FINTRAC - F2R Electronic Reporting User Guide
Contents
1. TLS and SSL are protocols used for providing a secure channel between your browser and FINTRAC When either TLS or SSL are in use they reduce the risk of data being compromised The two standards have been widely adopted to ensure secure Web communications 322. for example a b c etc e Have at least one numeric character for example 1 2 3 etc s Have at least one special character for example amp etc e Have fewer than three consecutive identical characters for example AA but not AAA etc e Differ from any of the last eight passwords that you have used In addition your password cannot feature any three consecutive characters from your user ID For example if your User ID is jonesp you cannot use jon one nes or esp as part of your revised password As you key in your new password you can ensure that you are meeting the password requirements by looking at the list of criteria at the top of the screen The circle with an exclamation mark next to a particular criterion is transformed into a circle with a check mark through it as soon as the specific criterion has been satisfied After you submit all the information required to change your password a message will appear at the top of your screen confirming that the change has been made The next time you log on you will be taken to the Home page The temporary password will expire 30 days after being assigned If you have not selected a new password within this period select Forgot your password on the F2R Log On page You will then be directed to the User information page where you can undertake the password recovery process As an authorized F2R user you can change
3. report list and update change or delete them Data Entry Officer DEO The DEO can key reports and send them to a list to await verification by another user The F2R Administrator or the F2R Administrator Assistant creates this role A reporting entity can have as many users of this type as required DEO users can accomplish the following tasks Create reports and submit them to the Reports awaiting verification report list Update location details if permission has been granted to do so View their own reports in the RRFA Reports returned for further action if the reports have been assigned to them by the F2R Administrator and subsequently take action on them and View their own reports in the Incomplete report list and update change or delete them F2R Electronic Reporting User Guide 4 F2R Log On This section of the guide describes the log on process for F2R Here you will find details about the information that is required to log on to F2R and the procedures to follow if you do not have this information You will discover password requirements how to change your personal password and how to recover your password as well as how to log off from F2R 4 1 Information you need for log on You can access F2R from the F2R option of the Reporting page on FINTRAC s Web site http www fintrac canafe gc ca Logging on will move you from FINTRAC s public Web site to the F2R secure online application The
4. you should follow the instructions from start to finish in their entirety As you complete the preliminary activities you will quickly become comfortable with F2R s processes and procedures This Guide does not provide systematic directions for filling out the reports in F2R It should therefore be used in conjunction with the FINTRAC reporting Guidelines These may be found on the Guidelines page on FINTRAC s Web site http www fintrac canafe gc ca In addition to using the Guidelines as a resource the F2R online reporting program also features field by field instructions that are provided throughout the application whenever they are required Should you encounter a situation or description that is unclear please refer to Section 8 of this guide How to Contact FINTRAC F2R Electronic Reporting User Guide 2 Enrolment Reporting entities must enrol with FINTRAC in order to submit reports electronically To complete this enrolment FINTRAC will assign you an organization number This number can also be used for submitting reports in batch mode if your organization makes use of this mode of reporting To find out more about batch reporting see FINTRAC s guidelines which are available from its main Web site http www fintrac canafe qc ca If you are not yet enrolled with FINTRAC please contact us as explained in Section 8 of this guide How to Contact FINTRAC to start the process When you enrol with FINTRAC
5. New report User ID DOES Rm Entry date From 2014 06 14 3 Template maintenance Entry date To 2014 07 14 3 Incomplete reports FINTRAC report number Reports awaiting Reporting entity report reference number verification Report E Y STR V LCTR VIEFTI MWIEFTO V CDR Acknowledgements oaths RRFAS 3 E Report type Last updated User ID FINTRAC report n Reporting entity repor Requested for F sm 2014 07 11 11 28 34 DOEJS 300002425 change E STR 2014 07 11 11 33 00 DOEJS 300002426 Help M EFTO 2014 07 11 15 24 33 DOEJS 300002431 Log off Page 1 ofi p The screen features a list of incomplete reports that were started over the past 45 days If the list is too long and you need to narrow the search enter search criteria such as a more specific date range To conduct the search select at least one report type for which you know there are incomplete reports You can also provide other criteria that will narrow down the parameters of 20 F2R Electronic Reporting User Guide the search These include Reporting entity Entry date range specific FINTRAC report number or Reporting entity report reference number Initiate the search by selecting the Search button This will produce a list of incomplete reports that fit the search criteria Select any report listed Depending on your access rights you will be able to either edit select outside the check box or delete select the check box then select the Delete button the repo
6. in Subsection 4 4 6 1 Information about users The screens in the Users area provide information about individual F2R users You can only enter or modify user information if you are an F2R Administrator or F2R Administrator Assistant However as a DEO or VSO you may change information about yourself To access your own information quickly select one of the paragraphs at the top of the Administration page If you select Users from the left menu of the Administration section the F2R application will display the initial users screen which features a list of all your organization s users Figure 3 The listing includes all users whether Active or Inactive Figure 3 Home gt Administration gt Users F2R Electronic Users Reporting Anton i Search Reset search Create user Users Reporting entity number Locations Surname Register as service User status v provider Service provider Name User ID Status maintenance DOE JANE DOEJS Active Activity list DOE JOHN DOEJ6 Active Change password Reporting Help Log off e Page 1 ofi 6 1 1 Create a user Before adding a user make sure that the user s name does not already exist for your organization To do this consult the list of users Figure 3 If that list is too extensive type the user s surname in the Surname field and select Search F2R will display a list that shows all matching users 9 F2R Electronic Reporting User Guide The Search opt
7. of assigning a new password as detailed in Subsection 4 4 6 1 2 Modifying a user record If you refer back to Figure 3 any user name listed may be selected to display the record that corresponds to that user You can also conduct a search to find a particular user as explained in Subsection 6 1 1 You may alter any information in the user s record subject to the same restrictions as those that apply when you are adding a user Once you have entered the modifications and want to save them select Save The user record will then feature whatever changes you have made If you need to inactivate a user select the Inactivate button at the top of the screen Similarly if you need to activate a user that was previously inactivated select the Activate button 6 2 Location information If you have access rights for location maintenance you can add or maintain locations through the Locations pages of F2R 11 F2R Electronic Reporting User Guide Potentially a reporting entity has more than one location where reportable transactions can take place You need to add each location to F2R to include this information when reporting where transactions occurred Reporting entities are responsible for keeping location information current If a location s status is active it may be used in a report For a quick survey of your current locations select Locations from the Administration menu The initial Locations screen will be displayed Fi
