This element is the container for the type of exempt person and the effective
date of the exemption.
2.1.4. Party
Each FinCEN DOEP activity in the batch must include a separate Party element identifying the following persons:
Transmitter (required, one only).
Transmitter Contact (required, one only).
Exempt Party (required, one only).
Exempt Filer Bank (required, one only).
Exempt Affiliated Bank (required if known, multiples permitted up to 99).
Authorized Official (required if known, one only).
A maximum occurrence of 104 total Party elements may be recorded at the activity level for each FinCEN DOEP
activity in the batch.
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 3
Transmitter (Required | 1)
This is the person (individual or entity) handling the data accumulation and formatting of the batch file. Each
FinCEN DOEP Activity element in the batch must include a Party element that identifies the batch transmitter. The
Transmitter telephone number must relate to the individual recorded as the Transmitter Contact. The batch
transmitter should be identical for each FinCEN DOEP. There must be one occurrence of this party for each FinCEN
DOEP Activity in the batch.
Transmitter Contact (Required | 1)
This is the official contact individual for the transmitter. Each FinCEN DOEP Activity element in the batch must
include a Party element that identifies the point of contact for the batch transmitter. The transmitter contact
should be identical for each FinCEN DOEP. There must be one occurrence of this party for each FinCEN DOEP
Activity in the batch.
Exempt Party (Required | 1)
This is the person (individual or entity) to be designated as exempt. There must be one occurrence of this party
for each FinCEN DOEP Activity in the batch. This party corresponds with Part II of the FinCEN DOEP.
Exempt Filer Bank (Required | 1)
This is the bank that is filing the FinCEN DOEP. There must be one occurrence of this party for each FinCEN DOEP
Activity in the batch. This party corresponds with Part III of the FinCEN DOEP.
Exempt Affiliated Bank (Required if known | 0-99)
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 4
This is the bank subsidiary that will treat the customer as an exempt person. There can be up to 99 occurrences of
this party for each FinCEN DOEP Activity in the batch. This party corresponds with the Affiliated Bank section of
the FinCEN DOEP.
Authorized Official (Required if known | 0-1)
This is the name, title, and telephone number of the official who is authorized to review and approve the
transmission of the FinCEN DOEP. There may only be one occurrence of this party for each FinCEN DOEP Activity
in the batch. This party corresponds with Part IV of the FinCEN DOEP.
2.1.5. DesignationExemptActivity
As the container for information about the details of the FinCEN DOEP, this element identifies type of exempt person
and the effective date of the exemption associated with the FinCEN DOEP. This element must be recorded after the
final Party element is recorded for the FinCEN DOEP. There must only be one occurrence of this element for each
FinCEN DOEP Activity in the batch. This element corresponds with Part I (Item 2) and Part II (Item 16) of the FinCEN
DOEP.
3. FinCEN DOEP XML Batch Reporting Requirements
This section describes in detail the reporting requirements for each element in the FinCEN DOEP batch.
3.1. Element Definition Overview
Each element in this user guide is defined using the following terms:
Item
Description
Element Name
This is the name that must be used when recording the element.
minOccurs/maxOccurs
This defines the number of times the element can occur for the parent element.
MinOccurs. The minimum number of times this element may be recorded for
the parent element (e.g. minOccurs=0 means this element is only required
under certain conditions while minOccurs=1 means at least one of the element
must be recorded for the parent element in the FinCEN DOEP).
MaxOccurs. The maximum number of times this element may be recorded for
the parent element (e.g. maxOccurs=99 means this element can occur up to 99
times in the same FinCEN DOEP).
Description
This is the summary description of the element. Included in the description is a list
of sub-elements associated with the element (if applicable) as well as any special
requirements for when (and when not) to record the element.
Attribute(s)
This specifies the attribute(s) that are required to be recorded for the element.
Various elements contain the SeqNum attribute used to identify the associated
element in the batch file. The value recorded for this attribute must be numeric and
unique.
Parent Element
This identifies the element’s container element. The <Parent> element contains sub
elements and is considered a complex element.
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 5
Item
Description
Element Restriction(s)
This specifies the requirement level for the element; specifically, under what
conditions the element should be recorded. Elements that must be recorded will be
labeled as “Required”, for example “Required. This element must be recorded.”
Elements that are required based on certain conditions will indicate the conditions
upon which the element must be recorded, for example “Record this element when
the party type is associated with the Exempt Party; Otherwise, do not record this
element.”
NOTE: If neither of the above restrictions are specified for the element, then the
element is not required. However, a field that is not required does not mean that it
is optional. All fields require an entry when the filer has the relevant data.
This specifies any requirements and/or restrictions involving the value recorded
for the element.
Value Restriction(s)
This specifies any requirements and/or restrictions involving the value recorded for
the element.
Remarks
This specifies any additional information about the element to assist with reporting;
including:
Reporting conditions that may result in a batch rejection.
Reporting conditions that may result in a batch accepted with warnings.
Example
This provides one or more examples of how to record the element.
PLEASE BE ADVISED: Most element examples are of scenarios where data is
recorded; however, there are valid scenarios where the element may be recorded
with a null value or not recorded at all when unknown or not applicable (see
examples below):
SCENARIO: When NOT to record the element (e.g. “…otherwise, do not record
this element.”) What this means: The element tag should not be recorded
unless the condition described in the Element Restrictions is present.
SCENARIO: When NULL is an acceptable value (e.g. “The value recorded is not
equal to Y or is not equal to null.”) What this means: The element tag may be
recorded without a value and still be considered valid. For example:
o <fc2:ExemptionRevokedIndicator/>
o <fc2:ExemptionRevokedIndicator></fc2:ExemptionRevokedIndicator>
NOTE: Although the above scenarios are technically valid, it is best practice
to omit the element rather than record it with no value.
3.2. Batch Validation (Form & Fit) Overview
It is important to note that if the batch file does not adhere to the basic format described in this guide in accordance
with the FinCEN DOEP XML batch schema, then the batch will fail schema validation and will not be accepted by
FinCEN.
Here is a list of general schema requirements that your batch must adhere to in addition to the data requirements
described for each element throughout this guide. These schema requirements apply to all elements in the batch:
IMPORTANT: FinCEN strongly encourages that filers first test their XML batch files for schema compliance using
the schemas available at www.fincen.gov/base. Your batch file should pass schema validation before you attempt
to submit to FinCEN. Otherwise, it will be at risk of being rejected.
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 6
Element names must include the prefix “fc2” in both the opening tag and closing tag.
Element names must be spelled correctly and in the correct case. Do NOT included spaces at the beginning
or ending of the element names.
Elements must have a matching closing tag (which includes a self-closing tag in the event that no value is
recorded for the element).
Elements must be in the correct sequence.
Elements must be recorded when the minOccurs=1 (or greater than 1).
Elements must not be recorded more than the maxOccurs value for the associated <Parent> element.
Element values must not exceed the maximum specified character limit.
Element values must not include leading and/or trailing spaces.
Element values must not include non-printable characters, such as carriage returns, line feeds, and tabs.
4. FinCEN DOEP XML Element Requirements
The following defines each element in the FinCEN DOEP XML batch in the order in which they can be recorded.
4.1. XML declaration/prolog
Element Name:
?xml
minOccurs:
1
maxOccurs:
1
Description:
XML declaration/prolog. This is the XML declaration which specifies the XML version and character
encoding used in the file. The XML declaration must appear on the first line of the file.
Attribute(s):
The following data must be recorded for XML declaration/prolog:
Name
Description
version
The version number of the XML. The value recorded must be “1.0”
encoding
The character encoding, which must be UTF-8, used for the XML. The
value recorded must be “UTF-8”
Parent Element:
n/a
Element Restriction(s):
This declaration must be recorded.
Value Restriction(s):
The value provided must conform to the following requirements:
<?xml version="1.0" encoding="UTF-8"?>
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The XML declaration/prolog is not recorded with the required values (see Value Restriction(s)
above) or it is not recorded on the first line of the batch file.
Example:
<?xml version="1.0" encoding="UTF-8"?>
4.2. EFilingBatchXML Elements
Element Name:
EFilingBatchXML
minOccurs:
1
maxOccurs:
1
Description:
XML batch (header). This is the container for the contents of the batch file. This element is the root
element in the FinCEN DOEP XML batch file and the container element for all FinCEN DOEP forms
included in the batch. As the root element, it must be the first element recorded in the file, directly
following the XML declaration/prolog. The following sub-elements are associated with this element:
Name
minOccurs
maxOccurs
Category
FormTypeCode
1
1
Simple
Activity
1
unbounded
Complex
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
ActivityCount
The count of all <Activity> elements in the batch
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Element Name:
EFilingBatchXML
minOccurs:
1
maxOccurs:
1
PartyCount
The count of all <Party> elements in the batch where the
<ActivityPartyTypeCode> is equal to 3, 11, 12, and 45 (combined)
xsi:schemaLocation
www.fincen.gov/base
https://www.fincen.gov/base/EFL_DOEPXBatchSchema.xsd
xmlns:xsi
http://www.w3.org/2001/XMLSchema-instance
xmlns:fc2
www.fincen.gov/base
NOTE: All attributes must be present, but their order is not important.
Parent Element:
n/a
Element Restriction(s):
This element must be recorded.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
One or more of the attributes are missing, incorrectly formatted, or contain an invalid value.
The reported attribute count does not match the actual count.
Example:
<fc2:EFilingBatchXML ActivityCount="6" PartyCount="17"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:fc2="www.fincen.gov/base"
xsi:schemaLocation="www.fincen.gov/base https://www.fincen.gov/base/EFL_DOEPXBatchSchema.xsd">
Element Name:
FormTypeCode
minOccurs:
1
maxOccurs:
1
Description:
Form type (code). This element identifies the type of form being reported in the batch.
Attribute(s)
n/a
Parent Element:
EFilingBatchXML
Element Restriction(s):
This element must be recorded.
Value Restriction(s):
The value provided must equal: DOEPX
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The value is null or not equal to DOEPX.
Example:
<fc2:FormTypeCode>DOEPX</fc2:FormTypeCode>
Element Name:
Activity
See Activity Elements for details.
4.3. Activity Elements
Element Name:
Activity
minOccurs:
1
maxOccurs:
unbounded
Description:
Activity (header). This is the container for all information related to the FinCEN DOEP. The first
<Activity> element in the batch file must directly follow the <FormTypeCode> element. The batch must
contain at least one occurrence of this element. There is no maximum occurrence value set for this
element; however, the total size of the batch file must not exceed 60MB. The following sub-elements
are associated with this element:
Name
minOccurs
maxOccurs
Category
DesignatedMoreThanOneBankIndicator (Item 25)
0
1
Simple
EFilingPriorDocumentNumber (Item 1 - BSA Identifier)
0
1
Simple
FilingDateText (Item 30)
1
1
Simple
ActivityAssociation (Item 1)
1
1
Complex
Party (Part II, III, Part IV, Transmitter/Trans. contact)
4
104
Complex
DesignationExemptActivity
1
1
Complex
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Element Name:
Activity
minOccurs:
1
maxOccurs:
unbounded
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
EFilingBatchXML
Element Restriction(s):
This element must be recorded.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
The element is self-closing (i.e. no sub-elements are recorded)
Example:
<fc2:Activity SeqNum="1">
<fc2:DesignatedMoreThanOneBankIndicator>Y</fc2:DesignatedMoreThanOneBankIndicator>
<fc2:FilingDateText>20190110</fc2:FilingDateText>
<fc2:ActivityAssociation SeqNum="7">
Element Name:
DesignatedMoreThanOneBankIndicator
minOccurs:
0
maxOccurs:
1
Description:
Designation made for affiliated bank(s) (indicator). This element indicates that a parent bank or financial
holding company (or one of its bank subsidiaries) is making the designation of exempt person on behalf
of some or all bank subsidiaries of the holding company. This element corresponds with the following
item(s):
25. Affiliated bank
Please refer to Attachment C Item 25 instructions for additional information regarding this element.
Attribute(s)
n/a
Parent Element:
Activity
Element Restriction(s):
Record this element when the designation is also being made for one or more affiliated banks;
otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: Must equal Y
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not null and contains a value not equal to “Y”
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded with a Y value but there is no Exempt Affiliated Bank party type
recorded for the FinCEN DOEP.
The element is not recorded with a Y value and there is one or more Exempt Affiliated Bank
party types recorded for the FinCEN DOEP.
Example:
The FinCEN DOEP contains one or more affiliated banks:
<fc2:DesignatedMoreThanOneBankIndicator>Y</fc2:DesignatedMoreThanOneBankIndicator>
The FinCEN DOEP does not contain an affiliated bank:
Do not record this element.
Element Name:
EFilingPriorDocumentNumber
minOccurs:
0
maxOccurs:
1
Description:
Prior report BSA Identifier (number). This element identifies the BSA Identifier (BSA ID) of the
previously-filed FinCEN DOEP when filing an amended or revoked exemption. This element corresponds
with the following item(s):
1. BSA Identifier
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Element Name:
EFilingPriorDocumentNumber
minOccurs:
0
maxOccurs:
1
Attribute(s)
n/a
Parent Element:
Activity
Element Restriction(s):
Record this element when the FinCEN DOEP being filed amends or revokes a prior exemption;
otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: 14-digit numeric BSA ID (if known); 14
consecutive zeros, i.e. “00000000000000” (if the BSA ID is unknown).
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded but without a value (i.e. the value is null).
The value recorded contains non-numeric characters.
The value recorded is not a valid BSA Identifier, or not 14 zeros (0) when the prior FinCEN
DOEP BSA Identifier is unknown.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded and ExemptionAmendedIndicator contains a Y value.
The element is not recorded and ExemptionRevokedIndicator contains a Y value.
The element is recorded with a valid value and InitialDesignationIndicator contains a Y value.
Example:
The FinCEN DOEP amends or revokes a prior exemption and the BSA ID is known:
<fc2:EFilingPriorDocumentNumber>31000000000001</fc2:EFilingPriorDocumentNumber>
The FinCEN DOEP amends or revokes a prior exemption and the BSA ID is unknown:
<fc2:EFilingPriorDocumentNumber>00000000000000</fc2:EFilingPriorDocumentNumber>
OR
<fc2:EFilingPriorDocumentNumber>0</fc2:EFilingPriorDocumentNumber>
The FinCEN DOEP is an initial designation:
Do not record this element.
Element Name:
FilingDateText
minOccurs:
1
maxOccurs:
1
Description:
Date of signature (date). This element identifies the date in which the FinCEN DOEP is signed and filed
electronically through FinCEN’s BSA E-Filing System. This element corresponds with the following
item(s):
30. Date of signature
Attribute(s)
n/a
Parent Element:
Activity
Element Restriction(s):
This element must be recorded.
