Fujitsu Services
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NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 4.0
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Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Reviewed By:
Distribution:
Network Banking End to End Reconciliation Reporting
Reconciliation Report Specification (AIS)
N/A
This document specifies the reconciliation report output to
satisfy the end to end reconciliation of the Network Banking
Stream
APPROVED
Richard Brunskill: Fujitsu Services Pathway Management
Support
Richard Hicks: Fujitsu Services Pathway, Linda Austin: POL
POL: Linda Austin: Bob Booth: Peter Jones: Sue Harding:
Glenys Latham; Clive Reed: Steve Grayston, Claire Bennett,
Jayne Widdowson; Danny Bathmaker Marion Dale
Fujitsu Services Pathway: Richard Hicks: Roger Donato: John
Pope: Pete Chandler: Dave Johns: Michael King, Nathan Monk,
Dina Chauhan, Angela Shaw; Kevin Barrett; Harji Hothi; Mark
Taylor, Tony Drahota
Reviewers & PVCS
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Version: 4.0
Date: 29/07/02
0.0 Document Control
0.1 Document History
Version No.
Date
Reason for Issue
Associated
CP/PinICL
0.1
06/06/01
First draft for review
0.2
20/06/01
Second draft for review following POL
discussion workshop and other comments from
reviewers.
0.3
02/08/01
Third draft for review following POL discussion
workshop and other comments from reviewers.
04
27/09/01
Fourth draft for review following POL
discussion workshop and other comments from
reviewers.
0.5
03/12/01
Fifth draft for review following POL discussion
workshop and other comments from reviewers.
1.0
19/12/01
REMOVED FROM APPROVAL CYCLE
1d
08/01/02
REMOVED FROM REVIEW CYCLE
2.0
16/01/02
REMOVED FROM APPROVAL CYCLE
2.1
22/01/02
Sixth draft for review following amendments
incorporated as a result of IBM interface
changes and late POL comments received
against Version 1.0 (now removed)
CR27
2.2
27/02/02
Seventh draft for review following amendments
as a result of two workshops between Fujitsu
Services Pathway and POL on 6&7 February,
and 20/21 February 2002 and informal
comments received from Fujitsu Services
Pathway.
3.0
21/03/02
Eighth draft for approval following review
comments
3.1
12/07/02
Draft for review following:
e Correction of typos
e Inclusion of 3 definitions outstanding from
V3.0
40
29/07/02
Final Version for approval
PO comments: Marion Dale added to reviewers
Fujitsu Services comments:
e Tony Drahota to approval authority
© Change of date format within ‘Receipt
Time’ on NB102 sections from hhmmss to
hh:mm:ss (cosmetic change to report only —
not requiring review)
e ICL replaced with Fujitsu Services
throughout
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0.2 Approval Authorities
Name Position Signature Date
Bill Reynolds Fujitsu Services Pathway
Tony Drahota Fujitsu Services Pathway
ASD Manager
Sue Harding PON / BDA
Clive Reed PON / TDA
0.3 Associated Documents
Reference Version I Date Title Source
NB/SPE/002 Network Banking DRS On- Fujitsu
line Workstation Specification I Services
Pathway
PVCS
NB/IFS/008 Network Banking Engine Fujitsu
NBE - Horizon Application Services
Interface Specification Pathway
PVCS
NB/PRO/002 Network Banking Fujitsu
Reconciliation & Incident Services
Management Pathway
PVCS
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
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0.4 Abbreviations/Definitions
Abbreviation Definition
Authorised Client This signifies projected settlement awaiting the Confirmed Client
Transaction Awaiting Transaction. From a system perspective, an ‘S’ transaction — Not
Confirmation applicable to Network Banking Reports.
Bank_Transaction_Id Message sequence number assigned by the message originator
(except Horizon), to assist in identifying a transaction uniquely.
Stays unchanged through the life of the transaction.
C4 Processing Date The System Processing Date on which the ‘C4’ was received by
the DRS. Where a C4 is included on report NB101, the C4
Processing Date is the same as the Run Date for report NB101.
