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Pub 5124 User Guide v 20 Draft

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    Publication 5124 (08-2016) Catalog Number 65544H Department of the Treasury Internal Revenue Service www .irs.gov     FATCA XML Schema v2.0 User Guide (Draft 8-2016) 2 Table of Contents What’s New  ............................................................................................................................................... 6 1 Introduction ........................................................................................................................................ 7  About FATCA ................................................................................................................................ 7 1.1 Special Rules for Non-GIIN Filers ................................................................................................. 8 1.2 HCTA Filers ................................................................................................................................... 8 1.3 Purpose ......................................................................................................................................... 9 1.42 FATCA XML Schema Overview ...................................................................................................... 10 Schema Versions ........................................................................................................................ 12 2.1 Schema Validation ...................................................................................................................... 13 2.22.2.1 Creating New Reports using Schema v2.0 ......................................................................... 13 2.2.2 Corrected, Void and Amended Reports .............................................................................. 14 Prohibited and Restricted Characters ......................................................................................... 14 2.3 Namespace ................................................................................................................................. 15 2.4 Reciprocal Exchange .................................................................................................................. 16 2.52.5.1 Competent Authority Requests (CAR) ................................................................................ 16 Data Preparation and Naming Conventions ............................................................................... 16 2.6 System Testing ............................................................................................................................ 16 2.7 Other Resources ......................................................................................................................... 17 2.83 MessageSpec .................................................................................................................................. 18 SendingCompanyIN .................................................................................................................... 19 3.1 TransmittingCountry .................................................................................................................... 19 3.1 ReceivingCountry ........................................................................................................................ 20 3.2 MessageType .............................................................................................................................. 20 3.3 Warning ....................................................................................................................................... 20 3.4 Contact ........................................................................................................................................ 20 3.5 MessageRefId ............................................................................................................................. 20 3.6 CorrMessageRefId ...................................................................................................................... 21 3.7 ReportingPeriod .......................................................................................................................... 21 3.8 Timestamp ................................................................................................................................... 21 3.94 FATCA Report Complex Types ....................................................................................................... 22 MonAmnt_Type ........................................................................................................................... 22 4.1 DocSpec_Type ............................................................................................................................ 23 4.24.2.1 DocTypeIndic ...................................................................................................................... 23 4.2.2 DocRefId ............................................................................................................................. 25   FATCA XML Schema v2.0 User Guide (Draft 8-2016) 3 4.2.3 CorrMessageRefId .............................................................................................................. 25 4.2.4 CorrDocRefId ...................................................................................................................... 26  Address_Type ............................................................................................................................. 26 4.34.3.1 CountryCode ....................................................................................................................... 27 4.3.2 Address Free ....................................................................................................................... 27 4.3.3 AddressFix .......................................................................................................................... 28 PersonParty_Type ....................................................................................................................... 29 4.44.4.1 ResCountryCode ................................................................................................................. 29 4.4.2 TIN ....................................................................................................................................... 30 4.4.3 Name ................................................................................................................................... 31 Titles ................................................................................................................................ 32 4.4.3.1 First Name ....................................................................................................................... 32 4.4.3.2 Middle Name ................................................................................................................... 32 4.4.3.3 Last Name ....................................................................................................................... 33 4.4.3.44.4.4 Nationality ............................................................................................................................ 33 4.4.5 BirthInfo ............................................................................................................................... 33 BirthDate ......................................................................................................................... 34 4.4.5.1 OrganisationParty_Type .............................................................................................................. 35 4.54.5.1 ResCountryCode ................................................................................................................. 35 4.5.2 TIN ....................................................................................................................................... 36 4.5.3 Name ................................................................................................................................... 37 4.5.4 Address ............................................................................................................................... 37 CorrectableReportOrganisation_Type ........................................................................................ 37 4.64.6.1 FilerCategory - New   ............................................................................................................ 38 4.6.2 DocSpec .............................................................................................................................. 39 5 Reporting FI ..................................................................................................................................... 40 6 ReportingGroup ............................................................................................................................... 43 Sponsor ....................................................................................................................................... 43 6.1 Intermediary ................................................................................................................................ 44 6.2 NilReport - New   ........................................................................................................................... 45 6.36.3.1 DocSpec .............................................................................................................................. 46 6.3.2 NoAccountToReport ............................................................................................................ 46  Account Report ............................................................................................................................ 47 6.46.4.1 DocSpec .............................................................................................................................. 48 6.4.2 AccountNumber ................................................................................................................... 48   FATCA XML Schema v2.0 User Guide (Draft 8-2016) 4 6.4.3 AccountClosed - New   .......................................................................................................... 49 6.4.4 AccountHolder ..................................................................................................................... 50 Individual ......................................................................................................................... 50 6.4.4.1 Organisation .................................................................................................................... 50 6.4.4.2 AcctHolderType - Updated   .............................................................................................. 51 6.4.4.36.4.5 Substantial Owner - Updated   .............................................................................................. 52 Individual and Organization ............................................................................................. 52 6.4.5.16.4.6 AccountBalance .................................................................................................................. 53 6.4.7 Payment .............................................................................................................................. 54 Type ................................................................................................................................ 55 6.4.7.1 PaymentTypeDesc - New   ............................................................................................... 55 6.4.7.2 PaymentAmt .................................................................................................................... 56 6.4.7.36.4.8 CARRef - New (Model 2 IGA Reporting Only)  .................................................................... 56 PoolReportReportingFIGIIN ............................................................................................ 57 6.4.8.1 PoolReportMessageRefId ............................................................................................... 57 6.4.8.2 PoolReportDocRefId ....................................................................................................... 57 6.4.8.36.4.9 AdditionalData - New   .......................................................................................................... 58  AdditionalItem .................................................................................................................. 58 6.4.9.1 Pool Report ................................................................................................................................. 59 6.56.5.1 DocSpec .............................................................................................................................. 59 6.5.2 AccountCount - Update  ....................................................................................................... 59 6.5.3 AccountPoolReportType - Updated   .................................................................................... 60 6.5.4 PoolBalance ........................................................................................................................ 60 7 Correcting, Amending and Voiding Records - New   ........................................................................ 61 Unique MessageRefId and DocRefId ......................................................................................... 61 7.1 How to Correct, Amend or Void Records .................................................................................... 62 7.27.2.1 Amend ................................................................................................................................. 63 7.2.2 Void ..................................................................................................................................... 63 7.2.3 Correct ................................................................................................................................. 63 7.2.4 Special Cases to Amend and Correct Records .................................................................. 63 MessageSpec and DocSpec ....................................................................................................... 64 7.3 Appendix A: Glossary of Terms ....................................................................................................... 66  Appendix B: FATCA XML Schema Overview ................................................................................... 69  Appendix C: MessageSpec .............................................................................................................. 70  Appendix D: Reporting FI ................................................................................................................. 71
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