Value Restriction(s):
The value provided must conform to the following requirements: 8 numeric characters in the format
YYYYMMDD where YYYY = year, MM = month, and DD = day. Single digit days or months must be
prefaced by a zero.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is recorded but without a value (i.e. the value is null).
The value recorded for the element is not a valid date in the format YYYYMMDD.
The batch submission will be accepted with warning if any of the following conditions are true:
The value recorded is a date greater than the current date or less than January 1, 2000.
Example:
<fc2:FilingDateText>20190201</fc2:FilingDateText>
Element Name:
ActivityAssociation
See ActivityAssociation Elements for details.
Element Name:
Party
See Party Elements for details.
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Element Name:
DesignationExemptActivity
See DesignationExemptActivity Elements for details.
4.4. ActivityAssociation Elements
Element Name:
ActivityAssociation
minOccurs:
1
maxOccurs:
1
Description:
Type of filing (header). This element is the container for information about the type of filing associated
with the FinCEN DOEP. The following sub-elements are associated with this element:
Name
minOccurs
maxOccurs
Category
ExemptionAmendedIndicator
0
1
Simple
ExemptionRevokedIndicator
0
1
Simple
InitialDesignationIndicator
0
1
Simple
*Only one of the above sub-elements must be recorded with a “Y” value.
This element corresponds with the following item(s):
1. Type of filing
o 1a. Initial designation
o 1b. Exemption amended
o 1c. Exemption revoked
Please refer to Attachment C for additional information regarding the above item(s).
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Activity
Element Restriction(s):
This element must be recorded.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
The element is recorded but there are no sub-elements recorded.
There is no sub-element recorded with a Y value.
More than one sub-element is recorded with a Y value.
Example:
The FinCEN DOEP is an initial designation:
<fc2:ActivityAssociation SeqNum="7">
<fc2:InitialDesignationIndicator>Y</fc2:InitialDesignationIndicator>
</fc2:ActivityAssociation>
The FinCEN DOEP is an amended designation:
<fc2:ActivityAssociation SeqNum="7">
<fc2:ExemptionAmendedIndicator>Y</fc2:ExemptionAmendedIndicator>
</fc2:ActivityAssociation>
The FinCEN DOEP revokes a designation:
<fc2:ActivityAssociation SeqNum="7">
<fc2:ExemptionRevokedIndicator>Y</fc2:ExemptionRevokedIndicator>
</fc2:ActivityAssociation>
Element Name:
ExemptionAmendedIndicator
minOccurs:
0
maxOccurs:
1
Description:
Exemption amended (indicator). This element declares that the FinCEN DOEP being filed amends a prior
designation. This element corresponds with the following item(s):
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Element Name:
ExemptionAmendedIndicator
minOccurs:
0
maxOccurs:
1
1b. Exemption amended
Please refer to Attachment C for additional information regarding the above item(s).
Attribute(s)
n/a
Parent Element:
ActivityAssociation
Element Restriction(s):
Record this element when the FinCEN DOEP being filed amends a prior designation; otherwise, do not
record this element. If this element is recorded, the following element must also be recorded with a
valid value:
<EFilingPriorDocumentNumber>
Value Restriction(s):
The value provided must conform to the following requirements: Must equal Y
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not null and contains a value not equal to “Y”
Example:
<fc2:ExemptionAmendedIndicator>Y</fc2:ExemptionAmendedIndicator>
Element Name:
ExemptionRevokedIndicator
minOccurs:
0
maxOccurs:
1
Description:
Exemption revoked (indicator). This element declares that the FinCEN DOEP being filed revokes a prior
designation. This element corresponds with the following item(s):
1c. Exemption revoked
Please refer to Attachment C for additional information regarding the above item(s).
Attribute(s)
n/a
Parent Element:
ActivityAssociation
Element Restriction(s):
Record this element when the FinCEN DOEP being filed revokes a prior designation; otherwise, do not
record this element. If this element is recorded, the following element must also be recorded with a
valid value:
<EFilingPriorDocumentNumber>
Value Restriction(s):
The value provided must conform to the following requirements: Must equal Y
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not null and contains a value not equal to “Y”
Example:
<fc2:ExemptionRevokedIndicator>Y</fc2:ExemptionRevokedIndicator>
Element Name:
InitialDesignationIndicator
minOccurs:
0
maxOccurs:
1
Description:
Initial designation (indicator). This element declares that the FinCEN DOEP being filed is the first
designation report for the individual or entity to be exempt. This element corresponds with the
following item(s):
1a. Initial designation
Please refer to Attachment C for additional information regarding the above item(s).
Attribute(s)
n/a
Parent Element:
ActivityAssociation
Element Restriction(s):
Record this element when the FinCEN DOEP being filed is the initial designation report for the
individual or entity to be exempt; otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: Must equal Y
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not null and contains a value not equal to “Y”
Example:
<fc2:InitialDesignationIndicator>Y</fc2:InitialDesignationIndicator>
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4.5. Party Elements
Element Name:
Party
minOccurs:
4
maxOccurs:
104
Description:
Party (header). This is the container for information about the individual or entity associated with the
FinCEN DOEP; specifically:
Transmitter (required, one only).
Transmitter Contact (required, one only).
Exempt Party (required, one only).
Exempt Filer Bank (required, one only).
Exempt Affiliated Bank (required if applicable, multiples permitted up to 99).
Authorized Official (required if known, one only).
The following tables describe all possible sub-elements for each party type at the activity level:
1. Transmitter Information (Required | Batch Transmitter Information | 1 occurrence)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 35)
1
1
Simple
PartyName
1
1
Complex
Address
1
1
Complex
PhoneNumber
1
1
Complex
PartyIdentification
1
1
Complex
2. Transmitter Contact Information (Required | Batch Transmitter Information | 1 occurrence)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 37)
1
1
Simple
PartyName
1
1
Complex
3. Exempt Party (Required | Part II, Items 3-15 | 1 occurrence)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 11)
1
1
Simple
PartyAsEntityOrganizationIndicator (Item 3)
0
1
Simple
PartyName (Items 3-6)
1
2
Complex
Address (Items 8-11)
1
1
Complex
PhoneNumber (Items 15, 15a)
0
1
Complex
PartyIdentification (Items 12-13)
1
1
Complex
PartyOccupationBusiness (Items 7, 7a)
0
1
Complex
ElectronicAddress (Item 14)
0
1
Complex
4. Exempt Filer Bank (Required | Part III, Items 17-24 | 1 occurrence)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 45)
1
1
Simple
PrimaryRegulatorTypeCode (Item 24)
1
1
Simple
PartyName (Item 17)
1
1
Complex
Address (Items 20-23)
1
1
Complex
Activity party type code definitions
35 = Transmitter | 37 = Transmitter Contact | 3 = Authorized Official
11 = Exempt Party | 45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
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Element Name:
Party
minOccurs:
4
maxOccurs:
104
PartyIdentification (Item 18-19)
1
2
Complex
5. Exempt Affiliated Bank (Required if applicable | Part III (Affiliated Bank), Items 17-24 | 1-99
occurrences)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 12)
1
1
Simple
PrimaryRegulatorTypeCode (Item 24)
1
1
Simple
PartyName (Item 17)
1
1
Complex
Address (Items 20-23)
1
1
Complex
PartyIdentification (Item 18-19)
1
2
Complex
6. Authorized Official (Required if available | Part IV, Items 26-29a | 0-1 occurrence)
Name
minOccurs
maxOccurs
Content
ActivityPartyTypeCode (Code 3)
1
1
Simple
PartyName (Item 26-27)*
0
1
Complex
PhoneNumber (Items 29, 29a)*
0
1
Complex
*If the Authorized Official party type is recorded, then the PartyName and/or PhoneNumber data must be
provided in addition to the ActivityPartyTypeCode.
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Activity
Element Restriction(s):
Required. This element must be recorded.
The following table describes the minimum and maximum reporting requirements per FinCEN DOEP
document by party type:
Party type
minOccurs
maxOccurs
Transmitter
1
1
Transmitter Contact
1
1
Exempt Party
1
1
Exempt Filer Bank
1
1
Exempt Affiliated Bank
0
99
Authorized Official
0
1
Total (per document)
4
104
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The minimum number of party elements are not recorded or are incorrectly formatted.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
The following party types are not recorded or exceed the maximum occurrence for the
FinCEN DOEP:
o Transmitter (1 occurrence)
o Transmitter Contact (1 occurrence)
o Exempt Party (1 occurrence)
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Element Name:
Party
minOccurs:
4
maxOccurs:
104
o Exempt Filer Bank (1 occurrence)
More than the maximum occurrence of a particular party type is recorded.
Example:
See 5. Party Elements by Party Type for detailed examples of each party type.
Element Name:
ActivityPartyTypeCode
minOccurs:
1
maxOccurs:
1
Description:
Activity party type (code). This element identifies the type of party associated with the FinCEN DOEP.
Attribute(s)
n/a
Parent Element:
Party
Element Restriction(s):
Required. Each Party element must include this element (ActivityPartyTypeCode) with a valid code.
Value Restriction(s):
The value provided must conform to the following requirements:
Code
Description
35
Transmitter
37
Transmitter Contact
11
Exempt Party
45
Exempt Filer Bank
12
Exempt Affiliated Bank
3
Authorized Official
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is recorded but with no value (i.e. the value is null).
The element contains an invalid value.
Example:
<fc2:ActivityPartyTypeCode>11</fc2:ActivityPartyTypeCode>
Element Name:
PartyAsEntityOrganizationIndicator
minOccurs:
0
maxOccurs:
1
Description:
Exempt person as entity (indicator). This element declares that the exempt person is an entity. This
element corresponds with the following item:
Check here if entity
Attribute(s)
n/a
Parent Element:
Party
Element Restriction(s):
Record this element when the party type is associated with the Exempt Party and the party is an entity;
otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: Must equal Y
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is not null and contains a value not equal to “Y”
Example:
The exempt person is an entity:
<fc2:PartyAsEntityOrganizationIndicator>Y</fc2:PartyAsEntityOrganizationIndicator>
The exempt person is an individual:
Do not record this element.
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Element Name:
PrimaryRegulatorTypeCode
minOccurs:
0
maxOccurs:
1
Description:
Primary regulator type (code). This element identifies the bank’s primary federal regulator or BSA
examiner. This element corresponds with the following item:
24. Primary federal regulator
Please refer to Attachment C for additional information regarding the above item(s).
Attribute(s)
n/a
Parent Element:
Party
Element Restriction(s):
Record this element when the party type is associated with the Exempt Filer Bank and the Exempt
Affiliated Bank; otherwise, do not record this element.
Value Restriction(s):
The value provided must adhere to the following requirements:
Code
Description
1
FRB (Federal Reserve Board)
2
FDIC (Federal Deposit Insurance Corporation)
7
IRS (Internal Revenue Service)
3
NCUA (National Credit Union Administration)
4
OCC (Office of the Comptroller of the Currency)
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for a party type that not equal to the Exempt Filer Bank or the
Exempt Affiliated Bank.
The element is recorded but with no value (i.e. the value is null).
The element contains an invalid value.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded for the Exempt Filer Bank or the Exempt Affiliated Bank.
Example:
<fc2:PrimaryRegulatorTypeCode>4</fc2:PrimaryRegulatorTypeCode>
Element Name:
PartyName
See PartyName Elements for details.
Element Name:
Address
See Address Elements for details.
Element Name:
PhoneNumber
See PhoneNumber Elements for details.
Element Name:
PartyIdentification
See PartyIdentification Elements for details.
Element Name:
PartyOccupationBusiness
See PartyOccupationBusiness Elements for details.
Element Name:
ElectronicAddress
See ElectronicAddress Elements for details.
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4.5.1. PartyName Elements
Element Name:
PartyName
minOccurs:
0
maxOccurs:
2
Description:
Party name (header). This is the container for information about the name of the party. The party name
can be a legal name or doing business as (DBA) name, depending on the party type being identified.
The following sub-elements are associated with this element:
1. Transmitter: Legal name (Required | 1 occurrence)
Name
minOccurs
maxOccurs
Content
PartyNameTypeCode (Code L)
1
1
Simple
RawPartyFullName
1
1
Simple
2. Transmitter Contact: Legal name (Required | 1 occurrence)
Name
minOccurs
maxOccurs
Content
PartyNameTypeCode (Code L)
1
1
Simple
RawPartyFullName
1
1
Simple
3. Exempt Party:
a. Legal name (Required | Part II, Items 3-5 | 1 occurrence)
Name
minOccurs
maxOccurs
Content
PartyNameTypeCode (Code L)
1
1
Simple
RawEntityIndividualLastName (Item 3)
1
1
Simple
RawIndividualFirstName (Item 4)
0
1
Simple
RawIndividualMiddleName (Item 5)
0
1
Simple
RawIndividualNameSuffixText (Item 5)
0
1
Simple
b. DBA name (Required if known | Part II, Item 6 | 0-1 occurrence)
Name
minOccurs
maxOccurs
Content
PartyNameTypeCode (Code DBA)
1
1
Simple
RawPartyFullName (Item 6)
1
1
Simple
4. Exempt Filer Bank: Legal name (Required | Part III, Item 17 | 1 occurrence)
Name
minOccurs
maxOccurs
Content
RawPartyFullName (Item 17)
1
1
Simple
5. Exempt Affiliated Bank: Legal name (Required if affiliated bank is recorded | Part III, Item 17 | 1
occurrence)
Name
minOccurs
maxOccurs
Content
RawPartyFullName (Item 17)
1
1
Simple
6. Authorized Official: Legal name and/or Title (Required if known | Part IV, Items 26-27 | 0-1
occurrence)
Name
minOccurs
maxOccurs
Content
RawIndividualTitleText (Item 27)*
0
1
Simple
Activity party type code definitions
35 = Transmitter | 37 = Transmitter Contact | 3 = Authorized Official
11 = Exempt Party | 45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
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Element Name:
PartyName
minOccurs:
0
maxOccurs:
2
RawPartyFullName (Item 26)*
0
1
Simple
*If the PartyName element is recorded for the Authorized Official party type, then at least one of the
above elements must be recorded with data; if the Title (Item 27) and Print name (Item 26) are both
unknown, then do not record the PartyName element for this Authorized Official party type.
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Required. Record this element when reporting the name/title of a party. The following table describes
the minimum and maximum reporting requirements per party type:
Party type
Legal
(min-max)
DBA
(min-max)
Transmitter
1-1
n/a
Transmitter contact
1-1
n/a
Exempt party
1-1
0-1
Exempt filer bank
1-1
n/a
Exempt affiliated bank (if recorded)
1-1
n/a
Authorized Official
0-1
n/a
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for a valid party type, but all sub-elements are missing.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
More than one legal name is recorded for a single party type.
More than one alternate name is recorded for the Exempt Party.
An alternative name is recorded for a party type not equal to the Exempt Party.