C4 Settlement Date The Settlement Date provided on the C4 transaction.
Confirmed Client From a ‘Client’ perspective, a transaction that has been authorised
Transaction to either debit or credit an account. From a system perspective, a
‘C4’ transaction.
Counter Confirmations I From an outlet / POL perspective, a successfully completed
transaction at the counter. From a system perspective, a ‘C12’
transaction.
Exceptioned Client From a Client perspective, a transaction reconciliation difference
Transaction highlighted within the NBE and notified to Horizon. From a
system perspective, a ‘D’ transaction.
Exception Types Within all reports the ‘Exceptions’ category will include:
e ‘Incomplete States’, i.e. those transactions where one or more
transaction component is missing — a C4 without a C12 ete
© Genuine exceptions where transaction components belonging
to the same high level transaction have been exceptioned, i.e.
C12 (amount) not = to C4 (amount) etc.
e NBE/DRS corruption’s
Horizon_Txn_Num Unique transaction number to be used in all messages between
Horizon and the NBE relating to the transaction. Generated by
Horizon and provided in the request message initiating the
transaction.
‘New’ Transactions Transactions that have had a change of state since they were last
reported, or have never been reported except in NB102 section 6.
Note that if a transaction appears in NB102 section 6 it is future
dated as is reported in that section for information only. Once
future dated transactions become current dated, they must be
reported as though they have not appeared on the reports before.
‘Old’ Transactions Transactions that have NOT had a change of state since they were
last reported.
Receipt Date Receipt Date is the Date as printed on the transaction Receipt at
the Counter. It forms part of all transactions.
Receipt Time Receipt Time is the Time as printed on the transaction Receipt at
the Counter. It forms part of all transactions.
Reconciliation Date The Reconciliation Date is the date attributed to a transaction to
allow POL to reconcile. It will be set the first available Bank
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Settlement date from the transaction elements (C112, C12, C4, S
& D) that make up a Network Banking transaction. If no Bank
Settlement date is available, the Reconciliation Date will be set to
the processing date that the Data Reconciliation Service first
recorded any element of the transaction being received. Ifa
Settlement date subsequently becomes available, the first available
Bank Settlement date will replace the processing date. However,
once a transaction has been accounted for on the reconciliation
reports, the Reconciliation Date will never change.
Routing_Gateway Identifies a system, where the authorisation for a specific
transaction should be sought. For Network Banking, this refers to
the Routing_Gateway as defined in Network Banking Engine NBE
Horizon Application Interface Specification (NB/IFS/008)
Run Date This is the System Processing Date for which the report refers, i.e.
all transaction components processed by the DRS on System
Processing Date dd/mm/yyyy are accounted for on this report.
Settlement Date Settlement Date is often the same as Run Date but some Financial
Institutions may assign a Settlement Date in the future: e.g. the
following Monday may be set on transactions processed on the
preceding Friday, Saturday and Sunday.
TIP Transactions From an outlet / POL perspective, a transaction that has been sent
from TPS to POL TIP. From a system perspective, a ‘C112’
transaction.
CAP. Cash Account Period
CBDB Counters Business Data Base (POL)
cs Customer Service (Fujitsu Services Pathway)
DRS Data Reconciliation Service
EFTPOS Electronic Funds Transfer at Point Of Sale
EPOSS Electronic Point Of Sale Service
MSU Management Support Unit (Fujitsu Services Pathway)
POL Post Office Limited
TIP Transaction Information Processing (POL)
TPS Transaction Processing Service
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0.5 Changes in this Version
Version
Changes
0.2
Changes to report layouts and format following discussions with
POL & inclusion of revised state table.
0.3
Changes to report layouts and format following discussions with
POL & inclusion of revised state table.
0.4
© Clarification provided following review comments from POL.
Major revision of NB101a data definition to explain both in a
business and technical sense the progression of transaction
components throughout the reporting cycle. The final
reconciliation and settlement in accordance with the
requirements has not been amended.
e Inclusion of Incomplete State and Exception state matrices to
identify report population for specific error types. Section
3.1.4.14/ 15.