8. request of the reporting entity An F2R Administrator Assistant does not have access to reporting functions but may undertake the following tasks e Create and deactivate users e Assign users one of the following roles o Verification and Submission Officer VSO o Data Entry Officer DEO and e Maintain the reporting entity s location information for example branch addresses 3 3 Verification and Submission Officer VSO The VSO is able to create and submit reports approve reports completed by Data Entry Officers DEOS create templates and request that reports be returned by FINTRAC so that changes 3 F2R Electronic Reporting User Guide may be made The F2R Administrator or the F2R Administrator Assistant creates this role A reporting entity can have as many users of this type as required VSO users can accomplish the following tasks 3 4 Update location details if permission has been granted to do so Create reports and submit them directly to FINTRAC Create report templates and modify templates that they created Request that a report be returned by FINTRAC for change and view these reports in the Requested for change report list View all reports in the Reports awaiting verification list and submit or reassign them View all reports in the RRFA Reports returned for further action report list and take action on or reassign them for action and View their own reports in the Incomplete reports
9. returned for further action csse eene 23 7 5 5 Requested for Change iei tr ia enit kdo Ea aF e Eua eain eu aa FE 27 8 How TO CONTACT FINTRAC eeseeeeeeeeee esee e n nsa nenen 29 9 GLOSSARY 30 APPENDIX A F2R ELECTRONIC ACCESS neces eere enne enne eee eee 32 F2R Electronic Reporting User Guide 1 About this Guide The FINTRAC online reporting mechanism is called F2R This application provides reporting entities Such as your organization with a reliable mechanism to file reports through the Internet This secure online tool simplifies the reporting of financial transactions for the many individuals and businesses that are obliged to do so under the Proceeds of Crime Money Laundering and Terrorist Financing Act the Act It also ensures that FINTRAC receives the highest quality information for the detection and deterrence of money laundering and terrorist activity financing 1 1 Who should read this guide This guide has been created to provide practical information to F2R users and administrators Some sections of this guide apply to all F2R users while other sections apply only to the designated F2R Administrator 1 2 What is the purpose of the guide The purpose of this guide is to assist F2R users in navigating the F2R application The first time you refer to this document
10. started but not submitted to FINTRAC Reports awaiting verification Reports awaiting review before they can be submitted to FINTRAC Acknowledgements An acknowledgement confirms that a report was received by FINTRAC Use the Acknowledgements screen if you need to 19 F2R Electronic Reporting User Guide get a report back for correction RRFAs These are reports returned for further action that must be corrected and returned to FINTRAC as soon as possible Requested for change These are reports that you asked to be sent back to you so that you can make corrections see Acknowledgements to request a report for correction Access to the reports contained in each list will depend on the users access rights 7 5 1 Incomplete reports The Incomplete reports list allows you to view and search using filters for all of the reports that you have started but have not yet submitted to FINTRAC Selecting Search in the top menu bar will also display the Incomplete reports screen Figure 11 If an incomplete report is not submitted to FINTRAC within 45 days of its creation the report will no longer be available in F2R potentially resulting in non compliance under the Act In this situation FINTRAC has not received the report Figure 11 Home gt Reporting gt Incomplete reports F2R Electronic Incomplete reports Reporting MB Search Reset search X Delete Assignv Administration Reporting Reporting entity
11. while the rest of the information on the screen will be greyed out 6 3 The service provider reporting entity relationship The F2R application provides the capacity for organizations to report on behalf of reporting entities These organizations are referred to as service providers A service provider is any organization that has entered into an agreement with a reporting entity to send reports to FINTRAC on the reporting entity s behalf A service provider needs to enrol with FINTRAC and register as a service provider before a reporting entity can delegate any reports to that service provider These procedures are described in detail on the Service Provider Arrangements page in the Reporting section of the FINTRAC Web site http www fintrac canafe gc ca 13 F2R Electronic Reporting User Guide 6 4 Activity list If you are an F2R Administrator you can display the Activity List This list provides information about the last activity for each of your organization s users who are logged onto F2R at the moment you request the activity list F2R Electronic Reporting User Guide 7 Reporting In this portion of F2R reports are created and subsequently submitted depending on user access rights This is also where authorized users can access incomplete reports and request that specific reports be sent back from FINTRAC Users may then make changes to them To navigate to the Reporting section of F2R select Reporting from the
12. you will need to provide the name of a person who will be responsible for your F2R reporting under the Act and associated regulations as the F2R Administrator Naturally this person could be you The F2R Administrator is responsible for adding all of the locations where reportable transactions take place with relation to your organization adding new users and monitoring all reports returned by FINTRAC for further action The function of the F2R Administrator is fully explained in Section 3 Roles within F2R F2R Electronic Reporting User Guide 3 Roles within F2R There are four possible user roles within F2R This section provides a detailed explanation of these four roles As the reporting entity you have the right to decide which user roles should be assigned to whom The role of F2R Administrator is defined by FINTRAC and is the only absolute requirement for a reporting entity The F2R Administrator Assistant role is also assigned by FINTRAC The remaining roles are optional and may be assigned as required by your organization 3 1 F2R Administrator There is only one F2R Administrator per reporting entity The F2R Administrator oversees all of the users and their use of F2R The person who holds this role is responsible for adding all of the locations where reportable transactions take place adding all new users and their information and monitoring all reports returned by FINTRAC for further action called Reports returned
