Last Revised (06/12)

ACH Direct Control Totals & File Collection

ACH Direct – Control Totals & File Collection

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Contents

Page

Section 1: File Collection Alerts 2

Overview of Service 2

Notification Overview 2

Section 2: Control Totals 3

Overview of Service 3

Instructions for Originators 3

Notification Overview 3

Section 3: Using Control Totals 4

Entering Control Totals 4

Control Total Search 5

Control Total Modification 8

Control Total Deletion 10

This document is designed to provide general information only and is not legal advice. If legal advice or other expert assistance is required, the services of a competent professional should be sought. KeyBank (Key) does not make any warranties regarding the results obtained from the use of this information.

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Section 1: File Collection Alerts

Overview of Service For ACH Originators, you can elect to receive real time e-mail alerts regarding your ACH Origination files. Events such as Key’s receipt and processing of an ACH Origination file will trigger e-mails to those designated. Notification Overview

Number Notification Action Required

800

An ACH Origination file has been received by Key and will be

processed in the next available processing window.

Informational e-mail with no action required.

801

An ACH Origination file has been received by Key after the daily

processing cutoff and may not be processed until the next banking

day.

Informational e-mail with no action required.

810 File has been processed however

with an exception status due to missing file control totals.

File totals are required in order to complete the processing of your

ACH Origination file. Please input the required file totals as quickly as possible so as to avoid any delay in the distribution of transactions.

812 File has been processed however with an exception status other than

Control Totals.

If you have not been contacted by Key ACH Operations, please do so

with your point name (located within the e-mail communication under Originator ID / Name) to

determine the file exception and resolution.

815 File has been processed

successfully with no errors.

Informational e-mail with no action required. Depending on your

particular set-up within Key’s ACH system, once a file is processed you will receive either notification

815 or 825.

825 Application has been processed

successfully.

Informational e-mail with no action required. Depending on your

particular set-up within Key’s ACH system, once a file is processed you will receive either notification

815 or 825.

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Section 2: Control Totals Overview of Service If you are an ACH Originator who sends your files via Direct Transmission or Key Total Treasury File Transfer you may use ACH Direct to enter your control totals online. Instructions for Originators To ensure smooth processing, log into ACH Direct and input file totals for each ACH Origination file being sent then send the corresponding file(s) to Key via Direct Transmission or Key Total Treasury File Transfer.

Notification Overview

Number Notification Action Required

612 The pending Control Total Deletion request has been

declined

Informational e-mail. The file already processed, control totals

cannot be changed.

613 The pending Control Total Modify

request has been declined

Informational e-mail. The file already processed, control totals

cannot be modified.

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Section 3: Using Control Totals Entering Control Totals 1. From the ACH Direct Main Menu, click Add under the Control Totals heading.

2. Control Total Add –It is recommended that you add control totals prior to sending

your ACH Origination file.

3. Depending on your individual ACH Direct set-up, you may be required to choose the

appropriate “Application Name” for the set-up you wish to enter file totals for.

4. Every client is required to complete the following fields:

a. Credit Amount – Credit amount of file being submitted (including decimal point). i. Enter amounts using a decimal point. For example, if 2500 is the desired

amount, enter “2500.00” in the field.

b. Debit Amount – Debit amount of file being submitted (including decimal point). i. Enter amounts using a decimal point. For example, if 2500 is the desired

amount, enter “2500.00” in the field.

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c. Entry/Addenda Count – Number of detail records or number of detail and adden-da records on the file being submitted.

5. Depending on an individual client’s set-up, the following Optional Fields may be

required.

a. File ID Modifier – The File ID modifier may be located within the File Header Record (1 Record), field 7, positions 34-34.

b. Hash Total – The hash total may be located within the File Control Record (9 Record), field 5, positions 22-31.

6. Once all fields are completed click the Submit button.

7. After the Control Total Add request is processed, the Control Total Add Confirmation

page will be displayed confirming the successful add and provide a Control Total Reference Number.

Control Total Search 1. From the ACH Direct Main Menu, click Search under the Control Totals heading.

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2. Users may specify search criteria on the ACH Direct Control Total Search screen in order to limit the results. a. The following fields may be used as search criteria for control total entries:

i. Application Name – Show control total entries only for a specific application. This option is available for clients who are set up to report file totals for more than one ACH Origination set-up.

ii. Date Range – Date range during which the control total was added by the user.

iii. Credit Amount – Credit amount of file (or batches). iv. Debit Amount – Debit amount of file (or batches). v. Entry or Entry/Addenda Count – Entry count of file (or entry and addenda

count). vi. File ID Modifier – File ID modifier from file header record. vii. Hash Total – Hash total from the file control record. viii. Control Total Reference Number – Specific reference number. ix. Control Total Status – Show all control totals with a specific status.

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3. Once the desired search criteria are entered, click Search for search results.

4. Once the desired control total is located, the option to delete and/or modify the total is available providing it is in an unmatched status.

5. In the event the search criteria entered does not return results, the following

message will be displayed.

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Control Total Modification 1. In order to modify an ACH Direct control total, click the radial button next to the total

which requires changing. a. Click Modify Selected.

2. Make required changes to the control total and then click Submit Changes.

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3. Click to confirm the modification requested.

4. Once completed, confirmation of the modification will be provided.

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Control Total Deletion 1. In order to delete an ACH Direct control total, click the radial button next to the total

which requires deleting. a. Click Delete Selected.

2. Confirm the correct control total is being deleted and click Delete.

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3. Click to confirm the deletion.

4. Once completed, confirmation of the deletion will be provided.