C2 transaction components have now been renamed C12.
Revised System State Table
0.5
Cl transaction components have now been renamed C112
Revised System State Table — now section 5
New sections, 11 & 12 added to NB102 to allow for Future
Dated Transactions
Transaction flow diagram removed from section I
New R.A.C diagram included as section 4
Definition of ‘Today’ removed from document
Definition of ‘New’, ‘Old’ and ‘Settlement Date’ included in
document.
* Removal of exception states E15 — E19 from all reports
following revision to State Table.
e New fields inserted into NB102 series reports & revision of
format of cleared reports (sections 7 — 10)
e Incomplete and Exception state amendments to some reports
where inconsistencies were evident.
eeelee
eeee
Re-ordering of NB102 sections
Review following detailed check of system states
New sub total lines included in NB100a and NB100b
Detailed rules added to NB103
Discrepancy reason codes added to NB102
NOW REMOVED FROM APPROVAL CYCLE
eeee
¢ New Section 5 included identifying reported values in
accordance with system states. Appropriate report rules point to
this new section.
NOW REMOVED FROM REVIEW CYCLE
2.0
e NOW REMOVED FROM APPROVAL CYCLE
2.1
* General changes following receipt of CR27 re. IBM interface
changes
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2.2 Major changes resulting from the reviews between Fujitsu Services
Pathway and POL on 6/7 February and 20/21 February 2002 held at
POL Chesterfield. Present: Fujitsu Services Pathway: Richard
Brunskill, Richard Hicks. POL: Linda Austin (6/7 only), Glenys
Latham, Claire Bennett, Marion Dale, Jayne Widdowson.
Changes are as follows:
© Fujitsu Services Pathway sign off amended to Bill Reynolds
e Comments from Bob Booth (POL) incorporated where
applicable
¢ Removal of reporting requirements for Balance Enquires and
PIN changes, agreed ‘Not Required’ — Section 2.0 deletion of
columns from the table
e Deletion of reports NB100a and NB100b from report set, agreed
“Not Required’
© Deletion of worked examples (sections 3.1.3.4.1 & 2), agreed
‘Not Required’
e Major structural and data definition changes to report NB101
e Deletion of report NB101(b) from report set, agreed ‘Not
Required’
e Report NB101(a) re-named as NB101
e Report NB101 now combined to include both Deposits and
Withdrawals
e Addition of CAP identification to all exceptions listed within
reports NB102 sections 2, 3, 4, 5, 8, 9, 10 & 11 where a C112 is
present
* NB102 Sections I and 7: Titles amended to delete references to
<24hours to aid in development understanding. Both sections
now refer to ‘All’ exceptions
© Major data definition changes to report NB103
e Additional rule applied to all remaining reports stating that
within the Network Banking report set, ‘S’ states are not
expected to occur. (See rule for exact wording applicable to
system states)
¢ Section 4 — Transaction Flows: Diagram removed and reference
to NB/SPE/001 included.
¢ Section 5 now deleted from document, agreed ‘Not Required’
e Section 6 State Table amended to exclude Patrol Alerts, agreed
‘Not Required’
3.0 Changes as per POL and Fujitsu Services Pathway comments.
3.1 © Section 0.4: Added
> “Bank_Transaction_Id: Message sequence number assigned
by the message originator (except Horizon), to assist in
identifying a transaction uniquely. Stays unchanged through
the life of the transaction.”
> “Horizon_Txn_Num: Unique transaction number to be used
in all messages between Horizon and the NBE relating to the
transaction. Generated by Horizon and provided in the
request message initiating the transaction.”
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e Section 3, No8: Added “Every line will have the character
‘newline’, Hex '0A', as the last character.”
© Section 3.2.1.6.2 (NB102: Section 6 - Data Definition), System
State: Corrected “All States” to “All States excluding F99”
e Section 3.2.1.8.2 (NB102: Section 8 - Data Definition),
> System State: Corrected “Received = Old + New” to “Set to
F99: New”.