13. you wish to recall for revision Then select the Request for change button In a few minutes the report in question will be available in the Requested for change report list see Subsection 7 5 5 This allows authorized users to request that a previously submitted report be returned by FINTRAC for correction or deletion This can happen under several different scenarios for example You may have submitted a report in error and you want to delete it This might occur if two or more people representing your reporting entity both submit a report on the same transaction OR You miscalculated the amount of a transaction and in doing the calculation again you realize that it was not a reportable transaction 7 5 4 RRFAs reports returned for further action Reports submitted to FINTRAC with missing or incorrect information may be returned to the reporting entity for correction These returned reports are referred to as Reports returned for further action RRFA When a report is returned for further action the reporting entity will receive an email from FINTRAC The email will instruct the user to access the RRFAs section from the Reporting Section in F2R If you submit your reports through F2R you will make your corrections and resubmit the reports through F2R If you submit your reports through the batch reporting system and have chosen to make your corrections through F2R you will also use this section to resubmit your reports
14. F2R Log On screen will be displayed Figure 1 You may want to bookmark the F2R Log On page for future use Figure 1 E2R Log On Log On and F2R Log On FaR Log On For F2R authorized users only Refer to the user agreement for terms and conditions of use e Need a user ID e Forgot your password User ID Password Report to FINTRAC When you enrolled with F2R you received the following information from FINTRAC e Your unique user ID which identifies you to F2R as an individual and e Your password which ensures your security and privacy within F2R this is a temporary password that must be changed the first time you log on When you have entered the two required pieces of information select the Report to FINTRAC button 4 2 F2R Environments F2R features two environments Report to FINTRAC and Practice Environment Only Report to FINTRAC enables you to create users maintain location information and submit reports to FINTRAC You actually log on to this environment The Practice environment page allows you to experiment with the report creation process it will acquaint you with the information required by FINTRAC You can move from one environment to the other on either the Home page or the Reporting page by selecting the paragraph describing the environment 4 2 1 Report to FINTRAC This is the reporting environment All information entered here is either saved in F2R or transmitted to FINTRAC This op
15. If you have chosen to make your corrections through batch you will only be able to view the reports in error 23 F2R Electronic Reporting User Guide Figure 14 Home gt Reporting gt RRFAs gt Reporting as BB Search Reset search Reporting Reporting entity ORG 1 FOR COMMUNICATIONS 154029 IZ New report Report types 7 LCTR V EFTI J EFTO CDR Use template Template RRFA Reporttype Outstanding Total reports Awaiting verification Due date maintenance 30292 LCTR 1 1 0 2014 07 24 Incomplete reports Reports awaiting verification Acknowledgements RRFAs Requested for change Log off In order to review the reports that have been returned for action select an entry in the RRFAs section above This will open up the RRFA Summary Screen Figure 15 24 F2R Electronic Reporting User Guide Figure 15 Home gt Reporting gt RRFAs gt RRFA summary F2R Electronic RRFA summary Reporting ETT z Report type LCTR 7 ee Due date 2014 07 24 Reporting New report Each of the reports listed below has been returned for further action because they may contain deficiencies Use template Template Please make the appropriate corrections and resubmit each report by 2014 07 24 You maintenance also need to ensure that these corrections are reflected in future reports that you Incomplete reports submit to FINTRAC Reports awaiting verification If a report is not in error pleas
16. RAC by regular mail as follows FINTRAC 24th floor 234 Laurier Avenue West Ottawa ON K1P 1H7 CANADA Attn Compliance 29 F2R Electronic Reporting User Guide 9 Glossary Browser A program software application that provides access to various Internet resources Character One of a set of symbols such as letters numbers punctuation marks or other special characters Drop down menu Sometimes a field will feature an arrow to the side x When selected a list of options will drop down from the field Any option item may then be selected to fill in the field Email electronic mail Messages usually text sent from one person to another via computer Email can also be sent automatically to a large number of addresses Field An area for entering specific information on a screen such as name address etc Menu A list of options available to the user of an interactive program Program A computer software application designed to perform a specific set of tasks and functions F2R is a program Prompt 1 A symbol displayed on a screen indicating that the computer is ready to receive input 2 Amessage displayed by a program asking for specific input Reporting entity The Proceeds of Crime Money Laundering and Terrorist Financing Act and associated regulations place obligations on certain persons and entities These are called reporting entities Some of these obligations include reporting financial
17. V EFTO V CDR Incomplete reports Report type Template name User ID Last updated Reports awaiting verification 7 LCTR LCTR1 DOEJS 2014 07 11 16 01 32 Acknowledgements 7 Ern EFTH DOEJS 2014 07 11 16 00 39 RRFAs 7 EFTO EFTO1 DOEJS 2014 07 11 16 03 14 Requested for change Help Log off Page 1 of 1 2 You will start with a list of templates If that list is too long and you need to narrow the search enter search criteria such as Reporting entity User ID specific template name or report types 7 4 1 Create a new template If you are an F2R Administrator or a Verification and Submission Officer VSO select Create template This will bring you to the Create template screen see Figure 10 Select the reporting entity to which the template pertains the report type and give the template a descriptive name Once you select the Create template button the template name cannot be changed 18 F2R Electronic Reporting User Guide Figure 10 Home gt Reporting gt Template maintenance gt Create template F2R Electronic Create template Reporting Administration Information about what type of template to create Reporting Reporting entity v New report Report type Y Use template Template name Template maintenance Create Template Incomplete reports Reports awaiting verification Acknowledgements RRFAs Requested for change Help Log off You will then be presented with a blank version of certain
18. ance on how to complete the correction s For more information on validation rules visit our website at http www fintrac canafe gc ca reporting declaration batch lots index eng asp and review the section concerning Report Validation Rules To edit a report select the appropriate row to the right of the check box To assign it to another user select the report s check box and select the Assign button at the top of the report listing 25 F2R Electronic Reporting User Guide A user s access to edit or assign will vary depending on which role was assigned in F2R Refer to section 3 roles within F2R Figure 16 Home gt Reporting gt LCTR gt B1 Transaction B1 5 The transaction amount is over the threshold for the 24 hour rule to apply A Location Transaction 1 D 17 In order to improve data quality of reports this field requires that the individuals occupation is specified in greater detail Transaction 1 B1 Transaction B2 Disposition C Account Reporting entity ORG 1 FOR COMMUNICATIONS 154029 Samir FINTRAC report number 300002433 3 Part B1 Transaction Report functions Validate Submit Transaction 1 B1 Transaction 30000 CAD Canadian Dollar v Keep copy of report F2R Electronic Reporting Information about how the transaction was initiated zjsave Add transaction X Delete transaction PRISES 1 Date of the transaction YYYY MM DD 2014 07 11 3 9 Report