The batch submission will be accepted with warning if any of the following conditions are true:
The legal name is not recorded for one or more of the following party types:
o Transmitter
o Transmitter Contact
o Exempt Party
o Exempt Filer Bank
o Exempt Affiliated Bank
Example:
Transmitter:
<fc2:PartyName SeqNum="18">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>BSA Data Corporation</fc2:RawPartyFullName>
</fc2:PartyName>
Transmitter Contact:
<fc2:PartyName SeqNum="23">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>Robert William</fc2:RawPartyFullName>
</fc2:PartyName>
Exempt Party (if entity):
<fc2:PartyName SeqNum="36">
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Element Name:
PartyName
minOccurs:
0
maxOccurs:
2
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawEntityIndividualLastName>Jay Bird Investments</fc2:RawEntityIndividualLastName>
</fc2:PartyName>
Exempt Party (if individual):
<fc2:PartyName SeqNum="36">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawEntityIndividualLastName>Johnson</fc2:RawEntityIndividualLastName>
<fc2:RawIndividualFirstName>Mark</fc2:RawIndividualFirstName>
<fc2:RawIndividualMiddleName>Adams</fc2:RawIndividualMiddleName>
<fc2:RawIndividualNameSuffixText>Junior</fc2:RawIndividualNameSuffixText>
</fc2:PartyName>
Exempt Party (alternate name, if known):
<fc2:PartyName SeqNum="37">
<fc2:PartyNameTypeCode>DBA</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>JBI</fc2:RawPartyFullName>
</fc2:PartyName>
NOTE: If alternative name is unknown, then do not record the above PartyName element and associated
sub-elements.
Exempt Filer Bank:
<fc2:PartyName SeqNum="47">
<fc2:RawPartyFullName>Bank of the West</fc2:RawPartyFullName>
</fc2:PartyName>
Exempt Affiliated Bank (when an affiliated bank is recorded):
<fc2:PartyName SeqNum="59">
<fc2:RawPartyFullName>Bank of Western Ridge</fc2:RawPartyFullName>
</fc2:PartyName>
Authorized Official (if known):
<fc2:PartyName SeqNum="115">
<fc2:RawIndividualTitleText>BSA Officer</fc2:RawIndividualTitleText>
<fc2:RawPartyFullName>Jessica Wood</fc2:RawPartyFullName>
</fc2:PartyName>
NOTE: Only record the PartyName sub-elements that are known. If both sub-elements are unknown, do
not record the above PartyName element and associated sub-elements.
Element Name:
PartyNameTypeCode
minOccurs:
0
maxOccurs:
1
Description:
Party name type (code). This element identifies the type of name recorded for the party; specifically,
legal name or alternate (DBA) name. This element corresponds with the following item(s):
Legal name (Transmitter)
Legal name (Transmitter Contact)
3-5. Legal name
7. Alternate name
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
This element must be recorded for the party types below; otherwise, do not record this element.
Transmitter
Transmitter Contact
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Element Name:
PartyNameTypeCode
minOccurs:
0
maxOccurs:
1
Exempt Party
Value Restriction(s):
The value provided must conform to the following requirements: Identify the party name type by
recording the appropriate code from the list below:
Code
Description
L
Legal
DBA
Doing Business As*
*DBA name type may only be used for the following party type when recording an alternate name:
Exempt Party
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the associated party type is: Transmitter, Transmitter
contact, or Exempt Party.
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is recorded but with no value (i.e. the value is null).
The element contains an invalid value.
The element is recorded with a value that is not approved for the associated party type (see
Value Restrictions for more information).
Example:
If recording legal name for the Transmitter, Transmitter Contact, or Exempt Party:
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
If recording the alternative name for the Exempt Party:
<fc2:PartyNameTypeCode>DBA</fc2:PartyNameTypeCode>
Element Name:
RawEntityIndividualLastName
minOccurs:
0
maxOccurs:
1
Description:
Entity name or Individual last name (text). This element identifies the legal name of the exempt person,
whether it be the legal name of the entity or the last name of the individual. This element corresponds
with the following item:
3. Individual’s last name or entity’s legal name of the exempt person
Please refer to Attachment C General Instruction 7 “Name Editing Instructions” and the Item 3
instructions for additional information regarding Item 3.
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element when the party type is associated with Exempt Party; otherwise, do not record this
element.
Value Restriction(s):
The value provided must conform to the following requirements: 150 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded for the Exempt Party.
The element is recorded but with no value (i.e. the value is null) for the Exempt Party.
Example:
<fc2:RawEntityIndividualLastName>Johnson</fc2:RawEntityIndividualLastName>
Element Name:
RawIndividualFirstName
minOccurs:
0
maxOccurs:
1
Description:
Individual first name (text). This element identifies the first name of the exempt person when the person
is an individual. This element corresponds with the following item:
4. First name
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Element Name:
RawIndividualFirstName
minOccurs:
0
maxOccurs:
1
Please refer to Attachment C General Instruction 7 “Name Editing Instructions” and the Item 4 instructions
for additional information regarding Item 4.
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element when the party type is associated with Exempt Party and the party is an individual;
otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: 35 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded for the Exempt Party and the PartyAsEntityOrganizationIndicator
element does not contain a “Y” value.
The element is recorded but with no value (i.e. the value is null) for the Exempt Party and the
PartyAsEntityOrganizationIndicator element does not contain a “Y” value.
The element is recorded for the Exempt Party and the PartyAsEntityOrganizationIndicator
element contains a “Y” value.
Example:
<fc2:RawIndividualFirstName>Mark</fc2:RawIndividualFirstName>
Element Name:
RawIndividualMiddleName
minOccurs:
0
maxOccurs:
1
Description:
Individual middle name (text). This element identifies the middle name of the exempt person when the
person is an individual and the middle name is known. This element corresponds with the following
item:
5. Middle name
Please refer to Attachment C General Instruction 7 “Name Editing Instructions” and the Item 5 instructions
for additional information regarding Item 5.
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element when the party type is associated with Exempt Party, the party is an individual, and
the middle name of the individual is known; otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: 35 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The batch submission will be accepted with warning if any of the following conditions are true:
The exempt person is an entity and middle name is provided.
Example:
<fc2:RawIndividualMiddleName>Adams</fc2:RawIndividualMiddleName>
Element Name:
RawIndividualNameSuffixText
minOccurs:
0
maxOccurs:
1
Description:
Individual suffix name (text). This element identifies the suffix name of the exempt person when the
person is an individual and the suffix name is known. This element corresponds with the following item:
5. Suffix
Please refer to Attachment C General Instruction 7 “Name Editing Instructions” and the Item 5 instructions
for additional information regarding Item 5.
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element when the party type is associated with Exempt Party, the party is an individual, and
the suffix name of the individual is known; otherwise, do not record this element.
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 21
Element Name:
RawIndividualNameSuffixText
minOccurs:
0
maxOccurs:
1
Value Restriction(s):
The value provided must conform to the following requirements: 35 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The batch submission will be accepted with warning if any of the following conditions are true:
The exempt person is an entity and suffix name is provided.
Example:
<fc2:RawIndividualNameSuffixText>Junior</fc2:RawIndividualNameSuffixText>
Element Name:
RawIndividualTitleText
minOccurs:
0
maxOccurs:
1
Description:
Title (text). This element identifies the title of the official authorized to review and approve the contents
of the FinCEN DOEP. This element corresponds with the following item:
27. Title
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element when the party type is associated with the Authorized Official and the title of the
authorized official is known; otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: 35 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
Example:
<fc2:RawIndividualTitleText>BSA Officer</fc2:RawIndividualTitleText>
Element Name:
RawPartyFullName
minOccurs:
0
maxOccurs:
1
Description:
Party full name (text). This element identifies the full name of the party, whether it be the legal name of
an institution or the alternate (DBA) name of the exempt person. This element corresponds with the
following item(s):
Legal name (Transmitter)
Legal name (Transmitter Contact)
7. Alternate name
17. Name of bank (Exempt Filer Bank)
17. Name of bank (Exempt Affiliated Bank)
26. Print name
Please refer to Attachment C General Instruction 7 “Name Editing Instructions” and item instructions for
additional information regarding the above items.
Attribute(s)
n/a
Parent Element:
PartyName
Element Restriction(s):
Record this element for the following party types/conditions; otherwise, do not record this element.
Transmitter
Transmitter Contact
Exempt Party (when the alternate name is known)
Exempt Filer Bank
Exempt Affiliated Bank (when an affiliated bank party type is recorded)
Authorized Official (when the name of the official is known)
Value Restriction(s):
The value provided must conform to the following requirements: 150 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
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Element Name:
RawPartyFullName
minOccurs:
0
maxOccurs:
1
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded or does not contain a value for the following party
types/conditions:
o Transmitter
o Transmitter Contact
o Exempt Filer Bank
o Exempt Affiliated Bank (when an affiliated bank party type is recorded)
Example:
<fc2:RawPartyFullName>Bank of the West</fc2:RawPartyFullName>
4.5.2. Address Elements
Element Name:
Address
minOccurs:
0
maxOccurs:
1
Description:
Address (header). This is the container for information about the address of the party.
Please refer to Attachment C for additional information regarding the above item(s).
The following sub-element is associated with this element:
1. Transmitter: Address (Required | 1 occurrence)
Name
minOccurs
maxOccurs
Content
RawCityText
1
1
Simple
RawCountryCodeText
1
1
Simple
RawStateCodeText
1
1
Simple
RawStreetAddress1Text
1
1
Simple
RawZIPCode
1
1
Simple
2. Exempt Party: Address (Required | Part II, Items 8-11 | 1 occurrence)
Name
minOccurs
maxOccurs
Content
RawCityText (Item 9)
1
1
Simple
RawStateCodeText (Item 10)
1
1
Simple
RawStreetAddress1Text (Item 8)
1
1
Simple
RawZIPCode (Item 11)
1
1
Simple
3. Exempt Filer Bank: Address (Required | Part III, Items 20-23)
Name
minOccurs
maxOccurs
Content
RawCityText (Item 21)
1
1
Simple
RawStateCodeText (Item 22)
1
1
Simple
RawStreetAddress1Text (Item 20)
1
1
Simple
RawZIPCode (Item 23)
1
1
Simple
1. Exempt Affiliated Bank: Address (Required if affiliated bank is recorded | Part III, Items 20-23)
Name
minOccurs
maxOccurs
Content
RawCityText (Item 21)
1
1
Simple
RawStateCodeText (Item 22)
1
1
Simple
Activity party type code definitions
35 = Transmitter | 11 = Exempt Party | 45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
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Element Name:
Address
minOccurs:
0
maxOccurs:
1
RawStreetAddress1Text (Item 20)
1
1
Simple
RawZIPCode (Item 23)
1
1
Simple
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Required. This element must be recorded for the following party types (activity level):
Party type
Address
(min-max)
Transmitter
1-1
Exempt Party
1-1
Exempt Filer Bank
1-1
Exempt Affiliated Bank (if recorded)
1-1
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is recorded for a valid party type, but all sub-elements are missing.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded for one or more of the following party types:
o Transmitter
o Exempt Party
o Exempt Filer Bank
o Exempt Affiliated Bank (when an affiliated bank party type is recorded)
Example:
Transmitter:
<fc2:Address SeqNum="19">
<fc2:RawCityText>Vienna</fc2:RawCityText>
<fc2:RawCountryCodeText>US</fc2:RawCountryCodeText>
<fc2:RawStateCodeText>FL</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>123 Rocking Horse Road</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>32159</fc2:RawZIPCode>
</fc2:Address>
Exempt Party (if US State):
<fc2:Address SeqNum="26">
<fc2:RawCityText>Flower Valley</fc2:RawCityText>
<fc2:RawStateCodeText>MD</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>547 Kind Way</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>66589</fc2:RawZIPCode>
</fc2:Address>
Exempt Party (if US Territory):
<fc2:Address SeqNum="26">
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Element Name:
Address
minOccurs:
0
maxOccurs:
1
<fc2:RawCityText>Flower Hills</fc2:RawCityText>
<fc2:RawStateCodeText>GU</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>333 Rolling Road</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>22548</fc2:RawZIPCode>
</fc2:Address>
Exempt Filer Bank:
<fc2:Address SeqNum="49">
<fc2:RawCityText>San Juan</fc2:RawCityText>
<fc2:RawStateCodeText>PR</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>605 Av. Miramar</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>00907</fc2:RawZIPCode>
</fc2:Address>
Exempt Affiliated Bank:
<fc2:Address SeqNum="70">
<fc2:RawCityText>Dallas</fc2:RawCityText>
<fc2:RawStateCodeText>TX</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>9121 Bruton Road</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>75217</fc2:RawZIPCode>
</fc2:Address>
Element Name:
RawCityText
minOccurs:
1
maxOccurs:
1
Description:
City (text). This element identifies the city associated with the address of the party. This element
corresponds with the following items:
City (Transmitter)
9. City
21. City (Exempt Filer Bank)
21. City (Exempt Affiliated Bank)
Please refer to Attachment C General Instruction 5 “Addresses” and item instructions for additional
information regarding the above items.
Attribute(s)
n/a
Parent Element:
Address
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must conform to the following requirements: 50 characters or less.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the parent element is recorded.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded but with no value (i.e. the value is null) for one or more of the
following party types:
o Transmitter
o Exempt Party
o Exempt Filer Bank
o Exempt Affiliated Bank (when an affiliated bank party type is recorded)
Example:
<fc2:RawCityText>Orlando</fc2:RawCityText>
Element Name:
RawCountryCodeText
minOccurs:
0
maxOccurs:
1
Description:
Country (code). This element identifies the country associated with the Transmitter.
Attribute(s)
n/a
Parent Element:
Address
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Element Name:
RawCountryCodeText
minOccurs:
0
maxOccurs:
1
Element Restriction(s):
Record this element for the Transmitter party type; otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: Valid 2-character ISO-3166-2 country
code.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for a party type not equal to Transmitter.
The batch submission will be accepted with warning if any of the following conditions are true:
The value recorded is not a valid country code.
The element is not recorded or does not contain a value for the Transmitter.
State code and country code mismatch for the Transmitter.
Example:
If the Transmitter is located in a foreign location (e.g. Canada):
<fc2:RawCountryCodeText>CA</fc2:RawCountryCodeText>
If Transmitter is located in a US State:
<fc2:RawCountryCodeText>US</fc2:RawCountryCodeText>
If Transmitter is located in a US Territory (e.g. Puerto Rico):
<fc2:RawCountryCodeText>PR</fc2:RawCountryCodeText>
Element Name:
RawStateCodeText
minOccurs:
1
maxOccurs:
1
Description:
State/Territory/Province (code). This element identifies the state/territory/province associated with the
address of the party. This element corresponds with the following items:
State (Transmitter, foreign state/territory/province accepted)
10. U.S. State/Territory
22. U.S. State/Territory (Exempt Filer Bank)
22. U.S. State/Territory (Exempt Affiliated Bank)
Please refer to Attachment C General Instruction 5 “Addresses” and item instructions for additional
information regarding the above items.
