8.3.4 Uploading E-File Acknowledgment

There are two ways to upload an acknowledgment: Automatic (SDTM) mode and Manual mode.

Automatic (SDTM) Mode

An Acknowledgement batch must be executed to parse an acknowledgement received from the FinCEN E-Filing system upon submitting an E-File. The FinCEN’s E-Filing system transfers acknowledgements to the configured Acknowledgment directory. Once the batch is successful, all the acknowledgements are parsed against the respective E-Files, and the acknowledgement XMLs are transferred to the Archive directory. These acknowledgements are populated in the Acknowledgment tab of OFS CRR US SAR application UI.

Note:

If you have enabled SDTM mode, you can not upload the acknowledgement manually.

For more information, see Configuring Secure Direct Transfer Mode (SDTM) section in .

Manual Mode

After downloading the acknowledgments from the BSA E-Filing System, you can update the status of regulatory reports in the OFS CRR application. After you upload the acknowledgment (XML) file into the application, the file is then parsed to retrieve the BSA Identifier that is assigned by FinCEN to each report. This BSA Identifier is then added to the report record.

To upload the acknowledgment, follow these steps:

1. Go to the E-Filed Status tab.
2. From the E-File List results, select the record for which you want to upload the acknowledgment.
3. Click Upload Acknowledgment. A SAR Acknowledgment window displays.
4. Enter the details in the SAR Acknowledgment window.

   Table 8-4 SAR Acknowledgment Window Field Descriptions

   Fields	Description
   E-File Name	Displays the E-File name. Note: This field is auto-generated
   Ack Updated By	Displays the name of the user role who is updating the acknowledgment. Note: This field is auto-generated.
   Ack Received On	Select the date from the calendar on which the acknowledgment was received.
   Ack Number	Enter the acknowledgment number that was received from FINCEN.
   EFile Comments	Enter the required comments.
   Logical File Name	Enter a Logical File Name for the acknowledgment.

5. Click the Choose a File field and upload the respective XML file saved from the BSA E-Filing System.
6. Click Attach File. The following message displays: Add Operation Successful.
7. Click OK.
8. Click Save and Parse. The following message displays: Update Operation Successful.
9. Click OK. You are navigated back to the E-File List results.
   • After you upload the acknowledgment file for an E-File, a BSA ID is associated with the respective report.
   • After you upload the acknowledgment file successfully into the OFS CRR application, the XML file can be viewed and saved from the E-File list results. To view the acknowledgment file, select a record and click. A file download window prompts to Open or Save the XML file.
   • When you try to upload an acknowledgment file for an E-File for which an XML file is already uploaded, the following warning message is displayed: Acknowledgment has already been uploaded.
   • When an upload acknowledgment action doesn’t pass the validation check, the following error message is displayed: The number of SARs in the acknowledgment file does not match the number of SARs in the selected E-File. No updates will be made. Please verify you have the correct acknowledgment file.
   • Report statuses are updated based on the Acknowledgment/Message XML received from Fin-CEN upon uploading the Acknowledgment. The status of the reports changes to Accepted, Acknowledgment - Accepted with Warnings, and Acknowledgment - Rejected.