19. creen navigation dass attende atta fecu tente ess 5 HOME PAGE DENM c 6 Ex iy ru o 6 1 InfOrMatlONaDOUL USES E 6 1 1 Created User E A 6 1 2 Modifying user FECON uses ie a aa nnn aaa SEO XE RE ERN KERN KERYRERNREKEREREREKR NOAA RAV 6 2 Location IMTOTMATON uvis ints ccasvite pin ca etes rates br idees DR dA RARO sein lets een essai d ee NEA 6 2 1 Howto add location i Li aiii Babies A ea era es 6 2 2 Modifying d LOCH ME i ipei ai ai m wl 1 F2R Electronic Reporting User Guide 6 3 The service provider reporting entity relationship 13 6 4 AGCUVILY L tee RS NE d eed tae dde se Eee a eee Datei ome ede uror ca udis 14 7 Io 15 7 1 New report or Use template 15 7 1 1 DAES en seas sha dares a en Me Pt Ad anne Ann sn uoa RHEA ones ante wie cues 15 7 2 Report validation eee e tee goo dde aeo ea dde n a dee o dde deed dde ve e gn 16 7 3 Report SUBMISSION usa t 16 7 4 Report template maintenance iii 17 7 4 1 Create a new template caida de eee re ede es addere na eda 18 7 4 2 Edit or delete an existing template ss 19 7 5 Report SiS ins cates aaae nant ite enam A a rer it aaa a a dues bale 19 7 5 1 Incomplete reports ssh nent lel E E A E le S 20 7 9 2 Reports awaiting verification sss sees eee 21 7 5 3 Acknowledgements and requests for change sees eee ee eee 22 7 5 4 RRFAs reports
20. e back and forth through the list one page at a time Select the other symbols to jump to the beginning or the end of the listing F2R Electronic Reporting User Guide 5 Home Page Once you are logged on to F2R you will be directed to the Home page see Figure 2 This screen features a brief broadcast from FINTRAC that will present any news items that are relevant to all F2R users You will also see information about your previous log on as well as a brief description of each of F2R s main sections Home F2R Electronic Reporting Administration Reporting Help Log off Figure 2 Home System News 2014 07 14 Welcome to F2R Your previous log on information User ID DOEJS Last log on 2014 07 11 16 41 29 Failed attempts since last log on 0 Administration This is where you change your password or update your contact information Depending on access rights certain users can also modify information about other users locations and service providers or view information about access to F2R for the organization Reporting This is where you can create and submit reports access incomplete reports or make changes to previously submitted reports all depending on your user access rights Practice environment You can also use F2R in a practice environment from which reports cannot be sent to FINTRAC You can switch to the practice environment by selecting this paragraph You can move from one page to another b
21. e provide an explanation in the Details Section when resubmitting the report Acknowledgements RRFAs Field by field instructions provide clarification on what is required in each field of the report These instructions are available in our report specific guidelines at Requested for http www fintrac canafe gc ca publications quide Guide7A Ictr eng asp change Bep Report Report Field TE EMEN ET Log off number date number saction Disposition Message The transaction 2014 amount is over 300002433 B1 5 1 21033 the threshold for 07 14 the 24 hour rule to apply In order to improve data quality of 2014 reports this field 300002433 D 17 1 z requires that the 07 14 AE individuals occupation is specified in greater detail amp Assign v E FINTRAC report number Reporting entity report refer Status Assigned to 7 300002433 Returned report to be assig DOEJS The RRFA Summary Figure 15 displays the reports that have been returned to you for further action For each error there is report information displayed including the FINTRAC number that is assigned to the report and the date on which the report was submitted to FINTRAC In addition the field that was identified as an error in the report the validation rule number associated to the error if applicable and the related error message are also displayed If a validation rule is not applicable the message will describe the error and provide guid
22. erational mode is used to create users maintain location information and report to FINTRAC Essentially you log on to this environment F2R Electronic Reporting User Guide 4 2 2 Practice Environment This provides an option to practice using F2R without submitting information to FINTRAC All reporting functions in F2R may be simulated but the data from the practice environment will not be submitted to FINTRAC To access the practice environment select the paragraph describing it on the Home page or the Reporting page 4 3 The first time you log on to F2R For your first log on only you will be directed to read and accept the User Agreement for FINTRAC Web Reporting Please take the time to read the agreement and ensure that you are in a position to comply with its terms If you are in a position to comply with the terms of the agreement select Accept You will then be directed to change your temporary password If you are not in a position to comply select Decline Your log on will be cancelled Please contact FINTRAC as described in Section 8 of this guide How to Contact FINTRAC 4 4 Assigning and changing your password Due to the confidential nature of FINTRAC reporting your new password must satisfy a series of criteria to ensure privacy and security Your new password must e Have between eight and 32 characters e Have at least one uppercase letter for example A B C etc and one lowercase letter
23. for further action or RRFAs The F2R Administrator can perform the following tasks e Create and deactivate users e Assign users one of the following roles o Verification and Submission Officer VSO o Data Entry Officer DEO e Maintain the reporting entity s location information for example branch addresses e Create reports and submit them directly to FINTRAC e Request that specific reports be returned by FINTRAC for change and view these reports in the Requested for change report list e View all reports in the Reports awaiting verification report list and take action on or reassign them for action e Create and modify report templates including those created by other users e View all reports in the HRFA Reports returned for further action report list and reassign any report returned by FINTRAC for further action to any user including the F2R Administrator role and e View all reports in the Incomplete reports list and update change or delete them The F2R Administrator should notify FINTRAC immediately if the role of either F2R Administrator or F2R Administrator Assistant needs to be reassigned 3 2 F2R Administrator Assistant This role is designed for large reporting entities There may be up to two F2R Administrator Assistants per reporting entity This person performs a support role to the F2R Administrator to help with administrative responsibilities This role is also defined by FINTRAC by
24. g by the highlighted criterion in ascending or descending order Once you make your selection the listing will be resorted s To help you find the information you need you can resize the columns in each list Select any partition between columns and move it left or right The column itself will become either wider or narrower according to your actions e In addition columns may be moved to any other location in the listing Select a column heading and move it left or right At first the heading will feature a circle with a slash mark through it As soon as the heading has reached a valid location a circle with a check mark will be displayed and a pair of arrows will indicate its destination Deselect the heading the column will appear in its new location The other columns will be moved to make room for it The listing will revert to its original sequence the next time you log on e F2R features breadcrumb trails These consist of a series of hyperlinks at the top of the screen for example Home gt Reporting gt RRFAs gt RRFA summary The last hyperlink indicates your current location within F2R You can select any of the preceding hyperlinks to return to their relative location within F2R e You can move from one page to another in F2R by using the left menu bar or by using the top menu bar e lfasearch results in many pages of listings use the keys at the bottom of the panel to view them Select the small arrows to mov