> “System State” replaced by “For last reported System
States” to be consistent with other sections for cleared
errors.
4.0 PO comments: Marion Dale added to reviewers
Fujitsu Services comments:
e Tony Drahota to approval authority
© Change of date format within ‘Receipt Time’ on NB102 sections
from hhmmss to hh:mm:ss (cosmetic change to report only — not
requiring review)
© Change to add ‘Currency’ to report headings (cosmetic change
to report only — not requiring review)
e ICLreplaced with Fujitsu Services throughout
0.6 Changes Expected
Changes
No further change expected
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0.7 Table of Contents
1.0 INTRODUCTION.
2.0 SCOPE...
2.1 RECONCILIATION REPORTS SPECIFIED.
3.0 GENERAL REPORT SPECIFICATIONS...
3.1. NB101: NETWORK BANKING SETTLEMENT STATEME!
3.1.1 NBIOL: Rule:
3.1.1.1 NB101: Report Layout.
3.1.1.2 NB101: Data Definition
3.2 NB102: EXCEPTION SUMMARY..
3.2.1 NB102: Rules...
3.2.1.1 NB102: Section I
19
3.2.1.2 NB102: Section 2: Uncleared Exceptioned Client Transactions.............0..0005 20
3.2.1.3 NB102: Section 3: Uncleared Corruption’s
3.2.1.4 NB102: Section 4: Uncleared Timing Differences.
3.2.1.5 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions 324
hours 26
3.2.1.6 NB102: Section 6: Uncleared Future Dated Transactions by Client.....
3.2.1.7 NB102: Section 7: All Cleared Confirmed, Unconfirmed & TIP exception:
3.2.1.8 NB102: Section 8: Cleared Exceptioned Client Transactions..
3.2.1.9 NB102: Section 9: Cleared Corruption’s................. ceseeeeee
3.2.1.10 NB102: Section 10: Cleared Timing Differences.......... ceseeeseseeeeee
3.2.1.11 NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions >
24 hours 36
3.2.1.12 NB102: Section 12: Cleared Future Dated Transactions by Client.
3.2.1.13 Incomplete and Discrepancy State: Report Matrix.
3.2.1.14 Exception State: Report Matrix.
3.3. NB103: SETTLED TRANSACTION / CASH ACCOUNT RECONCILIATION STATEMENT.
41
3.3.1 NB103: Rules.
3.3.1.1 NB103: Report Layout.
3.3.1.2 NB103: Data Definition.
4.0 SYSTEM STATES...
: All Uncleared Confirmed, Unconfirmed & TIP exceptions...
Al
43
44
AS
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1.0
2.0
Introduction
This document has been compiled to specify all Fujitsu Services Pathway outputs from
the Data Reconciliation Service (DRS) to enable a generic end to end reconciliation of
Network Banking transaction processing.
Scope
This document defines the format and content of all reconciliation reports, which
satisfy the Network Banking reconciliation requirement. It does not attempt to define
within the operating systems, including the Network Banking Engine, (NBE) how the
transactions are processed.
The following Network Banking requirements are satisfied by this document:
© Reconciliation: [NBR0040], [NBR0042], [NBR0183], [NBR0212], [NBR0227],
[NBR0229], [NBR0278], [NBR0294], [NBR0389].
© Settlement: [NBR0230], [NBR0456].
e Error Resolution: [NBR0260]
It is assumed that each of the POL clients, as dictated by Routing_Gateway (assumed
to be at this point the Banks / LINK) will require a separate reconciliation report set.
Within this report set, separate reports will be provided as per the following table:
Report Number Deposit Transactions [Withdrawal Transactions
NBIOL Combined Report
NB102 Combined Report
NB103 Y I Y
The format and content of each client’s report is considered to be identical when
allowing for these specific requirements. It should therefore be understood that the
specifications documented here are applicable to each client report set. (Specific client
requirements outside of this reporting specification are not covered within this
document)
There must be a separate set of reports to provide for transactions for which the
Routing Gateway and/or Transaction Type is not known.