Attribute(s)
n/a
Parent Element:
Address
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must conform to the following requirements:
When recording a U.S. State/Territory, enter the appropriate two-letter code used by the
United States Postal Service.
If the party is associated with the Transmitter and:
o A U.S. territory is being recorded, the entry must be recorded for both state and
country.
o A Canadian province/territory is being recorded, the entry must adhere to the
standards of ISO 3166-2:CA.
o A Mexican state/federal district is being recorded, the entry must adhere to the
standards of ISO 3166-2:MX.
Remarks:
The batch submission will be accepted with warning if any of the following conditions are true:
The value recorded is not a valid code.
The element is not recorded or does not contain a value for the Exempt Party, Exempt Filer
Bank, or the Exempt Affiliated Bank.
The element is not recorded or does not contain a value for the Transmitter and the country
is US, CA, MX, or a U.S. Territory.
The element contains a value for the Transmitter and the country is not US, CA, MX, or a U.S.
Territory.
State code and country code mismatch when U.S. Territory is recorded for the Transmitter.
Example:
Transmitter can be either a U.S. State/Territory, or a foreign state/territory/province when the
corresponding country is Canada or Mexico (e.g. Coahuila, Mexico):
<fc2:RawStateCodeText>COA</fc2:RawStateCodeText>
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Element Name:
RawStateCodeText
minOccurs:
1
maxOccurs:
1
Exempt Party, Exempt Filer Bank, and Exempt Affiliated Bank must be a U.S. State/Territory (e.g. Guam):
<fc2:RawStateCodeText>GU</fc2:RawStateCodeText>
Element Name:
RawStreetAddress1Text
minOccurs:
1
maxOccurs:
1
Description:
Street address (text). This element identifies the street address of the party. This element corresponds
with the following items:
Street Address (Transmitter)
8. Street Address
20. Street Address (Exempt Filer Bank)
20. Street Address (Exempt Affiliated Bank)
Please refer to Attachment C General Instruction 5 “Addresses” and item instructions for
additional information regarding the above items.
Attribute(s)
n/a
Parent Element:
Address
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must conform to the following requirements: 100 characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the parent element is recorded.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded but with no value (i.e. the value is null) for one or more of the
following party types:
o Transmitter
o Exempt Party
o Exempt Filer Bank
o Exempt Affiliated Bank (when an affiliated bank party type is recorded)
Example:
<fc2:RawStreetAddress1Text>9121 Bruton Road</fc2:RawStreetAddress1Text>
Element Name:
RawZIPCode
minOccurs:
1
maxOccurs:
1
Description:
ZIP/Postal Code (text). This element identifies the ZIP Code (or foreign postal code of the Transmitter)
associated with the address of the party. This element corresponds with the following items:
ZIP/Foreign Postal Code (Transmitter)
11. ZIP Code
23. ZIP Code (Exempt Filer Bank)
23. ZIP Code (Exempt Affiliated Bank)
Please refer to Attachment C General Instruction 5 “Addresses” and item instructions for
additional information regarding the above items.
Attribute(s)
n/a
Parent Element:
Address
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must conform to the following requirements:
For a U.S. address (including U.S. Territories): 5 or 9 numeric character entry; 9 numeric
character entry cannot end with four zeros or four nines.
For a non-U.S. address (Transmitter party type only): 9 (or less) alphanumeric character entry.
Do not include punctuation or formatting such as hyphens, periods, and spaces within the
value entry.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the parent element is recorded.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded but with no value (i.e. the value is null).
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Element Name:
RawZIPCode
minOccurs:
1
maxOccurs:
1
The value recorded is not equal to 5 or 9 numeric characters or is a 9-digit value ending in
four zeros/nines, and the corresponding country is equal to US or a U.S. Territory code.
Example:
ZIP Code (US or US Territory, 5 digit):
<fc2:RawZIPCode>75217</fc2:RawZIPCode>
ZIP Code (US or US Territory, 9 digit):
<fc2:RawZIPCode>752174459</fc2:RawZIPCode>
Foreign Postal Code (Transmitter address only):
<fc2:RawZIPCode>DD5412</fc2:RawZIPCode>
4.5.3. PhoneNumber Elements
Element Name:
PhoneNumber
minOccurs:
0
maxOccurs:
1
Description:
Telephone number (header). This is the container for information about the telephone number of the
party.
The following sub-element is associated with this element:
1. Transmitter: Telephone (Required)
Name
minOccurs
maxOccurs
Content
PhoneNumberText
1
1
Simple
2. Exempt Party: Telephone (Required if known | Part II, Item 15/15a)
Name
minOccurs
maxOccurs
Content
PhoneNumberExtensionText (Item 15a)
0
1
Simple
PhoneNumberText (Item 15)
1
1
Simple
3. Authorized Official: Telephone (Required if known | Part IV, Item 29/29a)
Name
minOccurs
maxOccurs
Content
PhoneNumberExtensionText (Item 29a)
0
1
Simple
PhoneNumberText (Item 29)
1
1
Simple
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Required. This element must be recorded for the following party types (activity level):
Party type
Telephone
(min-max)
Transmitter
1-1
Exempt Party
0-1
Activity party type code definitions
35 = Transmitter | 3 = Authorized Official | 11 = Exempt Party
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Element Name:
PhoneNumber
minOccurs:
0
maxOccurs:
1
Authorized Official
0-1
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is recorded for a valid party type, but all sub-elements are missing.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
Example:
Transmitter:
<fc2:PhoneNumber SeqNum="20">
<fc2:PhoneNumberText>9854125698</fc2:PhoneNumberText>
</fc2:PhoneNumber>
Exempt Party*:
<fc2:PhoneNumber SeqNum="27">
<fc2:PhoneNumberExtensionText>5547</fc2:PhoneNumberExtensionText>
<fc2:PhoneNumberText>9985654123</fc2:PhoneNumberText>
</fc2:PhoneNumber>
Authorized Official*:
<fc2:PhoneNumber SeqNum="98">
<fc2:PhoneNumberExtensionText>651</fc2:PhoneNumberExtensionText>
<fc2:PhoneNumberText>6655447815</fc2:PhoneNumberText>
</fc2:PhoneNumber>
*When the phone number is known, record the PhoneNumber element along with the
PhoneNumberText sub-element. If the extension is also known, record as well; however, extension
should not be recorded unless phone number is known. If both sub-elements are unknown, do not
record the above PhoneNumber element and associated sub-elements.
Element Name:
PhoneNumberExtensionText
minOccurs:
0
maxOccurs:
1
Description:
Telephone extension (text). This element identifies the telephone extension associated with the
telephone number of the party (if known). This element corresponds with the following items:
15a. Extension
29a. Extension
Please refer to Attachment C General Instruction 4 “Numbers” and item instructions for additional
information regarding the above items.
Attribute(s)
n/a
Parent Element:
PhoneNumber
Element Restriction(s):
Record this element for the following party types and circumstances; otherwise, do not record this
element:
Exempt Party and telephone number and extension are known
Authorized Official and telephone number and extension are known
Value Restriction(s):
The value provided must adhere to the following requirements: 6 numeric characters or less
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for the Transmitter party type.
Example:
<fc2:PhoneNumberExtensionText>5584</fc2:PhoneNumberExtensionText>
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Element Name:
PhoneNumberText
minOccurs:
1
maxOccurs:
1
Description:
Telephone number (text). This element identifies the telephone number of the party. This element
corresponds with the following items:
Phone number (Transmitter)
15. Phone number
29. Phone number
Please refer to Attachment C General Instruction 4 “Numbers” and item instructions for additional
information regarding the above items.
Attribute(s)
n/a
Parent Element:
PhoneNumber
Element Restriction(s):
Record this element for the following party types and circumstances; otherwise, do not record this
element:
Transmitter
Exempt Party and the telephone number is known
Authorized Official and telephone number is known
Value Restriction(s):
The value provided must conform to the following requirements:
Transmitter:
o 1-16 numeric characters; not all same digit (such as all 0’s or all 9’s).
o Phone number must be the same for all FinCEN DOEP’s in the batch file.
Exempt Party & Authorized Official:
o 10 numeric characters; not all same digit (such as all 0’s or all 9’s).
Do not include punctuation or formatting such as hyphens, periods, and spaces within the
value entry regardless of party type.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the parent element is recorded.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded but does not contain a value (i.e. the value is null) for the
Transmitter.
The value recorded does not equal 10 numeric characters and the party type is associated
with the Exempt Party or the Authorized Official.
Example:
<fc2:PhoneNumberText>6655447815</fc2:PhoneNumberText>
4.5.4. PartyIdentification Elements
Element Name:
PartyIdentification
minOccurs:
0
maxOccurs:
2
Description:
Party identification (header). This is the container for information about the identification associated
with the party.
The following sub-element is associated with this element:
1. Transmitter
a. Transmitter Control Code (TCC) (Required)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText
1
1
Simple
PartyIdentificationTypeCode (Code 28)
1
1
Simple
b. Taxpayer Identification Number (EIN) (Required)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText
1
1
Simple
Activity party type code definitions
35 = Transmitter | 11 = Exempt Party
45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
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Element Name:
PartyIdentification
minOccurs:
0
maxOccurs:
2
PartyIdentificationTypeCode (Code 2)
1
1
Simple
2. Exempt Party
a. TIN (SSN/ITIN or EIN) (Required | Part II, Items 12-13)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText (Item 12)
1
1
Simple
PartyIdentificationTypeCode (Item 13)
1
1
Simple
3. Exempt Filer Bank
a. EIN (Required | Part III, Item 18)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText (Item 18)
1
1
Simple
PartyIdentificationTypeCode (Code 2)
1
1
Simple
b. RSSD (Required if known | Part III, Item 19)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText (Item 19)
1
1
Simple
PartyIdentificationTypeCode (Item 14)
1
1
Simple
4. Exempt Affiliated Bank
a. EIN (Required if affiliated bank is recorded | Part III, Item 18)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText (Item 18)
1
1
Simple
PartyIdentificationTypeCode (Code 2)
1
1
Simple
b. RSSD (Required if known | Part III, Item 19)
Name
minOccurs
maxOccurs
Content
PartyIdentificationNumberText (Item 19)
1
1
Simple
PartyIdentificationTypeCode (Item 14)
1
1
Simple
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Required. This element must be recorded for the following party types:
Party type
TCC
(min-max)
TIN
(min-max)
RSSD
(min-max)
Transmitter
1-1
1-1
n/a
Exempt Party
n/a
1-1
n/a
Exempt Filer Bank
n/a
1-1
0-1
Exempt Affiliated Bank (if recorded)
n/a
1-1
0-1
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Element Name:
PartyIdentification
minOccurs:
0
maxOccurs:
2
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is recorded for a valid party type, but all sub-elements are missing.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
The Transmitter TCC is not provided or is invalid.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is not recorded or the value is null for the:
o Transmitter EIN
o Exempt Party TIN
o Exempt Filer EIN
o Exempt Affiliated Bank EIN (when an affiliated bank party type is recorded)
Example:
Transmitter EIN and TCC:
<fc2:PartyIdentification SeqNum="21">
<fc2:PartyIdentificationNumberText>554489521</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="22">
<fc2:PartyIdentificationNumberText>PBSA8180</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>28</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
NOTE: When testing on the User Test system, the TCC value for the PartyIdentificationNumberText
element should be TBSATEST.
Exempt Party TIN (EIN or SSN/ITIN):
<fc2:PartyIdentification SeqNum="28">
<fc2:PartyIdentificationNumberText>212121211</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
Exempt Filer Bank (EIN and RSSD*):
<fc2:PartyIdentification SeqNum="33">
<fc2:PartyIdentificationNumberText>318181818</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="34">
<fc2:PartyIdentificationNumberText>114565879</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>14</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
Exempt Affiliated Bank (EIN and RSSD*):
<fc2:PartyIdentification SeqNum="46">
<fc2:PartyIdentificationNumberText>556441258</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="47">
<fc2:PartyIdentificationNumberText>669855236</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>14</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
*If the RSSD is not known for the Exempt Filer Bank or Exempt Affiliated Bank, do not record the
PartyIdentification element and associated sub-elements for the RSSD.
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Element Name:
PartyIdentificationNumberText
minOccurs:
1
maxOccurs:
1
Description:
Identification number (text). This element identifies the number associated with the identification. This
element corresponds with the following items:
Transmitter Control Code (TCC) number (Transmitter)
Employer Identification Number (EIN) number (Transmitter)
12. TIN (SSN/ITIN or EIN) number
18. EIN number (Exempt Filer Bank)
18. EIN number (Exempt Affiliated Bank)
19. RSSD number (Exempt Filer Bank)
19. RSSD number (Exempt Affiliated Bank)
Please refer to Attachment C General Instruction 4 “Numbers” and item instructions for additional
information regarding the above items.
Attribute(s)
n/a
Parent Element:
PartyIdentification
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must adhere to the following requirements by party type:
Transmitter
o TCC = 8 characters equal to “TBSATEST” (when submitting in the BSA E-Filing User
Test System) or “PBSA8180” (when submitting in the BSA E-Filing Production
System)
o EIN = 9 numeric characters
Exempt Party, Exempt Filer Bank, and Exempt Affiliated Bank:
o TIN = 9 numeric characters
Exempt Filer Bank and Exempt Affiliated Bank:
o RSSD = 20 characters or less
All identification numbers must be entered as a single alpha/numeric text string without formatting or
special characters such as, for example, spaces, hyphens, or periods. Cannot be consecutive string of the
same number or an incremental string such as 123456789.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and parent element is recorded.
The value recorded for the Transmitter TCC is not valid.
The batch submission will be accepted with warning if any of the following conditions are true:
The element is recorded but does not contain a value (i.e. the value is null)
The value recorded for the EIN and/or SSN/ITIN is an invalid number string.
Example:
<fc2:PartyIdentificationNumberText>660623559</fc2:PartyIdentificationNumberText>
Element Name:
PartyIdentificationTypeCode
minOccurs:
1
maxOccurs:
1
Description:
Identification type (code). This element identifies the type of identification number recorded for the
party. This element corresponds with the following items:
Transmitter Control Code (TCC) number type (Transmitter)
Taxpayer Identification Number (EIN) number type (Transmitter)
13. TIN number type (SSN/ITIN or EIN)
18. EIN number type (Exempt Filer Bank)
18. EIN number type (Exempt Affiliated Bank)
19. RSSD number type (Exempt Filer Bank)
19. RSSD number type (Exempt Affiliated Bank)
Attribute(s)
n/a
Parent Element:
PartyIdentification
Element Restriction(s):
Required. This element must be recorded when the parent element is recorded.
