After you file

Adding records

Amending or cancelling records

Downloading your list of incomplete records

Confirming that the return was processed

Adding records

If you have original slips that were not filed with your return, file them in a separate return. All document type codes must be "O" for original, including the summary report type code.

Amending or cancelling records

General instructions

Steps for amending or cancelling records

General instructions

Apply the following measures to avoid a rejected return when amending or cancelling a record of the Part XVIII Information Return.

• A return cannot contain a mix of slips with different document type codes as it will result in duplicate document reference identifiers of the reporting financial institution in the exchange:
  • An original return cannot contain an amended or cancelled slip.
  • An amended return cannot contain an original slip.
  • An amended return can contain only amended slips or only cancelled slips, not a mix.
• You can file an amended return without slips if there are changes to the reporting financial institution or the sponsor record only.
• Every return must have the reporting financial institution record filled out. You cannot cancel the reporting financial institution record.
• If you cancel a record, we cancel the whole series or chain of that record, that is, from the original record and including any amended records up to the cancelled record. Therefore, you cannot amend a record (in a series) that has already been cancelled.
• A new unique document reference identifier must be assigned to each record.
• The corrected document reference identifier is the document reference identifier of a record that is being replaced. It must be completed when creating an amended or a cancelled record and refers to the latest version of the record that was successfully filed with the CRA. In this way, a series of corrections or amendments is tracked as the record with the new document reference identifier replaces the previous version identified with the corrected document reference identifier.

The critical elements for amending or cancelling a record are:

• The summary report type code would indicate "A" for amended (for amended or cancelled records);
• The document type code for the reporting financial institution record should indicate "A" for amended, regardless if changes are made to that record. We will continue to accept "O" for originals, although "A" is preferred.
• The document type code for the sponsor record, if applicable, should indicate either:
  • "A" for amended, regardless if changes are made to that record; or
    • We will continue to accept “O” for original, although “A” is preferred.
  • "C" for cancelled, if you need to cancel that record.
• The document type code for the slip records, if applicable, should indicate either:
  • "A" for amended, if changes are made to that record; or
  • "C" for cancelled, if you need to cancel that record.
• A new unique document reference identifier for the new record;
• The corrected document reference identifier to identify the record to be replaced or cancelled; and
• The changes, if amending a record.

Permutations for amending or cancelling a record

We will accept “A”, for amended, for the reporting financial institution or sponsor document type codes even if there is no change to these records when they are filed with amended or cancelled slips.

Steps for amending or cancelling records (reporting financial institution, sponsor or slips)

• Step 1 – Complete a new summary with "A", for amended, in the summary report type code field.
• Step 2 – Complete a new reporting financial institution record:
  • enter "A", for amended, in the document type code field;

    • Note
      We will continue to accept “O”, for original, if you are not changing the reporting financial institution record, although “A” is preferred.

  • assign a new document reference identifier (in any case “A” or “O”);
  • enter the document reference identifier of the previously filed record in the corrected document reference identifier field to indicate which record is being replaced; and
  • amend the fields if required.
• Step 3 – Complete a new sponsor record, if applicable:
  • enter "A", for amended, in the document type code field;

    • Note
      We will continue to accept “O”, for original, if you are not changing the sponsor record, although “A” is preferred.

  • assign a new document reference identifier (in any case “A” or “O”);
  • enter the document reference identifier of the previously filed record in the corrected document reference identifier field to indicate which record is being replaced; and
  • amend the fields if required.
• Or
  • enter "C", for cancelled, in the document type code field if you are cancelling the sponsor record;
  • assign a new document reference identifier;
  • enter the document reference identifier of the previously filed record in the corrected document reference identifier field to indicate which record is being cancelled.
• Step 4 – Complete a new slip record.
  • If you are amending slips:
    • enter "A", for amended, in the document type code field;
    • retain the information on the previously filed slip and adjust the fields that need to be corrected;
    • assign a new document reference identifier; and
    • enter the document reference identifier of the previously filed slip in the corrected document reference identifier field to indicate which slip is being amended.
• Or
  • if you are cancelling slips, retain the same data as previously filed except:
    • enter "C", for cancelled, in the document type code field;
    • assign a new unique document reference identifier; and
    • enter the document reference identifier of the previously filed slip in the corrected document reference identifier field to indicate which slip is being cancelled.
• Step 5 – File the amended return.

  • Note
    You cannot have “C”, for cancelled, in the reporting financial institution document type code field.
    You can file an amended summary without any slips if you only need to amend the information relating to the reporting financial institution and/or the sponsor or to cancel only the sponsor record.
    You cannot have a mix of original, amended or cancelled slips in the same return.

Downloading your list of incomplete records

As part of the initial validation, we may identify missing or incomplete information that is required. We will accept the return but we will send an email to the contact's email address (identified on the summary of the return) to inform them that a list of incomplete records is available for download through the CRA's My Business Account or Represent a Client and that they may send amended records if required.

This list will identify certain missing elements that may not be in your records. You do not need to communicate with us to inform us that you do not have these missing elements in your record, especially during the transition period. We will communicate with you if needed.

Select "Information Returns" from the My Business Account's or Represent a Client's Welcome page for the "Download incomplete Part XVIII records" option.

Confirming that the return was processed

You will receive a confirmation of receipt following your submission. The CRA will conduct initial validations and may communicate with the contact person identified on the return if there are errors or omissions.

To confirm the status of a return, select “View return status” under “Information Returns” on the CRA My Business Account or Represent a Client services. The status will indicate if the return was processed, in progress, rejected, amended or deleted.

Date modified:

2017-05-01