25. gged with the symbols previously described Simply follow the suggested actions When the report has been corrected select the Submit report button at the top of the Validate Submit screen If all anomalies have been corrected the submission process will begin If any errors are left another screen similar to that in Figure 7 will be re displayed 7 3 Report submission If you are a Data Entry Officer DEO you can only create reports you cannot submit them directly to FINTRAC Your report will go to the Awaiting verification list This means that your F2R Administrator or a Verifications and Submission Officer VSO will have to take action on the reports you create and submit them to FINTRAC If a report awaiting verification is not submitted to FINTRAC within 45 days of its creation the report will no longer be available in F2R potentially resulting in non compliance under the Act In this situation FINTRAC has not received the report 16 F2R Electronic Reporting User Guide If you are a VSO you can create and submit reports directly to FINTRAC Whether you are a DEO or a VSO F2R will display an acknowledgement message regarding the report submitted As a DEO you will receive a message telling you that the report has gone to the Awaiting verification list As explained above a report awaiting verification has not been submitted to FINTRAC and requires action by your F2R Administrator or a VSO When validation of the report
26. gure 5 Home gt Administration gt Locations F2R Electronic Seen Reporting RES BB Search Reset search Create location S Export Users The Export button will download a spreadsheet in a Microsoft Office Excel XLS file Locations To view it you must have an XLS reader installed If you do not already have such a reader one can be downloaded based on the information provided on the Help page Register as service provider Reporting entity mA Service provider Reporting entity location number maintenance Activity list Location name Change password Status Active s Reporting City Help Country v Log off Province VA Postal code Location number Location name Street address City Country 2 MAIN 100 MAIN STREET OTTAWA CANADA 4 t Page 1 of 1 If the list is long and you need to narrow the search enter search criteria in the appropriate fields to help find the location such as city province or postal code and then select Search F2R will display a list that shows all matching locations The Create location button permits you to add another location to the listing When you select it a data entry screen appears Figure 6 The Export button allows you to create a Microsoft Office Excel spreadsheet listing your locations which may be viewed printed or stored in a location of your choice 12 F2R Electronic Reporting User Guide 6 2 1 How to add a location Select the Create location option see Fig
27. hat were completed over the past 45 days If that list is too long and you need to narrow the search enter search criteria such as a more specific date range or the report type for which you know there are reports awaiting validation 21 F2R Electronic Reporting User Guide Other criteria that will narrow down the parameters of the search include Reporting entity User ID specific FINTRAC report number or Reporting entity report reference number The search is initiated by selecting the Search button This will produce a list of reports that fit the search criteria as in the preceding figure Depending on your access rights you will be able to either edit or delete the reports from this list For further action select the report outside the check box to open it for editing To remove the report permanently select the check box for that report and then select Delete When verification is concluded and the report is complete and accurate you will be in a position to submit it to FINTRAC as with any report Refer to Subsections 7 2 and 7 3 for report submission procedures 7 5 3 Acknowledgements and requests for change The Acknowledgements option allows you to search for reports that have been submitted to and received by FINTRAC Figure 13 Home gt Reporting gt Acknowledgements F2R Electronic Acknowledgements Reporting MB Search Reset search y Request for change Administration Reporting Reporting entity v Ne
28. i H Financial Transactions and Centre d analyse des op rations Reports Analysis Centre et d clarations financi res of Canada du Canada Welcome Bienvenue F2R Electronic Reporting D larations lectronique F2R F2R Electronic Reporting User Guide August 2014 Canada F2R Electronic Reporting User Guide Table of Contents 1 ABOUT THIS GUIDE 1 1 Who should read this guide 1 2 What is the purpose of the guide ss 2 ENROLMENT 3 ROLES WITHIN F2R snssrsnrmnnrmnnennnmmnnennnmaneennnmnneennnmnneennnmnneennnmnneennnnnasnnemeasanmennnsannnne 3 1 E2R AMINMISTFALOL serrer sant E M 3 2 F2R Administrator Assistant 12 1 nen ssa cetaeaeecaueasasatapescmesaaedsadesrsueedsvasseadeansaauaaveers 3 3 Verification and Submission Officer VSO iii 3 4 Data Entry Officer DEO E 4 4 1 Information you need for log On benrss innia aaa aiiin 4 2 E2R Environments HH 4 2 1 Report 10 FINTRAC OE 422 Practice ENVIFONMENT m duis 4 3 The first time you log on to FZR rrt ene f idea vd fe a adea led aded 4 4 Assigning and changing your password sees eee 4 5 LOB O f ii assesses ene x aoo haee RR ERR NRRR NEN XRRS ERR RAE ERE RRRERRRRRRR KR tetes ane te RR state ras NAR RR RR RR ARR Ren 4 6 Pass word recovery pfOCOSB s cese eee eere mentre te ene qut va dete e ges vade en neu Pola 4 7 General S
29. ing 2 Time of the transaction 10 45 00 v Help OR Log off 3 Night deposit or quick drop indicator y 0 Additional information about the transaction 4 Date of posting if different from date of 3 transaction 5 Amount of transaction 30000 N 6 Transaction currency CAD Canadian Dollar Y 9 7 How was the transaction conducted In branch office store y 9 7A If Other please specify lt lt Previous Next gt gt Once you select the report that was returned for further action you will notice a message ina blue box at the top of the page The message will be represented by a small i within a blue circle 99 indicating the specific field that was triggered and providing guidance on how to rectify the data quality issue Once verifications and corrections are completed you will proceed to validate the report Note that the changes you have just made to the report may now trigger new validation rules which also need to be addressed Refer to Section 7 2 Report validation on how to handle such errors or possible warnings Once the data quality issues have been reviewed and any errors have been resolved in the report and you are ready to resubmit the report to FINTRAC a drop down menu is available to indicate the actions taken after the validation of the report These are Change o Amended o No change Delete 26 F2R Electronic Reporting User Guide o Duplicate o Submitted in error You are also pr
30. ion only requires a string of a few letters and features an automatic wildcard function That is all surnames will be found that feature the characters entered regardless of where they appear in the name This feature is useful because of the potential for slight variations in the spelling of user names You may also search based on the user s status Once you have determined that the user does not already exist select the Create user option see Figure 3 This will take you to a blank User maintenance screen as depicted in Figure 4 Figure 4 Home gt Administration gt Users gt User maintenance F2R Electronic F2R user Reporting a E z save amp amp Administration Users User maintenance Locations User ID Register as service Language preference Y provider 3 s Salutation v Service provider maintenance Surname Activity list Given name Change password TT Other Initial Reporti poring Job title Help Telephone number Log off elephone numbe Extension Fax number Email address Please use a personal email address not a group address that might be used by more than one person User s address Location vp Select the location above that represents the user s address or enter the user s address in the fields below Street address City Country v Province or state Y Postal or zip code Roles Data entry officer Can create reports but cannot submit them directly to FINTRAC Verification and