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Element Name:
PartyIdentificationTypeCode
minOccurs:
1
maxOccurs:
1
Value Restriction(s):
The value provided must conform to the following requirements: Identify the identification type by
recording the appropriate code from the list below (by party type):
Code
Description
Party Type (Code)
35
11
45
12
28
Transmitter Control Code (TCC)
●
2
Employer Identification Number (EIN)
●
●
●
●
1
Social Security Number (SSN) / Individual Taxpayer Identification
Number (ITIN)
●
14
Research, Statistics, Supervision, and Discount (RSSD) Number
●
●
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element contains a value not equal to one of the approved codes listed above.
The element is recorded but without a value (i.e. the value is null).
The element contains a value that is not valid for the associated party type.
The element contains a value that has already been recorded for the same party type.
Example:
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
4.5.5. PartyOccupationBusiness Elements
Element Name:
PartyOccupationBusiness
minOccurs:
0
maxOccurs:
1
Description:
Occupation or type of business (header). This is the container for information about the occupation or
type of business of the Exempt party.
The following sub-element is associated with this element:
Exempt Party: Occupation and/or NAICS Code (if known | Part II, Item 7/7a)
Name
minOccurs
maxOccurs
Content
NAICSCode (Item 7a)
0
1
Simple
OccupationBusinessText (Item 7)
0
1
Simple
*If the <PartyOccupationBusiness> element is recorded for the Exempt Party, then at least one of the
above elements should be recorded with a valid value.
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Record this element when the occupation and/or NAICS Code is known for the Exempt party; otherwise,
do not record this element.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
Activity party type code definitions
35 = Transmitter | 11 = Exempt Party
45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
Activity party type code definitions
11 = Exempt Party
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Element Name:
PartyOccupationBusiness
minOccurs:
0
maxOccurs:
1
The element is recorded for a valid party type, but all sub-elements are missing or do not
contain a value.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
Example:
<fc2:PartyOccupationBusiness SeqNum="29">
<fc2:NAICSCode>4248</fc2:NAICSCode>
<fc2:OccupationBusinessText>Business Description</fc2:OccupationBusinessText>
</fc2:PartyOccupationBusiness>
NOTE: Only record the PartyOccupationBusiness sub-elements that are known. If both sub-elements are
unknown, do not record the above PartyOccupationBusiness element and associated sub-elements.
Element Name:
NAICSCode
minOccurs:
0
maxOccurs:
1
Description:
NAICS Code (text). This element identifies the North American Industry Classification System (NAICS)
code for the occupation or type of business of the Exempt Party. This element corresponds with the
following item:
7a. NAICS Code
Please refer to Attachment C item instructions for additional information about this item.
Attribute(s)
n/a
Parent Element:
PartyOccupationBusiness
Element Restriction(s):
Record this element when the NAICS code associated with the Exempt Party is known; otherwise, do not
record this element.
Value Restriction(s):
The value provided must adhere to the following requirements: 3-6 digit numeric characters. Use the list
of NAICS Codes authorized for use in the FinCEN DOEP located on the BSA E-Filing Web Site
(http://bsaefiling.fincen.treas.gov) or from the U.S. Census Bureau NAICS list. Select a code that most-
closely relates to the occupation or type of business recorded for the exempt person in the
<OccupationBusinessText> element.
Remarks:
n/a
Example:
<fc2:NAICSCode>4248</fc2:NAICSCode>
Element Name:
OccupationBusinessText
minOccurs:
0
maxOccurs:
1
Description:
Occupation or type of business (description). This element identifies the description of the occupation,
profession, or type of business of the Exempt party. This element corresponds with the following item:
7. Occupation or type of business
Please refer to Attachment C item instructions for additional information about this item.
Attribute(s)
n/a
Parent Element:
PartyOccupationBusiness
Element Restriction(s):
Record this element when the occupation or type of business associated with the Exempt Party is
known; otherwise, do not record this element.
Value Restriction(s):
The value provided must conform to the following requirements: 30 characters or less
Remarks:
n/a
Example:
<fc2:OccupationBusinessText>Business Description</fc2:OccupationBusinessText>
4.5.6. ElectronicAddress Elements
Element Name:
ElectronicAddress
minOccurs:
0
maxOccurs:
1
Description:
Electronic address (header). This is the container for information about the e-mail address associated
with the Exempt Party.
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Element Name:
ElectronicAddress
minOccurs:
0
maxOccurs:
1
The following sub-element is associated with this element:
Exempt Party: E-mail address (Required if known | Part II, Item 14)
Name
minOccurs
maxOccurs
Content
ElectronicAddressText (Item 14)
1
1
Simple
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Party
Element Restriction(s):
Record this element when the e-mail address associated with the Exempt Party is known; otherwise, do
not record this element.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is recorded for an inappropriate party type (see Element Restrictions for more
information).
The element is recorded for a valid party type, but all sub-elements are missing.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
Example:
<fc2:ElectronicAddress SeqNum="30">
<fc2:ElectronicAddressText>john.[email protected]</fc2:ElectronicAddressText>
</fc2:ElectronicAddress>
Element Name:
ElectronicAddressText
minOccurs:
1
maxOccurs:
1
Description:
Electronic address (text). This element identifies the email address associated with the Exempt party.
This element corresponds with the following item:
14. E-mail address
Please refer to Attachment C item instructions for additional information about this item.
Attribute(s)
n/a
Parent Element:
ElectronicAddress
Element Restriction(s):
Record this element when the parent element is recorded.
Value Restriction(s):
The value provided must adhere to the following requirements: 100 characters or less; the value must
contain the "@" sign followed by at least one period (e.g. richardroephd@college.edu)
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded and the parent element is recorded.
The batch submission will be accepted with warning if any of the following conditions are true:
The value recorded for the element is not a valid email address.
Example:
<fc2:ElectronicAddressText>john.[email protected]</fc2:ElectronicAddressText>
Activity party type code definitions
11 = Exempt Party
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4.6. DesignationExemptActivity Elements
Element Name:
DesignationExemptActivity
minOccurs:
1
maxOccurs:
1
Description:
This is the container for information about the type of exempt person and the effective date of the
exemption associated with the FinCEN DOEP.
The following sub-element is associated with this element:
Name
minOccurs
maxOccurs
Category
ExemptBasisTypeCode (Item 16)
1
1
Simple
ExemptEffectiveBeginDateText (Item 2)
1
1
Simple
Attribute(s)
The following attributes must be recorded for this element:
Name
Description
SeqNum
The value recorded for this attribute must be numeric and unique. It may contain
any numeric value up to 19 characters in length.
Parent Element:
Activity
Element Restriction(s):
Required. This element must be recorded.
Value Restriction(s):
n/a
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is missing a “SeqNum” attribute.
The element contains a “SeqNum” attribute with a duplicate or invalid value.
Example:
<fc2:DesignationExemptActivity SeqNum="17">
<fc2:ExemptBasisTypeCode>C</fc2:ExemptBasisTypeCode>
<fc2:ExemptEffectiveBeginDateText>20190208</fc2:ExemptEffectiveBeginDateText>
</fc2:DesignationExemptActivity>
Element Name:
ExemptBasisTypeCode
minOccurs:
1
maxOccurs:
1
Description:
Exempt basis type (code). This element identifies the exempt person type. This element corresponds
with the following item:
16. Type of exempt person
Attribute(s)
n/a
Parent Element:
DesignationExemptActivity
Element Restriction(s):
Required. This element must be recorded.
Value Restriction(s):
The value provided must conform to the following requirements:
Code
Description
C
Listed company
D
Listed company subsidiary
E
Eligible non-listed business
F
Payroll customer
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is recorded but with no value (i.e. the value is null).
The element contains an invalid value.
Example:
<fc2:ExemptBasisTypeCode>C</fc2:ExemptBasisTypeCode>
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Element Name:
ExemptEffectiveBeginDateText
minOccurs:
1
maxOccurs:
1
Description:
Exempt effective begin date (date). This element identifies the effective date of the exemption. When
filing an initial designation, enter the date of the first transaction to be exempted. When filing an
amended exemption, if the effective date of the exemption is not being amended, the date entered
should be the same date the bank used in the “Effective date of exemption” field when the initial
designation was made; otherwise, enter the revised date of the first transaction to be exempted. When
filing a revoked exemption, enter the day after the date of the last transaction that was exempted.
This element corresponds with the following item:
2. Effective date of the exemption
Attribute(s)
n/a
Parent Element:
DesignationExemptActivity
Element Restriction(s):
Required. This element must be recorded.
Value Restriction(s):
The value provided must conform to the following requirements: 8 numeric characters in the format
YYYYMMDD where YYYY = year, MM = month, and DD = day. Single digit days or months must be
prefaced by a zero.
Remarks:
The batch submission will be rejected if any of the following conditions are true:
The element is not recorded.
The element is recorded but does not contain a value.
The value recorded for the element is not in the required format (YYYYMMDD).
The batch submission will be accepted with warning if any of the following conditions are true:
The value recorded is greater than the date of signature (FilingDateText).
The value recorded is less than January 1, 2000.
Example:
<fc2:ExemptEffectiveBeginDateText>20190208</fc2:ExemptEffectiveBeginDateText>
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5. Party Elements by Party Type
The <Party> element is comprised of various elements and sub-elements that apply to specific party types (i.e.
Transmitter, Individual from whom the cash was received, etc.). The chart below describes at a high level the party
elements that apply to each party type.
Element name
35
37
3
11
45
12
<fc2:Party SeqNum="">
●
●
●
●
●
●
<fc2:ActivityPartyTypeCode/>
●
●
●
●
●
●
<fc2:PartyAsEntityOrganizationIndicator/>
●
<fc2:PrimaryRegulatorTypeCode/>
●
●
<fc2:PartyName SeqNum="">
●
●
●
●
●
●
<fc2:PartyNameTypeCode/>
●
●
●
<fc2:RawEntityIndividualLastName/>
●
<fc2:RawIndividualFirstName/>
●
<fc2:RawIndividualMiddleName/>
●
<fc2:RawIndividualNameSuffixText/>
●
<fc2:RawIndividualTitleText/>
●
<fc2:RawPartyFullName/>
●
●
●
●
●
●
</fc2:PartyName>
●
●
●
●
●
●
<fc2:Address SeqNum="">
●
●
●
●
<fc2:RawCityText/>
●
●
●
●
<fc2:RawCountryCodeText/>
●
●
<fc2:RawStateCodeText/>
●
●
●
●
<fc2:RawStreetAddress1Text/>
●
●
●
●
<fc2:RawZIPCode/>
●
●
●
●
</fc2:Address>
●
●
●
●
<fc2:PhoneNumber SeqNum="">
●
●
●
<fc2:PhoneNumberExtensionText/>
●
<fc2:PhoneNumberText/>
●
●
●
</fc2:PhoneNumber>
●
●
●
<fc2:PartyIdentification SeqNum="">
●
●
●
●
<fc2:PartyIdentificationNumberText/>
●
●
●
●
<fc2:PartyIdentificationTypeCode/>
●
●
●
●
</fc2:PartyIdentification>
●
●
●
●
<fc2:PartyOccupationBusiness SeqNum="">
●
<fc2:NAICSCode/>
●
<fc2:OccupationBusinessText/>
●
</fc2:PartyOccupationBusiness>
●
<fc2:ElectronicAddress SeqNum="">
●
<fc2:ElectronicAddressText/>
●
</fc2:ElectronicAddress>
●
</fc2:Party>
●
●
●
●
●
●
Activity party type code definitions
35 = Transmitter | 37 = Transmitter Contact | 3 = Authorized Official
11 = Exempt Party | 45 = Exempt Filer Bank | 12 = Exempt Affiliated Bank
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5.1. Party Record Examples
5.1.1. Transmitter
Party Type
Transmitter
minOccurs:
1
maxOccurs:
1
35
<fc2:Party SeqNum="4">
<fc2:ActivityPartyTypeCode>35</fc2:ActivityPartyTypeCode>
<fc2:PartyName SeqNum="5">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>Transmitter legal name</fc2:RawPartyFullName>
</fc2:PartyName>
<fc2:Address SeqNum="6">
<fc2:RawCityText>Transmitter city</fc2:RawCityText>
<fc2:RawCountryCodeText>US</fc2:RawCountryCodeText>
<fc2:RawStateCodeText>VA</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>Transmitter street address</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>22113</fc2:RawZIPCode>
</fc2:Address>
<fc2:PhoneNumber SeqNum="7">
<fc2:PhoneNumberText>7217894455</fc2:PhoneNumberText>
</fc2:PhoneNumber>
<fc2:PartyIdentification SeqNum="8">
<fc2:PartyIdentificationNumberText>458985215</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="9">
<fc2:PartyIdentificationNumberText>PBSA8180</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>28</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
</fc2:Party>
5.1.2. Transmitter Contact
Party Type
Transmitter Contact
minOccurs:
1
maxOccurs:
1
37
<fc2:Party SeqNum="10">
<fc2:ActivityPartyTypeCode>37</fc2:ActivityPartyTypeCode>
<fc2:PartyName SeqNum="11">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>Transmitter contact legal name</fc2:RawPartyFullName>
</fc2:PartyName>
</fc2:Party>
5.1.3. Exempt Party
Party Type
Exempt Party
minOccurs:
1
maxOccurs:
1
11
<fc2:Party SeqNum="10">
<fc2:ActivityPartyTypeCode>11</fc2:ActivityPartyTypeCode>
<fc2:PartyAsEntityOrganizationIndicator>Y</fc2:PartyAsEntityOrganizationIndicator>
<fc2:PartyName SeqNum="24">
<fc2:PartyNameTypeCode>L</fc2:PartyNameTypeCode>
<fc2:RawEntityIndividualLastName>Johnson Wedding
Company</fc2:RawEntityIndividualLastName>
</fc2:PartyName>
<fc2:PartyName SeqNum="25">
<fc2:PartyNameTypeCode>DBA</fc2:PartyNameTypeCode>
<fc2:RawPartyFullName>JWC</fc2:RawPartyFullName>
</fc2:PartyName>
<fc2:Address SeqNum="26">
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 40
Party Type
Exempt Party
minOccurs:
1
maxOccurs:
1
<fc2:RawCityText>Rockcreek</fc2:RawCityText>
<fc2:RawStateCodeText>NY</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>987 Flint Street</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>21121</fc2:RawZIPCode>
</fc2:Address>
<fc2:PhoneNumber SeqNum="27">
<fc2:PhoneNumberExtensionText>4412</fc2:PhoneNumberExtensionText>
<fc2:PhoneNumberText>3659855214</fc2:PhoneNumberText>
</fc2:PhoneNumber>
<fc2:PartyIdentification SeqNum="28">
<fc2:PartyIdentificationNumberText>212121211</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyOccupationBusiness SeqNum="29">
<fc2:NAICSCode>554</fc2:NAICSCode>
<fc2:OccupationBusinessText>Wedding Planner</fc2:OccupationBusinessText>
</fc2:PartyOccupationBusiness>
<fc2:ElectronicAddress SeqNum="30">
<fc2:ElectronicAddressText>[email protected]g</fc2:ElectronicAddressText>
</fc2:ElectronicAddress>
</fc2:Party>
5.1.4. Exempt Filer Bank
Party Type
Exempt Filer Bank
minOccurs:
1
maxOccurs:
1
45
<fc2:Party SeqNum="11">
<fc2:ActivityPartyTypeCode>45</fc2:ActivityPartyTypeCode>
<fc2:PrimaryRegulatorTypeCode>1</fc2:PrimaryRegulatorTypeCode>
<fc2:PartyName SeqNum="31">
<fc2:RawPartyFullName>Bank of the West</fc2:RawPartyFullName>
</fc2:PartyName>
<fc2:Address SeqNum="32">
<fc2:RawCityText>Cityville</fc2:RawCityText>
<fc2:RawStateCodeText>AZ</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>555 Rolling Creek Way</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>554478985</fc2:RawZIPCode>
</fc2:Address>
<fc2:PartyIdentification SeqNum="33">
<fc2:PartyIdentificationNumberText>318181818</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="34">
<fc2:PartyIdentificationNumberText>445581258</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>14</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
</fc2:Party>
5.1.1. Exempt Affiliated Bank
Party Type
Exempt Affiliated Bank
minOccurs:
0
maxOccurs:
99
12
<fc2:Party SeqNum="11">
<fc2:ActivityPartyTypeCode>12</fc2:ActivityPartyTypeCode>
<fc2:PrimaryRegulatorTypeCode>1</fc2:PrimaryRegulatorTypeCode>
<fc2:PartyName SeqNum="31">
<fc2:RawPartyFullName>West Down Station Bank</fc2:RawPartyFullName>
</fc2:PartyName>
<fc2:Address SeqNum="32">
<fc2:RawCityText>Cityville</fc2:RawCityText>
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FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 41
Party Type
Exempt Affiliated Bank
minOccurs:
0
maxOccurs:
99
<fc2:RawStateCodeText>AZ</fc2:RawStateCodeText>
<fc2:RawStreetAddress1Text>19 Rolling Meadows Avenue</fc2:RawStreetAddress1Text>
<fc2:RawZIPCode>44578</fc2:RawZIPCode>
</fc2:Address>
<fc2:PartyIdentification SeqNum="33">
<fc2:PartyIdentificationNumberText>665523259</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>2</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
<fc2:PartyIdentification SeqNum="34">
<fc2:PartyIdentificationNumberText>332211454</fc2:PartyIdentificationNumberText>
<fc2:PartyIdentificationTypeCode>14</fc2:PartyIdentificationTypeCode>
</fc2:PartyIdentification>
</fc2:Party>
5.1.1. Authorized Official
Party Type
Designated Contact Office
minOccurs:
1
maxOccurs:
1
3
<fc2:Party SeqNum="88">
<fc2:ActivityPartyTypeCode>3</fc2:ActivityPartyTypeCode>
<fc2:PartyName SeqNum="89">
<fc2:RawIndividualTitleText>Authorizing person title</fc2:RawIndividualTitleText>
<fc2:RawPartyFullName>Authorizing person name</fc2:RawPartyFullName>
</fc2:PartyName>
</fc2:Party>
Financial Crimes Enforcement Network
FinCEN DOEP | Form 110 - XML Schema 2.0 User Guide (v1.2 | August 2021) 42
6. FinCEN DOEP XML Acknowledgement Format
The FinCEN DOEP XML batch acknowledgement file defined below is provided in XML format. The acknowledgement
file will contain a BSA Identifier and any corresponding acknowledgement errors associated with each FinCEN DOEP
<Activity> element received in the batch submission. Please visit
https://www.fincen.gov/sites/default/files/schema/base/EFL_BatchAcknowledgementSchema.xsd to access the FinCEN
XML 2.0 batch acknowledgement schema file.
