5.3.1.3 DOEPE-File Details Tabs

The DOEP E-File Details page has the following tabs:

DOEPE-File Tab

The DOEP E-File tab summarizes the details about the Exempt Entities on whom the DOEP has been filed. This tab contains the following information:

DOEPE-File Acknowledgment Summary

This tab displays the summary of the status of Exemptions that are included in the E-File. This section displays as empty until the E-File enters the Acknowledgment Processed status.

The following Exemption statuses are included in the E-File:

  • Filed– Success Ct
  • Filed- Success w/Errors Ct
  • Filed– Rejected Ct

Included Exemptions

This section provides the list of exemptions included in the selected DOEP E-File. Click ExemptID to view the details of the selected exemption.

E-FileError Tab

The E-File Error(s) tab displays the error on the E-File that has been submitted and the Validation errors on the Exemptions. The E-File Error Tab displays the following information:

E-FileFatal and Validation Error(s)

This section displays information about E-File Fatal and Validation errors. Fatal and Validation errors results in the rejection of the E-File and DOEPs will not have been processed by FinCEN. This section also displays the error code, error location, and description of a particular E-File.

Note:

If there is no E-File rejected, then this section displays as empty.

DOEPE-File File Error(s)

This section displays individual DOEPs on which an error has occurred. The relationship to file error is based on the DOEP ID, Transaction Sequence ID, and E-File ID.

Displays a subset of fields from the DOEP List page and displays only those DOEPs associated with error codes in the acknowledgment file.

Note:

For files in Acknowledgment Processed status, the counts are based on the parsing of the ASCII Ack files.

Evidence Tab

The Evidence tab displays the comments and documents associated with an E-File. It allows a user to add comments and add or remove documents. The records are displayed in reverse chronological order.

The Evidence Tabs has the following sections:

Adding Comments

Use this section to add comments to the evidence record.To add a comment to an evidence record, follow these steps:

  1. On the Evidence page, click Addto add a comment. The Add Comment window displays.
  2. Enter comments in the comments field and click Save. A confirmation window displays.
  3. ClickOKto confirm the addition of comments to the selected evidence record.

Adding Attachments

Use this section to add an attachment for the evidence record. To add an attachment to an evidence record, follow these steps:

  1. On the Evidence page, click Attachmentto add an attachment. The Add Attachment window displays.
  2. Enter the comments in the Comment box.
  3. Click Attach File. Select a file to attach. Click Upload. The attachment is added to the evidence record and the user returns to the Add Attachments window.

    Note:

    You can attach only .text, .doc, and .xml files
  4. To remove attachment, go to the Attachment list and click Attachment link in the attachment column. An Attachment List window displays.
  5. Select the required attachment and click Remove. The Attachment page displays the updated list of attachments.
  6. To view the attachment, go to the Attachment list and click Attachment link in the attachment column. An Attachment List window displays.
  7. Select the required attachment and click Download. The file downloads.
  8. ClickOpento view the attachment. You can also choose to Savethe attachment in your local machine.

Audit Tab

The Audit tab displays the history of actions taken on a DOEP E-File along with the comments and attachments provided for each action.