31. is complete select the Submit report button You will go to the Report submission notification screen This screen reminds you to keep a copy of the report if you have not already done so before you submit it You must keep a copy of any suspicious transaction report STR or casino disbursement report CDR that you submit to FINTRAC For all other reports you are not required to keep a copy but you can do so if you choose Figure 8 Home gt Reporting gt LCTR gt Submit report Submit report A Location LCTR submission notification B1 Transaction You can print or save this report from the Keep copy of report item on the left menu LLLI However once you have submitted the report to FINTRAC you will not be able to C Account print or save it D Conductor 2 Confirm submit Report functions Validate Submit Keep copy of report Submit report F2R Electronic Reporting Administration Reporting Help Log off For any report of which you wish to keep a copy select Keep copy of report from the left menu before you confirm submit You will not be able to do this after the report has been submitted to FINTRAC This will display an HTML version of the report You can print or save that version using your browser or you can select Print or save PDF on the top of the form This will create a Portable Document Format PDF version of the report for you to print or save Select Confirm submit to submit the re
32. left of the screen You can access the practice environment from the top paragraph on the Reporting page or from the bottom paragraph of the Home page This environment allows you to return to the Report to FINTRAC environment in the same way Each of the menu options and the functions that can be performed with them are explained in the following subsections 7 1 New report or Use template The New report option allows a user to create a new report Users will only see the report types to which they have been given access rights The F2R Administrator and F2R Administrator Assistant control this access through Users To create a new report from a blank report select the appropriate report type from the drop down menu Select the Create report button If as a service provider you report for more than one reporting entity you will also need to select a reporting entity from the drop down menu at that field Alternatively if templates are available you can select Use template For more information about the use of templates see Subsection 7 4 F2R provides field by field instructions within each report If you select this hyperlink at the bottom of each report page you will see instructions on how to complete each field within each part of a report The field by field instructions are also available in the Help section of F2R This information is also found in the reporting Guidelines on FINTRAC s public Web site http www fin
33. ompted to provide in free text form an explanation for the changes These two steps must be completed before the report can be resubmitted to FINTRAC 7 5 5 Requested for change The Request for change option as exercised under Acknowledgements see subsection 7 5 3 allows authorized users to request that a previously submitted report be returned by FINTRAC for correction or deletion Once the report has been recalled as the result of a Request for change select the Requested for change heading under Reporting Figure 17 Home gt Reporting gt Requested for change F2R Electronic Requested for change Reporting B Search Reset search Assignv Administration Reporting Reporting entity Y New report User ID DOEJ5 Use template Entry date From 2014 06 14 3 Template maintenance Entry date To 2014 07 14 3 Incomplete reports FINTRAC report number Reports awaiting Reporting entity report reference number verification S S lt i z E Report types WI STR VILCTR EET WIEFTO V CDR Acknowledgements parum RRFAs a x Reporttype Last updated UserID FINTRAC report n Reportin Status Requested for P LTR DOEJS 300002434 Returned report to be assig change Help Log off 4 n b Page 1 ofi You will start with a list of reports that were received as a result of Request for change queries that were transmitted to FINTRAC over the past month If that list is too long and you need to narrow the search en
34. or all parts of a report from which you will create the template You can complete as much or as little of the template as you like Select Save No validation will be done on this template until you submit a report using it If you navigate away from the template while creating it the template will automatically be saved You can edit saved templates as explained in Subsection 7 4 2 of this guide 7 4 2 Edit or delete an existing template If you are an F2R Administrator or VSO you can edit and delete templates through Template maintenance If you are an F2R Administrator you can modify templates created by any user If you are a VSO you can only modify the ones that you created To edit an existing template select Template maintenance from the left hand report menu This gives you access to the Template maintenance screen Figure 9 To edit a template simply select to the right of the check box This brings you directly to the template in question To delete a template select the check box next to it and select Delete A window will ask if you are sure that you want to delete the template permanently Select Yes to delete the template Select No to keep the template 7 5 Report lists The report list options allow you to view the number of reports in each of the following categories You may retrieve them for further processing as required according to your access rights Incomplete reports Continue completing a report that was
35. port to FINTRAC 7 4 Report template maintenance If you are an F2R Administrator or a Verification and Submission Officer VSO you can create edit or delete templates in F2R If you are an F2R Administrator you can modify templates created by any user If you are a VSO you can only modify the ones that you created Templates can be created for certain parts of large cash transaction reports LCTR electronic funds transfer reports EFT both incoming and outgoing and casino disbursement reports CDR Once created a template will be available to all of your organization s users with the relevant report type access rights This means that if a VSO creates a template for an LCTR all users that report LCTRs can access and use that template The data contained in a template will not undergo any validation until the template is actually used in a report 17 F2R Electronic Reporting User Guide Select Template maintenance from the Reporting menu The Template maintenance screen allows you to view and find using filters all of the report templates for your organization will be displayed as in the following Figure 9 Home gt Reporting gt Template maintenance F2R Electronic Template maintenance Reporting dB Search Reset search Q Create template 3 Delete Administration Reporting Reporting entity A m New report User ID DOEIS Use template RS seme Template S S maintenance Report types V LCTR V EFTI
36. rt in question 7 5 2 Reports awaiting verification The Reports awaiting verification list is where all reports completed by DEOs are stored They must be viewed and verified by the F2R Administrator or a Verification and Submission Officer VSO before they may be submitted to FINTRAC If a report awaiting verification is not submitted to FINTRAC within 45 days of its creation the report will no longer be available in F2R potentially resulting in non compliance under the Act In this situation FINTRAC has not received the report Select Reports awaiting verification in the left menu of the Reporting section You will then see the Reports awaiting verification screen as presented in Figure 12 Figure 12 Home gt Reporting gt Reports awaiting verification F2R Electronic Reports awaiting verification Reporting l Search DpResetsearch Delete Assignr Administration Reporting entity Y New report User ID Haan Entry date From 2014 06 14 3 Template maintenance Entry date To 2014 07 14 3 Incomplete reports FINTRAC report number Reports awaiting Reporting entity report reference number verification v v v d d Acknowledgements Report types STR LCTR EFTI EFTO CDR Report type Last updated User D FINTRAC report number Reporting entity report referen ee LCTR 2014 07 14 10 54 36 DOEJ6 300002435 change Help Log off Page 1 ofi You will start with a list of reports awaiting verification t