6.1. XML File Structure
6.1.1. XML declaration/prolog
The XML declaration appears on the first line of the acknowledgement file.
Element Name:
?xml
minOccurs:
1
maxOccurs:
1
Description:
XML declaration/prolog. This is the XML declaration which specifies the XML version and character
encoding used in the file.
Attribute(s):
version. The version number of the XML. The value recorded will be “1.0”
encoding. The character encoding used for the XML. The value recorded will be “UTF-8”
Parent Element:
n/a
Element Restriction(s)
This declaration will always be recorded on the first line of the file.
Value Restriction(s):
The value provided will be:
<?xml version=”1.0” encoding=”UTF-8”?>
Remarks:
none
Example:
<?xml version=”1.0” encoding=”UTF-8”?>
6.1.2. EFilingBatchXML
The <EFilingBatchXML> element is the first element recorded in the file and is considered the root element.
Element Name:
EFilingBatchXML
minOccurs:
1
maxOccurs:
1
Description:
Batch acknowledgement (header). This is the container for the contents of the batch acknowledgement
file.
This element is parent to the following sub-elements:
EFilingSubmissionXML *
NOTE: Elements marked with an asterisk * contain sub-elements.
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Attribute(s):
SeqNum (this is a sequential number assigned by FinCEN to identify the corresponding element in the
associated batch file)
StatusCode (this will have a value of “A” to indicate “Acknowledged”)
Parent Element:
n/a (this is the root element in the acknowledgment file)
Element Restriction(s)
This element will always be recorded.
Value Restriction(s):
n/a
Remarks:
n/a
Example:
<EFilingBatchXML SeqNum="1" StatusCode="A">
6.1.3. EFilingSubmissionXML
The <EFilingSubmissionXML> element directly follows the <EFilingBatchXML> root element. This element is for
FinCEN use only.
Element Name:
EFilingSubmissionXML
minOccurs:
1
maxOccurs:
1
Description:
Submission acknowledgement (header). This is the container for all FinCEN DOEP <Activity> elements
recorded in the associated batch submission.
This element is parent to the following sub-elements:
EFilingActivityXML *
NOTE: Elements marked with an asterisk * contain sub-elements.
Attribute(s):
xmlns (this will always be www.fincen.gov/base)
SeqNum (this is a sequential number assigned by FinCEN to identify the corresponding element in the
associated batch file)
StatusCode (this will have a value of “A” to indicate “Acknowledged”)
Parent Element:
EFilingBatchXML
Element Restriction(s):
This element will always be recorded.
Value Restriction(s):
n/a
Remarks:
This element is for FinCEN use only.
Example:
<EFilingSubmissionXML xmlns="www.fincen.gov/base" SeqNum="1" StatusCode="A">
6.1.4. EFilingActivityXML
Each <EFilingActivityXML> element in the batch acknowledgement file corresponds with each FinCEN DOEP
<Activity> element recorded in the original batch submission along with the sequence number (SeqNum) attribute
value.
Element Name:
EFilingActivityXML
minOccurs:
1
maxOccurs:
unbounded
Description:
Activity acknowledgement (header). This is the container for acknowledgement information for each
FinCEN DOEP <Activity> element recorded in the associated batch submission.
This element is parent to the following sub-elements:
BSAID
EFilingActivityErrorXML *
NOTE: Elements marked with an asterisk * contain sub-elements.
Attribute(s):
SeqNum (this sequential number matches the value recorded in the associated batch submission)
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Parent Element:
EFilingSubmissionXML
Value Restriction(s):
n/a
Remarks:
none
Example:
<EFilingActivityXML SeqNum="1">
<BSAID>31000055053784</BSAID>
<EFilingActivityErrorXML SeqNum="1"/>
</EFilingActivityXML>
Element Name:
BSAID
minOccurs:
1
maxOccurs:
1
Description:
Activity acknowledgement BSA Identifier (text). This element identifies the BSA Identifier (BSA ID)
assigned by FinCEN to the FinCEN DOEP document.
Attribute(s):
n/a
Parent Element:
EFilingActivityXML
Value Restriction(s):
14 characters (numeric only)
Remarks:
none
Example:
<BSAID>31000055053784</BSAID>
6.1.5. EFilingActivityErrorXML
There will be at least one <EFilingActivityErrorXML> element for each <EFilingActivityXML> element in the batch
acknowledgement file.
Element Name:
EFilingActivityErrorXML
minOccurs:
1
maxOccurs:
unbounded
Description:
Activity acknowledgement error (header). This is the container for error information generated during
processing of the associated batch submission related to the FinCEN DOEP activity.
This element is parent to the following sub-elements:
ErrorContextText
ErrorElementNameText
ErrorLevelText
ErrorText
ErrorTypeCode
Attribute(s):
SeqNum (this is a sequential number assigned by FinCEN)
Parent Element:
EFilingActivityXML
Value Restriction(s):
n/a
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<EFilingActivityErrorXML SeqNum="1">
<ErrorContextText>EFilingBatchXML/Activity[1]/EFilingPriorDocumentNumber</ErrorContextText>
<ErrorElementNameText>EFilingPriorDocumentNumber</ErrorElementNameText>
<ErrorLevelText>WARN</ErrorLevelText>
<ErrorText>The BSA ID is not provided and the type of filing is exemption amended or
exemption revoked.</ErrorText>
<ErrorTypeCode>D03</ErrorTypeCode>
</EFilingActivityErrorXML>
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Element Name:
ErrorContextText
minOccurs:
0
maxOccurs:
1
Description:
Acknowledgement error type (text). This element identifies the element location (within the associated
batch submission) that triggered the error by identifying the name and sequence number of the
element’s <Parent> element.
Attribute(s):
n/a
Parent Element:
EFilingActivityErrorXML
Value Restriction(s):
1-4000 characters
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<ErrorContextText>EFilingBatchXML/Activity[1]/EFilingPriorDocumentNumber</ErrorContextText>
Element Name:
ErrorElementNameText
minOccurs:
0
maxOccurs:
1
Description:
Element acknowledgement error association (text). This element identifies the element name from the
associated batch submission that triggered the error.
Attribute(s):
n/a
Parent Element:
EFilingActivityErrorXML
Value Restriction(s):
1-512 characters
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<ErrorElementNameText>EFilingPriorDocumentNumber</ErrorElementNameText>
Element Name:
ErrorLevelText
minOccurs:
0
maxOccurs:
1
Description:
Acknowledgement error severity level (text). This element identifies the level of severity associated with
the error.
Attribute(s):
n/a
Parent Element:
EFilingActivityErrorXML
Value Restriction(s):
1-50 characters
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<ErrorLevelText>WARN</ErrorLevelText>
Element Name:
ErrorText
minOccurs:
0
maxOccurs:
1
Description:
Acknowledgement error description (text). This element identifies the description of the error.
Attribute(s):
n/a
Parent Element:
EFilingActivityErrorXML
Value Restriction(s):
1-525 characters
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<ErrorText>The BSA ID is not provided and the type of filing is exemption amended or exemption
revoked.</ErrorText>
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Element Name:
ErrorTypeCode
minOccurs:
0
maxOccurs:
1
Description:
Acknowledgement error type (code). This element identifies the code associated with the error.
Attribute(s):
n/a
Parent Element:
EFilingActivityErrorXML
Value Restriction(s):
1-50 characters
Remarks:
If there are no errors identified for the FinCEN DOEP activity, then the <EFilingActivityErrorXML>
element will be recorded with a self-closing tag (e.g. <EFilingActivityErrorXML SeqNum=”1”/>) and this
element will not be recorded.
Example:
<ErrorTypeCode>D03</ErrorTypeCode>
6.2. Acknowledgement XML Example
The following is a sample FinCEN DOEP acknowledgement XML generated by FinCEN and delivered to the batch filer.
File type
FinCEN DOEP XML Batch Acknowledgement (Sample)
Example:
<?xml version="1.0" encoding="UTF-8"?>
<EFilingBatchXML xmlns="www.fincen.gov/base" SeqNum="1" StatusCode="A">
<EFilingSubmissionXML SeqNum="1" StatusCode="A">
<EFilingActivityXML SeqNum="1">
<BSAID>31000055053784</BSAID>
<EFilingActivityErrorXML SeqNum="1">
<ErrorContextText>EFilingBatchXML/Activity[1]/Party[25]/PartyName[30]/RawIndivi
dualFirstName</ErrorContextText>
<ErrorElementNameText>RawIndividualFirstName</ErrorElementNameText>
<ErrorLevelText>WARN</ErrorLevelText>
<ErrorText>The exempt person is an individual and first name is not
provided.</ErrorText>
<ErrorTypeCode>P02</ErrorTypeCode>
</EFilingActivityErrorXML>
<EFilingActivityErrorXML SeqNum="2">
<ErrorContextText>EFilingBatchXML/Activity[1]/Party[78]/Address[84]/RawZIPCode
</ErrorContextText>
<ErrorElementNameText>RawIndividualFirstName</ErrorElementNameText>
<ErrorLevelText>WARN</ErrorLevelText>
<ErrorText>The ZIP Code of the bank is not provided.</ErrorText>
<ErrorTypeCode>B08</ErrorTypeCode>
</EFilingActivityErrorXML>
</EFilingActivityXML>
<EFilingActivityXML SeqNum="2">
<BSAID>31000055053785</BSAID>
<EFilingActivityErrorXML SeqNum="1"/>
</EFilingActivityXML>
<EFilingActivityXML SeqNum="3">
<BSAID>31000055053786</BSAID>
<EFilingActivityErrorXML SeqNum="1"/>
</EFilingActivityXML>
</EFilingSubmissionXML>
</EFilingBatchXML>
Notes:
The sample above consists of three (3) FinCEN DOEP activities based on the original FinCEN DOEP batch
submission:
Each FinCEN DOEP from the original batch submission is associated with a <EFilingActivityXML>
element
Each FinCEN DOEP receives a unique BSA Identifier (BSA ID)
FinCEN DOEP (BSA ID: 31000055053784) contains two errors (P02 & B08)
FinCEN DOEP (BSA ID: 31000055053785) contains no errors
FinCEN DOEP (BSA ID: 31000055053786) contains no errors
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7. Attachment A – Error Descriptions
The following table lists the errors that your batch may receive as a result of missing or invalid data formatting.
FinCEN strongly encourages that filers first test their XML batch files for schema compliance using the schemas
available at www.fincen.gov/base. Your batch file should pass schema validation before you attempt to submit to
FinCEN. As a result, this table does not include all possible schema validation errors, as these will be handled by your
XML software during testing. Your batch file must pass schema validation before attempting to submit to FinCEN via
BSA E-Filing; otherwise, it will be rejected.
