p5190

Publication 5190 (Rev. 9-2019) Catalog Number 67386F Department of the Treasury Internal Revenue Service www.irs.gov

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Table of Contents
Table of Contents ............................................................................................................................................................................ 2
Figures ............................................................................................................................................................................................. 6
Tables ............................................................................................................................................................................................... 9
Disclaimers .................................................................................................................................................................................... 10
Additional Note about Screen Shots ........................................................................................................................................... 10
What’s New .................................................................................................................................................................................... 11
1. Introduction......................................................................................................................................................................... 12
1.1. About FATCA ............................................................................................................................................... 12
1.2. Purpose of Guide ......................................................................................................................................... 12
1.3. Comments .................................................................................................................................................... 13
1.4. Technical Support ....................................................................................................................................... 13
2. International Data Exchange Service (IDES).................................................................................................................... 13
2.1. About IDES ................................................................................................................................................... 13
2.2. Before You Begin ........................................................................................................................................ 14
2.3. Authorized Users ......................................................................................................................................... 14
2.4. System Availability ...................................................................................................................................... 16
2.5. Data Security ................................................................................................................................................ 17
2.6. File Retention ............................................................................................................................................... 17
2.7. Requirements ............................................................................................................................................... 18
2.8. HCTA Username and Password ................................................................................................................. 18
3. Obtain a Digital Certificate ................................................................................................................................................. 19
3.1. Purpose of a Digital Certificate .................................................................................................................. 19
3.2. IRS Approved Certificate Authorities ........................................................................................................ 19
3.3. Digital Certificate Format ............................................................................................................................ 19
3.4. Upload a Digital Certificate to IDES ........................................................................................................... 20
3.5. Public Key Certificate .................................................................................................................................. 20
3.6. Certificate Maintenance .............................................................................................................................. 20
4. IDES Enrollment ................................................................................................................................................................. 21

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4.1. Overview ....................................................................................................................................................... 21
4.2. IDES Enrollment Home Page ...................................................................................................................... 21
4.3. Enrollment .................................................................................................................................................... 22
4.4. Knowledge Base .......................................................................................................................................... 23
4.5. Support ......................................................................................................................................................... 24
4.6. IRS Public Key ............................................................................................................................................. 25
4.7. IDES Enrollment User Log In ...................................................................................................................... 26
5. HCTA Administrators ......................................................................................................................................................... 26
5.1. Overview ....................................................................................................................................................... 26
5.2. Begin Enrollment ......................................................................................................................................... 27
5.3. Create Challenge Questions ....................................................................................................................... 30
5.4. Create User Profile ...................................................................................................................................... 31
5.5. Select Alert Preferences ............................................................................................................................. 32
5.6. Upload Digital Certificate ............................................................................................................................ 33
6. FI Administrators ................................................................................................................................................................ 35
6.1. Overview ....................................................................................................................................................... 35
6.2. Begin Enrollment ......................................................................................................................................... 36
6.3. Create Challenge Questions ....................................................................................................................... 38
6.4. Create User Profile ...................................................................................................................................... 39
6.5. Select Alert Preferences ............................................................................................................................. 40
6.6. Upload Digital Certificate ............................................................................................................................ 41
7. Existing Administrators (HCTA and FI) ............................................................................................................................ 43
7.1. Add a User .................................................................................................................................................... 43
7.2. Disable a User .............................................................................................................................................. 46
7.3. Enable a User ............................................................................................................................................... 49
7.4. Update the Certificate.................................................................................................................................. 52
7.5. Update Alert Preferences ............................................................................................................................ 54
7.6. Create a Metadata File ................................................................................................................................. 57
7.7. Reset Password ........................................................................................................................................... 60
7.8. Edit User Role .............................................................................................................................................. 61

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7.9. Download the IRS Public Key ..................................................................................................................... 63
8. End Users ............................................................................................................................................................................ 64
8.1. Create an Account ....................................................................................................................................... 64
8.2. Create Challenge Questions ....................................................................................................................... 65
8.4. Select Alert Preferences ............................................................................................................................. 67
8.5. IDES Enrollment User Log In ...................................................................................................................... 69
8.6. Create a Metadata File ................................................................................................................................. 71
8.7. Update Alert Preferences ............................................................................................................................ 71
8.8. Reset Password ........................................................................................................................................... 72
8.9. Forgot Username ......................................................................................................................................... 73
8.10. Forgot Password ......................................................................................................................................... 76
9. Data Preparation for FATCA XML Report......................................................................................................................... 79
9.1. Overview ....................................................................................................................................................... 79
9.2. Prepare the FATCA XML File ...................................................................................................................... 79
9.3. Receive an IRS Notification ........................................................................................................................ 88
10. Access the IDES Gateway ................................................................................................................................................. 89
10.1. Overview ....................................................................................................................................................... 89
10.2. Reset Password ........................................................................................................................................... 90
10.3. Session Timeout .......................................................................................................................................... 90
10.4. User Interface Overview .............................................................................................................................. 91
10.5. Preferences .................................................................................................................................................. 93
11. Transmit a FATCA Report .................................................................................................................................................. 94
11.1. IDES Transmission Archive ........................................................................................................................ 94
11.2. IDES Transmission ID ................................................................................................................................. 95
11.3. Retransmissions .......................................................................................................................................... 95
11.4. Folder Structure ........................................................................................................................................... 95
11.5. Transmit a File Using Web UI ..................................................................................................................... 96
11.6. Model 1, Option 2 HCTA .............................................................................................................................. 99
11.7. Transmit a File Using SFTP ...................................................................................................................... 102
11.8. Connect to IDES SFTP using Windows Secure Copy (WinSCP): .......................................................... 102
12. Alerts ................................................................................................................................................................................. 105

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12.1. Overview ..................................................................................................................................................... 105
12.2. Receive Alerts ............................................................................................................................................ 106
13. IDES Reports..................................................................................................................................................................... 107
13.1. IDES Sentinel Overview ............................................................................................................................ 107
13.2. System Timeout ......................................................................................................................................... 107
13.3 Connect to IDES Sentinel using web browser ........................................................................................ 107
13.4 Connect to IDES Sentinel Monitoring using web browser ..................................................................... 108
13.5 Launch IDES Web Dashboard from Sentinel Monitoring ....................................................................... 110
13.6 Connect to IDES Sentinel Web Dashboard using web browser ............................................................ 111
13.7 Understanding Web Dashboard interface ............................................................................................... 112
13.8 Sentinel Monitoring - Search Transmission and Alert History .............................................................. 121
13.9 Sentinel Monitoring - View Search Results ............................................................................................. 124
13.10 Sentinel Monitoring - Save Search Reports ............................................................................................ 126
13.11 IDES Visibility- Transmission Overview .................................................................................................. 127
13.11.1 List of All Report Alerts ...................................................................................................................... 127
13.11.2 List of Failed Transmissions ............................................................................................................. 128
13.11.3 Examples of Transmission Alerts ..................................................................................................... 131
13.11.4 Examples of Transmission Alerts - Model 1 Option 2 ..................................................................... 133
Appendix A : Acronyms ................................................................................................................................................................................................................ 137
Appendix B : File Naming Convention ......................................................................................................................................................................................... 138
Appendix C: Certificate Upload Error Messages ......................................................................................................................................................................... 139
Appendix D: HCTA FATCA Entity ID Composition ...................................................................................................................................................................... 140
Appendix E: IDES Alert Codes ................................................................................................................................................................................................ 141
Appendix F: Data Preparation User Tips ................................................................................................................................................................................ 146
Appendix G: IDES Gateway UI Accessibility .......................................................................................................................................................................... 151