37. submission officer Can create and submit reports directly to FINTRAC and request to change or delete a report Assign role to user Y Select the user s Language preference English or French from the drop down menu 10 F2R Electronic Reporting User Guide Select the user s salutation from the Salutation drop down menu It will be one of Miss Mr Mrs and Ms The default is blank that is no salutation You then provide the user s name and contact information The email address that you provide for the user should not be a general or shared address as it will be used to send confidential password information to the user If the user s address is the same as that of one of the reporting entity s locations the location may be selected from the drop down menu of the reporting entity s locations If the user s address is different address details must then be supplied in the subsequent fields You also need to assign their role and select the report types to which the user requires access as well as other permissions for the user For the user s role select either Data Entry Officer DEO or Verification and Submission Officer VSO from the Assign role to user drop down menu Once you have selected a role additional fields will be presented that are appropriate for this user s access rights If the user will be responsible for maintaining location for example branch details indicate this by selec
38. t encrypted and could be compromised by others FINTRAC requests that all reporting entities exit F2R using the Log off link and close the browser after logging off To help protect against unauthorized access to an F2R secure session FINTRAC has designed the session to terminate automatically through a timed log off This will occur automatically after 30 minutes of inactivity in an F2R session However any information entered during that session in a report will be automatically saved and available in a future session from the incomplete report list FINTRAC uses software programs to monitor network traffic to identify unauthorized attempts to upload or change information or otherwise cause damage This software receives and records the Internet Protocol IP address of the computer that has contacted our Web site the date and time of the visit and the pages visited We do not attempt to link these addresses with the identity of individuals visiting our site unless an attempt to damage the site has been detected FINTRAC uses cookies to manage sessions and only people with a valid cookie in their browser can do business on some of our Web pages The cookies we use do not allow us to identify individuals but are essential to access some applications To ensure that the pages of the F2R site are secure and confidential a browser that supports 128 bit Transport Layer Security TLS or Secure Sockets Layer SSL encryption is required
39. ter search criteria such as a more specific date range or the report type for which you know there are reports awaiting changes Other criteria that will narrow down the parameters of the search include Reporting entity User ID specific FINTRAC report number or Reporting entity report reference number The search is initiated by selecting the Search button This will produce a list of reports that fit the search criteria as in Figure 17 27 F2R Electronic Reporting User Guide Depending on your access rights you will be able to edit or assign any report to another authorized user for revision To edit the report select outside the check box Alternatively select the check box to the left of the listing then use the Assign button to pass it on to another user When you edit the report in question or delete it you will be asked to provide The action taken which will be one of o Change Amended No change o Delete Duplicate a Submitted in error A textual explanation of the alterations you made to the report 28 F2R Electronic Reporting User Guide 8 How to Contact FINTRAC If you need assistance from FINTRAC regarding F2R you can contact us by telephone at 1 866 346 8722 After making your language selection press 1 and ask to be called back by a FINTRAC representative You can also reach us by email at F2R fintrac canafe gc ca for questions or comments directly relating to F2R You can reach FINT
40. ting Yes from the drop down menu The report type definition process will differ according to which role is selected for the user If you are creating a user profile for the role of DEO or VSO all report types will be listed You may then assign permissions for this user to create each report type by selecting Yes from each drop down menu If you select Yes you must also indicate whether the user can modify or delete submitted reports Denying permission to create report types selecting No will suppress the display of the modify or delete drop down menu for that report type A DEO cannot request that previously completed reports be sent back by FINTRAC Request for change This option will simply not appear However for a VSO if Yes is selected for the modify or delete option an additional option is displayed for you to allow the user to request an RFC Request for change for this type of report Conclusion When you have completed all user information select the Save button A message will appear on the screen to confirm that the user has been added and will provide the User ID for the new recruit You will then be in a position to provide this information to the user An email message with a temporary password will be sent to the user within a couple of minutes at the email address provided The temporary password will expire in 30 days The user should be instructed in the process
41. tion provided is in the correct format An outline of the report is displayed that shows any associated errors for each Part of the report Figure 7 Home gt Reporting gt LCTR gt Validate Submit Reporting entity ORG 1 FOR COMMUNICATIONS 154029 FINTRAC report number 300002434 A Location Validate Submit B1 Transaction B2 Disposition A Location C Account 4 Transaction 1 B1 Transaction 1 error D Conductor 2 warnings Report functions 4 G3 Disposition 1 Validate Submit amp 2 Disposition Keep copy of report c Account F2R Electronic Reporting Administration D Conductor Reporting Help Log off Parts without any errors are flagged by a circle with a check mark Errors are indicated by validation symbols which are summarized at the bottom of each screen Missing mandatory information incorrect content or incorrect format are represented by a circle with an exclamation mark These errors are required to be corrected before the report can be submitted Warnings are issued when a field might be mandatory under certain circumstances that are best determined by the user Warnings are marked with a triangle with an exclamation mark Errors and warnings are all hyperlinks to display a list of irregularities found in each Part of the report To be taken directly to the Part in question select the Part to which you want to progress All irregularities are fla