7.1. General errors
These errors can occur throughout the batch file:
Code
Error Text
Severity
Associated Element(s)
Form Reference
A00
Schema Validation Failure. The batch
XML does not conform to the basic
schema requirements for this form
type and therefore the batch
submission has been rejected. Please
validate the batch against the
associated XML schema to ensure it
is properly formatted before
attempting to resubmit.
Fatal
n/a
n/a
A03
The element is recorded for an
inappropriate party type
Fatal
Miscellaneous
Miscellaneous
A04
The element is recorded but all sub-
elements are missing.
Fatal
Miscellaneous
Miscellaneous
A05
The element contains a value that is
not valid for the associated party
type.
Fatal
Miscellaneous
Miscellaneous
A06
The reported attribute count does
not match the actual count.
Fatal
EFilingBatchXML:
ActivityCount and/or
PartyCount
n/a
A07
The value is null or not equal to
DOEPX.
Fatal
FormTypeCode
n/a
A08
The value recorded is a numeric entry
not equal to 14 digits (with the
exceptions of “0”).
Fatal
EFilingPriorDocumentNumb
er
BSA ID
A09
The critical element is not recorded
or does not contain a value.
Fatal
Miscellaneous
Miscellaneous
Error Level
Fatal
Batch rejection
These errors are related to the batch format and must be resolved before attempting to resubmit the batch.
Primary Warning
Batch acceptance with warning(s) classified as primary data errors
These errors violate electronic filing requirements or report instructions and so degrade FinCEN DOEP data quality that they must
be corrected (along with warning errors) as a correction/amendment FinCEN DOEP. Error codes marked with an asterisk (*) in the
tables below are primary warnings.
Warning
Batch acceptance with warning(s) classified as secondary data errors.
These errors that violate electronic filing requirements or report instructions but have a lesser impact on FinCEN DOEP data quality.
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Code
Error Text
Severity
Associated Element(s)
Form Reference
A10
The element is not recorded or does
not contain a value.
Warning
Miscellaneous
Miscellaneous
A11
The value recorded for the critical
element is not valid.
Fatal
Miscellaneous
Miscellaneous
A12
The value recorded for the element is
invalid.
Warning
Miscellaneous
Miscellaneous
A13
The element recorded conflicts with
one or more recorded critical
elements.
Fatal
Miscellaneous
Miscellaneous
A14
The element recorded conflicts with
one or more recorded elements.
Warning
Miscellaneous
Miscellaneous
F60
The namespace prefix for the
element is invalid.
Fatal
Miscellaneous
Miscellaneous
E00
This submission has been rejected
because it contains significant errors.
Please fix and re-submit the file.
Information
This error code is produced
when the batch is rejected
due to one or more fatal
errors.
Miscellaneous
7.2. Document Errors
These errors can occur at the FinCEN DOEP document level:
Code
Error Text
Severity
Associated Element(s)
Form Reference
D01
The type of filing is not indicated.
Fatal
ActivityAssociation
ExemptionAmendedIndicator
ExemptionRevokedIndicator
InitialDesignationIndicator
1 Indicate the type of
Filing
D02
More than one type of filing is
indicated.
Fatal
ExemptionAmendedIndicator
ExemptionRevokedIndicator
InitialDesignationIndicator
1 Indicate the type of
Filing
D03
The BSA ID is not provided and the
type of filing is exemption amended
or exemption revoked.
Warning
EFilingPriorDocumentNumber
1 BSA Identifier
D04
The BSA ID is provided and the type
of filing is not exemption amended
or exemption revoked.
Warning
EFilingPriorDocumentNumber
1 BSA Identifier
D05*
The effective date of the exemption is
greater than the date of signature
(FilingDateText) or is less than
January 1, 2000.
Warning
ExemptEffectiveBeginDateText
2 Effective date of the
exemption
D06
The phone number recorded for the
Authorized Official is invalid.
Warning
PhoneNumberText
29 Phone number
(include area code)
D07
The date of signature is greater than
the current date or less than January
1, 2000.
Warning
FilingDateText
30 Date of signature
D08
Missing Transmitter party type
Fatal
Transmitter (35)
NA
D09
More than one Transmitter party type
is recorded.
Fatal
Transmitter (35))
NA
D10
Missing Transmitter Contact party
type.
Fatal
Transmitter Contact (37)
NA
D11
More than one Transmitter Contact
party type recorded.
Fatal
Transmitter Contact (37)
NA
D12
Missing Exempt Party party type.
Fatal
Exempt Party (11)
Part II (Items: 3-16)
D13
More than one Exempt Party party
type is recorded.
Fatal
Exempt Party (11)
Part II (Items: 3-16)
D14
Missing Exempt Filer Bank party type.
Fatal
Exempt Filer Bank (45)
Part III (Items: 17-25)
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Code
Error Text
Severity
Associated Element(s)
Form Reference
D15
More than one Exempt Filer Bank
party type is recorded.
Fatal
Exempt Filer Bank (45)
Part III (Items: 17-25)
D16
More than 99 Exempt Affiliate Bank
party types are recorded.
Fatal
Exempt Affiliated Bank (12)
Affiliated Bank (Items: 17-
24)
D17
More than one Authorized Official
party type is recorded.
Fatal
Authorized Official (3)
Part IV (Items: 26, 27, 29,
29a)
7.3. Exempt Person (Part II) Errors
These errors can occur at the FinCEN DOEP document level associated with the Part II Exempt Person section of the
form:
Code
Error Text
Severity
Associated Element(s)
Form Reference
P01*
The last name/entity legal name of
the exempt person is not provided.
Warning
PartyName
PartyNameTypeCode
RawEntityIndividualLastName
3 Individual's last name or
entity's legal name of the
exempt person
P02*
The exempt person is an individual
and first name is not provided.
Warning
PartyAsEntityOrganizationIndic
ator
PartyName
PartyNameTypeCode
RawIndividualFirstName
4 First name (“If entity”
not indicated)
P03
The exempt person is an entity and
first name is provided.
Warning
PartyAsEntityOrganizationIndic
ator
PartyName
PartyNameTypeCode
RawIndividualFirstName
4 First name (“If entity”
indicated)
P04
The exempt person is an entity and
middle name is provided.
Warning
PartyAsEntityOrganizationIndic
ator
PartyName
PartyNameTypeCode
RawIndividualMiddleName
5 Middle name (“If entity”
indicated)
P05
The exempt person is an entity and
suffix name is provided.
Warning
PartyAsEntityOrganizationIndic
ator
PartyName
PartyNameTypeCode
RawIndividualNameSuffixText
5 Suffix name (“If entity”
indicated)
P06
The address of the exempt person is
not provided.
Warning
Address
8-11. Address
P07
The street address of the exempt
person is not provided.
Warning
RawStreetAddress1Text
8. Address
P08
The city of the exempt person is not
provided.
Warning
RawCityText
9. City
P09
The state/territory of the exempt
person is not provided.
Warning
RawStateCodeText
10. State
P10
The state/territory code of the
exempt person is invalid.
Warning
RawStateCodeText
10. State
P11
The state/territory/country code
mismatch.
Warning
RawStateCodeText
RawCountryCodeText
10. State
P12
The ZIP Code of the exempt person is
not provided.
Warning
RawZIPCode
11. ZIP Code
P13
The ZIP Code of the exempt person is
invalid.
Warning
RawZIPCode
11. ZIP Code
P14
The TIN of the exempt person is not
provided.
Warning
PartyIdentification
PartyIdentificationNumberText
PartyIdentificationTypeCode
12. TIN
13. TIN Type
P15
The TIN of the exempt person is
invalid.
Warning
PartyIdentificationNumberText
12. TIN
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Code
Error Text
Severity
Associated Element(s)
Form Reference
P16
The email address of the exempt
person is invalid.
Warning
ElectronicAddressText
14. E-mail address
P17
The phone number of the exempt
person is invalid.
Warning
PhoneNumberText
15. Phone number
7.4. Filer (Part III) & Affiliated Bank Errors
These errors can occur at the FinCEN DOEP document level associated with the Part II Filer, as well as the Affiliated
Bank, sections of the form:
Code
Error Text
Severity
Associated Element(s)
Form Reference
B01
The primary regulator of the bank is
not provided.
Warning
PrimaryRegulatorTypeCode
24. Bank’s primary
federal regulator
B02*
The legal name of the bank is not
provided.
Warning
PartyName
RawPartyFullName
17. Name of Bank
B03
The address of the bank is not
provided.
Warning
Address
20-23. Address
B04
The street address of the bank is not
provided.
Warning
RawStreetAddress1Text
20. Address
B05
The city of the bank is not provided.
Warning
RawCityText
21. City
B06
The state/territory of the bank is not
provided.
Warning
RawStateCodeText
22. State
B07
The state/territory code of the bank is
invalid.
Warning
RawStateCodeText
22. State
B08
The ZIP Code of the bank is not
provided.
Warning
RawZIPCode
23. ZIP Code
B09
The ZIP Code of the bank is invalid.
Warning
RawZIPCode
23. ZIP Code
B10*
The EIN of the bank is not provided.
Warning
PartyIdentification
PartyIdentificationNumberText
PartyIdentificationTypeCode
18. EIN
B11*
The EIN of the bank is invalid.
Warning
PartyIdentificationNumberText
18. EIN
B12
The FinCEN DOEP does not include
an Exempt Affiliated Bank party type
but the
DesignatedMoreThanOneBankIndicat
or element is recorded with a Y value.
Warning
DesignatedMoreThanOneBankIn
dicator
25. If this designation is
also being made for one
or more affiliated banks
B13
The FinCEN DOEP contains one or
more Exempt Affiliated Bank party
types but the
DesignatedMoreThanOneBankIndicat
or element is not recorded with a Y
value.
Warning
DesignatedMoreThanOneBankIn
dicator
25. If this designation is
also being made for one
or more affiliated banks
7.5. Transmitter & Transmitter Contact Errors
These errors can occur at the FinCEN DOEP document level associated with Transmitter of the batch as well as the
Transmitter Contact:
Code
Error Text
Severity
Associated Element(s)
Form Reference
T01
The legal name is not recorded.
Warning
Party: Transmitter (35) and/or
Transmitter contact (37)
n/a
T02
The element is not recorded.
Warning
Address (Transmitter (35))
n/a
T03
The element is not recorded or does
not contain a value.
Warning
RawCityText (Transmitter (35))
n/a
T04
The element is not recorded or does
not contain a value.
Warning
RawCountryCodeText
(Transmitter (35))
n/a
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Code
Error Text
Severity
Associated Element(s)
Form Reference
T05
The element is not recorded or does
not contain a value when the country
is US, CA, MX, or a U.S. Territory.
Warning
RawStateCodeText
(Transmitter (35))
n/a
T06
The element is recorded but does not
contain a value.
Warning
RawStreetAddress1Text
(Transmitter (35))
n/a
T07
The element is not recorded or does
not contain a value.
Warning
RawZIPCode (Transmitter
(35))
n/a
T08
The element is recorded but does not
contain a value
Warning
PhoneNumberText
(Transmitter (35))
n/a
T09
The element is not recorded for this
party type information.
Warning
PartyIdentification (EIN)
(Transmitter (35))
n/a
T10
The element is not recorded for this
party type information.
Warning
PartyIdentification (TCC)
(Transmitter (35))
n/a
T11
The element contains an invalid
value.
Warning
RawCountryCodeText
RawStateCodeText
(Transmitter (35))
n/a
T12
The state/territory/country code
mismatch.
Warning
RawCountryCodeText
RawStateCodeText
(Transmitter (35))
n/a
T13
The element contains a value for the
Transmitter and the country is not
US, CA, MX, or a U.S. Territory.
Warning
RawStateCodeText
RawCountryCodeText
(Transmitter (35))
n/a
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8. Attachment B – Error Correction Instructions
This attachment identifies the requirements and procedures for correcting FinCEN DOEP errors reported to batch
filers during the FinCEN DOEP acknowledgement process.
Error Categories:
There are two main categories of errors identified in batch files: Schema validation errors that result in automatic
rejection of the batch file and data errors that represent errors in data entered for individual elements but may not
result in a rejection.
Schema validation errors prevent the batch file from being processed and are considered fatal errors. An example of a
schema validation error is a missing required element or an element sequence that does not match the schema. An
example of a data error is a required element that contains no value.
Data errors are classified as primary or secondary warnings, depending on their importance. Primary warnings are file
errors that violate electronic filing requirements or instructions and so degrade FinCEN DOEP data quality that they
must be corrected. Primary warnings make it difficult for regulators, analysts, and law enforcement investigators to
locate the FinCEN DOEP in the database or identify the nature and circumstances of the FinCEN DOEP. Examples of
such warnings include blank last names or legal names, missing financial institution Employer Identification Numbers,
or an invalid entry in the FinCEN DOEP date field. Attachment A – Error Descriptions identifies primary errors by
adding an asterisk (*) to the error code.
Secondary warnings are data errors that violate electronic filing requirements or instructions but have a lesser impact
on FinCEN DOEP data quality. Examples of secondary errors are ZIP Codes that end in four zeros (e.g. 123450000),
missing dates of birth, or invalid telephone numbers.
Correction Requirements:
Filers should immediately correct and resubmit a batch file rejected for fatal errors when notified by FinCEN the batch
file was not accepted.
When an accepted batch file contains FinCEN DOEP with primary warning errors, those FinCEN DOEP must be re-filed
as a corrected report with the primary errors and any secondary errors corrected. FinCEN DOEP that contain only
secondary errors need not be corrected. FinCEN requires that filers prevent all reported errors in their future filings.
FinCEN recommends that data error corrections be made no later than 30 days after receiving error notifications.
Furthermore, FinCEN recommends that filers remedy any systemic problems in their electronic submissions within 30
days of receiving error notifications. If technical issues prevent filers from implementing corrections within these time
frames, filers should notify FinCEN by writing to:
Financial Crimes Enforcement Network
Office of Domestic Liaison
Data Quality Assessments
P.O. Box 39
Vienna, VA 22183
This correspondence should explain the technical issues involved that prevent meeting the time frame, provide an
estimate of when the issues will be resolved, and include a contact name and telephone number.
Correction Procedures:
FinCEN DOEP batch files are rejected when they contain fatal format errors. Filers must correct all fatal errors
identified in the batch file and resubmit the batch file to BSA E-Filing. Because they were not accepted by FinCEN,
initial report FinCEN DOEP in the re-submitted batch file are still initial reports. Do not identify FinCEN DOEP from a
rejected batch file as Amended reports unless they originally were filed as Amended reports.
If errors in a FinCEN DOEP from an accepted batch file involve primary warning errors, filers should correct all errors
(primary and secondary warning errors) and file an amended report on that FinCEN DOEP using the following
procedures:
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Make the corrections to all errors in the FinCEN DOEP in the accepted batch file.
Record “Y” in the ExemptionAmendedIndicator element under the Activity Association parent element in
each FinCEN DOEP to be amended.
Record in the EFilingPriorDocumentNumber element under the Activity parent element the BSA Identifier
(from the FinCEN DOEP Acknowledgement) that was assigned to the FinCEN DOEP being amended.
Ensure that the FilingDateText element contains a new date.
Complete all other data in the FinCEN DOEP in their entirety.
Transmit the amended FinCEN DOEP in a new batch file. Do not re-transmit the original batch file because
this will cause duplicate database entries on FinCEN DOEPs that were not amended.
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9. Attachment C – Electronic XML Filing Instructions
The following instructions apply only to the electronic filing of the Designation of Exempt Person (DOEP) report,
FinCEN Form 110, through FinCEN’s BSA E-Filing System. These instructions do not apply to any other current or prior
Bank Secrecy Act reports.
General Information
The Bank Secrecy Act and its implementing regulations require banks to file currency transaction reports on
transactions in currency of more than $10,000. The regulations also permit a bank to exempt certain customers from
currency transaction reporting in accordance with 31 CFR 1020.315.
Banks are the only type of financial institutions that may exempt customers from CTR filing requirements. The term
bank is defined in 31CFR 1010.100(d); and includes savings and loan associations, thrift institutions, and credit unions.
The customers that the bank may exempt are called “exempt persons.” An exempt person may be a bank,
government agency/government authority, listed company, listed company subsidiary, eligible non-listed business, or
payroll customer.
A bank may, but is not required to, use this report to notify the Treasury that the bank has revoked the designation of
a customer as an exempt person.
FinCEN encourages banks to use the exemption procedure to the fullest extent. FinCEN reminds banks of their
continuing obligation to monitor for and report suspicious activity with respect to transactions of all customers,
including currency transactions conducted by exempt persons.
General Instructions
1. Filing: The DOEP should be e-filed through the BSA E-Filing System. Go to
http://bsaefiling.fincen.treas.gov/index.jsp to register. Any bank that wishes to designate a customer as an
exempt person must file the DOEP no later than 30 days after the first transaction to be exempted.
2. Report Completion. Complete the report in accordance with instructions for each item. Unless there is a specific
instruction to the contrary, leave blank any items that do not apply.
3. Dates. Discrete DOEP filers must enter dates in MM/DD/YYYY format with MM = month, DD = day, and YYYY =
year. Single digit months and days must begin with a zero. Batch filers must enter dates in YYYYMMDD format.
4. Numbers. Enter all numbers such as identifying and telephone numbers as single number strings without
formatting or punctuation such as spaces, hyphens, or parenthesis.
5. Addresses. Enter the permanent street address, city, two-letter state or territory abbreviation, and ZIP Code.
Provide the apartment number or suite number, if known, following the street address. A non-location address
such as a post office box or rural route number should be used only if no other street address information is
available. ZIP Codes must be five or nine digits. ZIP Codes must be entered without formatting or special
characters such as hyphens. For example, the ZIP Code 12354-6120 would be entered as 123546120. Complete
any address item that is known, even if the entire address is unknown. No abbreviations are permitted in city
names, which must be completely spelled out. A U.S. city name should match the city name used by the U.S.
Postal Service for the associated state and ZIP Code. Use only the authorized U.S. Postal Service state, territory, or
military address abbreviations found at https://www.usps.com/ship/official-abbreviations.htm. When a
Transmitter address involves a U.S. Territory the both state and country items elements must contain the U.S.
Territory code as found in ISO 3166-1. Foreign batch filers who are completing the Transmitter Address element
with foreign address information must use only the Canadian and Mexican state/territory/province codes and ISO
country codes approved for use by FinCEN. For Canadian provinces and territories use the Canada Post
Corporation codes found at http://www.canadapost.ca/tools/pg/manual/PGaddress-e.asp#1380608. For Mexican
states and territories use the ISO 3166-2 three-letter codes found at
http://www.commondatahub.com/live/geography/state_province_region/iso_3166_2_state_codes. For all
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countries use the ISO 3166-1 two-letter country codes found at
http://www.iso.org/iso/country_names_and_code_elements. NOTE: The ISO 3166-2 country list contains the code
“UM” that stands for the United State Minor Outlying Islands. Using “UM” in country fields is prohibited. These
islands are uninhabited. As such they have no addresses.
6. Prohibited Words. Do not use the following words or their variations in fields:
a. AKA
b. CUSTOMER
c. DBA
d. NONE
e. NOT APPLICABLE
f. OTHER
g. SAME
h. SAME AS ABOVE
i. SEE ABOVE
j. UNKNOWN
k. VARIOUS
l. XX
7. Name Editing Instructions. Because many names do not consist of a single first name, middle name, and last
name, care must be taken to ensure these names are entered properly in the BSA SAR. This is especially
important when there are separate fields for the last name, first name, and middle name. Some names have
multiple surnames (family names) or multiple given names that do not include a middle name. Others may not be
written in [first name] [middle name] [last name] order. Multiple surnames must be entered in the last name field.
For example, Hispanic names may be written in the order of given name, father's last name, and mother's last
name, e.g., “Juan Vega Santiago.” Thus the surname “VEGA SANTIAGO” would be entered in the last name field
with “JUAN” entered in the first name field. Some Hispanic surnames consist of three names (e.g., father’s last
name, mother’s last name, and husband’s father’s last name in the case of a married woman). In that case all
three would be entered in a last name field. Hispanic names do not have middle names, so a multiple Hispanic
given name such as “Rosa Maria” would be recorded in the first name field. In some cultures names consist of
multiple first names and a single family name, not necessarily in (first name) (last name) order. For example, the
Korean name “Kim, Chun Nam” consists of the family name “Kim” and the first name “Chun Nam” separated by a
comma and space. There is no middle name. In this case “KIM” would be entered in the last name field and
“CHUN NAM” would be entered in the first name field. Nothing is entered in the middle name field. When an
individual name is entered in a single name field it should be entered in [first name] [middle name] [last name]
order regardless of any foreign naming conventions. Thus, “Kim, Chun Nam” would be entered as “CHUN NAM
KIM” in a single name field. Punctuation and special characters should be used in names only when they are part
of the name. For example, the period in “Expedia.Com” should be included because it is part of the name. Placing
a period after a middle initial would be prohibited because the period is not part of the middle name.
Abbreviations in names are prohibited unless an abbreviation is part of a legal name. Entry of middle initials is
permitted when a middle name is unknown. A name suffix may be abbreviated, i.e. Junior can be JR, Senior can
be SR, the Third can be III, etc.
Specific Instructions
Part I Filing Information
Item 1. Type of filing. Check only one of the three boxes 1a “Initial designation,” 1b “Exemption amended,” or 1c
“Exemption revoked.” If the DOEP amends or revokes a prior designation, include the Document Control Number or
BSA Identifier of the prior filing in the associated number field. If this number is unknown, enter “00000000000000” in
the number field. Leave the number field blank if the filing is an initial designation.
Item 2. Effective date of the exemption. For an initial designation, enter the date of the first transaction to be
exempted. For amended DOEPs, if the effective date of the exemption is not being amended, the date entered should
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be the same date the bank used in the “effective date of the exemption box” when the initial designation was made. If
the effective date of the exemption is being amended, enter the revised date of the first transaction to be exempted.
If an exemption is being revoked, enter the day after the date of the last transaction that was exempted.
Part II Exempt Person Information
Check here if entity. Check this box if the exempt person is an entity. Leave this box blank if the exempt person is an
individual.
Item 3. Individual’s last name or entity’s legal name of the exempt person. If the exempt person is an entity,
enter the full legal name of the exempt person as it is shown on the charter or other document creating the entity. For
exempt individuals such as sole proprietorships, enter individual’s last name.
Item 4. First name. Enter the first name of the exempt person if an individual.
Item 5. Middle name. Enter the middle name or initial of the exempt person if an individual.
Item 5. Suffix. Enter the name suffix such as JR, SR, III, etc. of the exempt person if an individual.
Item 6. Alternate name. Enter the individual’s also known as (AKA) or the entity’s doing business as (DBA) name if
different from the name entered in Items 3-5. Do not include the acronyms AKA or DBA with the name.
Item 7. Occupation or type of business. Record the occupation, profession, or type of business of the exempt
person. Use specific descriptions such as doctor, carpenter, attorney, used car dealership, plumber, truck driver,
hardware store, etc. Do not use non-descriptive occupations such as businessman, merchant, retailer, or self-
employed without indicating the nature of the occupations, e.g. shoe merchant or self-employed accountant.
Item 7a. NAICS Code. Select the North American Industry Classification System (NAICS) code for the occupation
entered in Item 7. Batch filers should only use codes from the NAICS Code list on the BSA E-Filing Web Site at
http://bsaefiling.fincen.treas.gov/main.html.
Item 8. Address. Enter the permanent street address of the business location of the exempt person. For exempt
persons doing business at more than one physical location, enter the local headquarters address or local address of
the exempt person. For individuals such as sole proprietorships, enter the business address of the individual rather
than the home address, unless they are the same (see General Instruction 5).
Item 9. City. Enter the city associated with the business location of the exempt person. Do not abbreviate the city
name (see General Instruction 5).
Item 10. State. Select the state or territory associated with the business location of the exempt person (see General
Instruction 5).
Item 11. ZIP Code. Enter the ZIP Code associated with the business location of the exempt person. Use only the five
or nine-digit ZIP Code assigned to the address by the U.S. Postal Service (see General Instruction 5).
Item 12. TIN. Enter the Employer Identification Number (EIN) or Social Security Number (SSN) of the exempt person.
If a sole proprietorship does not have an EIN, enter the proprietor’s Social Security Number (SSN).
Item 13. TIN type. Select the TIN type associated with the TIN in Item 12.
Item 14. E-mail address. Enter the e-mail address associated with the exempt person.
Item 15. Phone number. Enter the telephone number of the exempt person. Enter as a single number string without
formatting and punctuation such as spaces, hyphens, or parenthesis.
Item 15a. Extension. Enter the telephone number extension of the exempt person.
Item 16. Type of exempt person. Check only one of the four boxes 16a “Listed company,” 16b “Listed company
subsidiary, 16c “Eligible non-listed business, or 16d “Payroll customer.”
Part III Filer Information
Item 17. Name of bank. Enter the bank’s full legal name.
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Item 18. EIN. Enter the bank’s EIN.
Item 19. RSSD. Enter the bank’s Research Statistics Supervision Discount (RSSD) number.
Items 20 - 23. Address. Enter the bank’s headquarters address (See General Instruction 5 and Part II address
instructions for additional information on completing the filer address.).
Item 24. Primary federal regulator. Select the bank’s primary federal regulator from the list. The options are:
Federal Reserve Board (FRB)
Federal Deposit Insurance Corporation (FDIC)
Internal Revenue Service (IRS)
National Credit Union Administration (NCUA)
Office of the Comptroller of the Currency (OCC)
Item 25. Affiliated banks. A parent holding company or one of its bank subsidiaries may make the designation of
exempt person on behalf of some or all holding company bank subsidiaries so long as the designation lists each bank
subsidiary that will treat the customer as an exempt person. Check the box in Item 25 and complete an Affiliated Bank
Information section on each affiliated bank. Batch filers will complete an Exempt Affiliated Bank Party element on each
affiliated bank included in the DOEP. Up to 99 affiliated banks can be included in a single DOEP.
Part IV Signature
Item 26. Print name. Enter the name of the bank official who authorized the exemption.
Item 27. Title. Enter the title of the bank official who authorized the exemption.
Item 28. Signature. This report is signed when the discrete report or batch file is signed with a personal identification
number (PIN) assigned to an appropriate bank official by the BSA E-Filing System.
Item 29. Phone number. Enter the telephone number of the bank official who authorized the exemption.
Item 29a. Extension. Enter the telephone number extension of the bank official who authorized the exemption.
Item 30. Date of signature. If the DOEP is a discrete filing, this date will be supplied by the BSA E-Filing System when
the report is signed with a PIN. Batch filers must enter the signature date in YYYYMMDD format.
Paperwork Reduction Act Notice: The purpose of this report is to provide an effective means for banks and
depository institutions to exempt eligible customers from currency transaction reporting. This report is required by
law, pursuant to 31 CFR 1020.315 Federal law enforcement and regulatory agencies, including the U.S. Department of
Treasury and other authorized authorities, may use and share this information. You are not required to provide the
requested information unless a report displays a valid OMB control number. Public reporting and recordkeeping
burden for this report is estimated to average 70 minutes per response, and includes time to gather and maintain
information for the required report, review the instructions, and complete the information collection. The record
retention period is five years. Send comments regarding this burden estimate, including suggestions for reducing the
burden, to Financial Crimes Enforcement Network, Attention: Paperwork Reduction Act, P. O. Box 39, Vienna, VA
22183-0039.
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10. Attachment D – Secure Data Transfer Mode Filers
FinCEN provides the ability for filers to submit the FinCEN DOEP XML batch file securely via the Internet using a VPN
device or Connect:Direct software. This method of filing is referred to as Secure Data Transfer Mode (SDTM). SDTM
allows for a secure, system to system mechanism for transferring batch submissions from your organization’s internal
server to the BSA E-Filing server. The batch submission process can be automated such that user
intervention/involvement is minimized. There is no interaction with the BSA E-Filing system web site for the upload of
the batch file but the BSA E-Filing system web site is used to track the status of the submissions.
For filers using this option for filing, SDTM filers can submit a single file containing the FinCEN DOEP XML batch data.
The file naming convention is as follows:
Submission type: DOEPXST
Date/Time: This will be a date-time stamp to guarantee filename uniqueness
Year = YYYY
Month = MM
Day = DD
Hour = hh
Minute = mm
Second = ss
Organization name: Custom naming by the submitting organization (e.g. “ABCPreparingFirm”)
Extension: xml
Example FinCEN DOEP XML batch file name: DOEPXST.20170609153015.ABCPreparingFirm.xml
Corresponding FinCEN DOEP XML batch Acknowledgement file name: This file name will match the
corresponding input FinCEN DOEP XML batch file name with the text “*.ACKED” appended to the end.
For example: DOEPXST.20170609153015.ABCPreparingFirm.xml.ACKED
For more information on how to setup an SDTM connection, please refer to the SDTM Requirements documentation
available on the BSA E-Filing System secure side, or you may contact the BSA E-Filing Help Desk at 1-866-346-9478 or
via email at [email protected]. The Help Desk is available Monday through Friday from 8 a.m. to 6 p.m. EST.
Please note that the Help Desk is closed on Federal holidays.
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11. Attachment E – Sample Data
Sample data in XML format associated with this form type is available for download here. It include the following:
InputBatch – A sample input batch XML
DiscreteFormExamples – Input discrete entry form samples that correspond with an activity in the input
batch XML. The file name references the corresponding Activity Sequence Number (SeqNum) in the batch.
OutputAcknowledgement – A sample XML acknowledgement file that corresponds with the input batch
XML.