42. trac canafe gc ca You progress from one screen to the next by selecting the Next gt gt button at the bottom of the screen If you wish to go back to the previous screen select the Previous button The report may be saved at any point in the creation process by selecting Save The report will be stored in its current state No validation will be performed If you do not finish the report may be opened and completed revised at any time from the Incomplete reports list see Section 7 5 1 7 1 1 Dates Reports require the provision of dates F2R features a date picker function which allows you to select a range of dates for incomplete reports Select the small icon to the right of the date field A miniature calendar will be presented You can navigate through the available months by selecting the small left and right arrows at the top of the calendar If you select the down arrow next to the year you may access previous years as well The From date should precede the To date in date ranges At any time you can simply select Today Alternatively dates may simply be typed in the format YYYY MM DD F2R Electronic Reporting User Guide 7 2 Report validation When you arrive at the final report screen and select the Next gt gt button or when you select Validate Submit from the left menu the report undergoes validation to ensure that all mandatory information is present and that all informa
43. transactions to FINTRAC Screen The display portion of a computer or the content of the display portion of a computer Scroll To move the highlight bar through a list one item at a time using the 1 and keys 30 F2R Electronic Reporting User Guide Spyware Software that is secretly installed on a user s computer and that monitors use of the computer in some way without the user s knowledge or consent Most spyware tries to get the user to view advertising and or particular Web pages Some spyware also sends information about the user to another machine over the Internet Window An area on the screen boxed in by a frame a single or double line that holds information distinct from the rest of the contents of the screen 31 F2R Electronic Reporting User Guide Appendix A F2R Electronic Access The computer you use may be vulnerable to viruses and other forms of malicious code including worms Trojan Horses keystroke readers spyware or online attacks that seek to intercept sensitive information that you provide through the Internet To reduce the chances of harm you should ensure that any computer you use to access F2R has up to date anti virus and anti spyware programs a firewall intrusion detection and or intrusion prevention system or other security safeguards as appropriate Once you have finished using F2R we suggest that you clear your browser cache Information stored in the browser cache is no
44. ure 5 This will take you to a blank Location maintenance screen Figure 6 Figure 6 Home gt Administration gt Locations gt Location maintenance F2R Electronic Location maintenance Reporting n Ejssve A A Administration Users Location information Locations Reporting entity location number Register as service Location name provider S z Street address Service provider maintenance City Activity list Country v Change password Province VA Reportin P g Postal code Help aut Effective date 2014 07 11 3 You are invited to provide a self assigned number and name for the location Address information is solicited in the usual way Once you have entered all the information about the location select Save to add the location to your list The location will be immediately activated Only active locations can be used in a report 6 2 2 Modifying a location If you refer back to Figure 5 any location listed may be selected to display the record that corresponds to that location You can also conduct a search to find a particular location as explained in Subsection 6 2 You may alter any information in the location s record Once you have entered the modifications and want to save them select Save The user record will then feature whatever changes you have made You may deactivate the location by selecting the Inactivate button The Activate button will then be available for any future reactivation decisions
45. w report User ID DOEJ5 Use template Method of creation Direct data entry Y Template f maintenance Entry date From 2014 07 07 3 Incomplete reports Entry date To 2014 07 14 3 Reports awaiting FINTRAC report number verification Reporting entity report reference number Acknowledgements RRFAs Status M Requested for Report types VISTR VILCTR VIEFTI V EFTO V CDR change 7 Reporttype Date created UserID FINTRAC repor Reporting entity r Status Log off 7 STR 2014 07 11 11 35 15 DOEJS 200002427 Processing complete 7 LCTR 2014 07 11 16 41 07 DOEJS 300002428 Processing complete EFTO 2014 07 11 12 25 52 DOEJS 300002429 Processing complete LCTR 2014 07 11 16 41 09 DOEJS 300002432 Processing complete 4 n r Page 1 ofi E You will start with a list of reports acknowledged over the past month If that list is too long and you need to narrow the search enter search criteria such as a more specific date range or the report type for which you know there are reports acknowledged Other criteria that will narrow 22 F2R Electronic Reporting User Guide down the parameters of the search include Reporting entity User ID specific FINTRAC report number or Reporting entity report reference number The search is initiated by selecting the Search button You will then view a listing of reports that meet your search criteria indicating when each was submitted to FINTRAC Select the check box for any report that
46. y using the left menu bar or by using the top menu bar or the breadcrumb trail underneath it You can also use the back button and forward button of your browser Many functions specific to F2R are accessible directly on the Home page and are also made accessible by selecting options in the menu located to the left of the screen Each class of selection on the main screen is made available if you select anywhere within the text area The options specific to that selection will be displayed This page also describes the Practice environment and enables you to access it When you are in the Practice environment the Report to FINTRAC environment will be described instead so that you can return to it when ready We will begin with the general Administration functions F2R Electronic Reporting User Guide 6 Administration This section provides an explanation of each component of the Administration pages of F2R To navigate to this section of F2R select Administration from the menu to the left of the screen Access to various screens relating to administration functions depends on whether the user is an F2R Administrator Topics include Information about users Information about locations Information about service provider delegation Activity list Change password The following subsections provide information on these menu items and the functions that may be performed with them The Change Password function is described in detail
47. your own password at any time To accomplish this select Administration and Change password Enter your current password followed by your new password twice If you have forgotten your password refer to Subsection 4 6 4 5 Log off To log off from F2R select Log off from the menu bar to the left of the F2R window F2R will display a notice to confirm your request to log off If you select any other option in the left menu your session will continue and you will remain logged on If you select the Proceed with log off F2R Electronic Reporting User Guide button you will be logged off from F2R To return to F2R you will need to go through the log on process again 4 6 Password recovery process If you ever forget your password select the Forgot your password hyperlink on the F2R Log On page You will then be directed to the User information page Once you submit your User ID a new temporary password will be sent to you As with your initial log on you will need to change this password the first time you use it to log on to F2R See Subsection 4 4 4 7 General screen navigation Many features in F2R are to increase your convenience of use The users locations and reports listings provide an array of columns and line items e f you select any column heading it will be highlighted and a small arrow will appear to the right Select the arrow and you will see a drop down menu asking whether you wish to sort the entire listin
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