Balance Enquiries and PIN changes are explicitly excluded from the report set as ‘Not
Required by POL’
No report will mix currency, so if ever the transactions selected to appear on a set of
reports are not of a single currency, then a separate set of reports will be produced for
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2.1
each currency. All the amounts in a single transaction will always use the same
currency
Reconciliation Reports Specified
e NBIOI: Network Banking Settlement Statement
e NBI02: Exception Summary
« NBI103: Settled Transaction / Cash Account Reconciliation Statement
Rows and columns are described in detail, together with the mathematical calculations
required to achieve reconciliation.
All general aspects relating to the production and transmission of the reports are
described.
This document does not attempt to define the business processes undertaken within
Fujitsu Services Pathway and POL with respect to the resolution of any exceptions,
which may arise, nor does it scope the requirement for any systems that may be
required to assist in this process. This information can be found in the associated
documents, reference:
e¢ NB/SPE/002: Network Banking DRS On-line Workstation Specification
e NB/PRO/002: Network Banking Reconciliation & Incident Management
NB: It should be noted that where a system ‘State’ definition is quoted, this takes
precedence over any narrative which has only been provided to help understand the
business processes.
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3.0 General Report Specifications
A separate set of reports is produced for each POL client as identified by the
Routing_Gateway. (LINK being a single client). The specification is general to all
reports sets.
1. For volumes and values the accounting sense for reporting purposes to allow
settlement totals to be correctly derived, will be:
Absolute volume
Net value
Where no value reported show “[Currency] 0.00”
Where no volume reported show 0
2. Each report will show the following general information:
Report title — including the client name (derived from Routing_Gateway.)
Transaction Type — (if applicable)
Report ‘Run Date’ - i.e., the period for which the report refers
Production date and time
Fujitsu Services Pathway report number
Fujitsu Services Pathway reference and contact point
3. Where ‘Received’ and ‘Reconciliation Date’ are quoted against time parameters:
e ‘Received = New’: defines transactions that have had a change of state since
they were last reported, or have never been reported, except in NB102 section
6
e ‘Received = Old’: defines transactions that have NOT had a change of state
since they were last reported
4. Reports: NB101, NB102 will be produced DAILY, NB103 will be produced
WEEKLY after Friday’s and prior to Saturdays TPS processing schedule. They
will be delivered by 08.00hrs the day following the Run Date to:
e¢ POL/ TIP gateway: The Host writes the reports to a directory. These are
picked up by FTMS and posted to the TIP gateway. (As per other Host to
external systems applications)
¢ Fujitsu Services Pathway CS / MSU, DRS Workstation.
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5. Within report NB 102 the ‘Exceptions’ category will include:
e ‘Incomplete States’, i.e. those transactions where one or more transaction
component is missing — a C4 without a C12 ete
e Genuine exceptions where transaction components belonging to the same high
level transaction have been exceptioned, i.e. C12 (amount) not = to C4
(amount) ete.
e¢ NBE/ DRS corruption’s
6. For clarity within this document, field sizes are shown within ‘Report Layout’ and
not within the ‘Data Definition’
7. All reports are run against a consistent data set.
8. All reports will be produced as ASCII text files — one for each report. The report
layout will be fixed format with space characters providing the blank space. This
will allow for ‘Excel’ input, using fixed field width facilities. The formatting (lines
& shading referred to in this document) will not be included within the file. Every
line will have the character ‘newline’, Hex '0A', as the last character. Each report
will have the text “End of Report” as the last line.
9. See also comments in Section 2: “Scope”
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3.1
3.1.1
NB101: Network Banking Settlement Statement
This report identifies ‘C4’ transactions received against each ‘C4 Settlement Date’ as
reported to the DRS for the most recent processing date. The report will be used by
POL as a basis for settlement of Network Banking transactions with the Financial
Institutions.
NB101: Rules
1. NB1OI is run daily
2. NB1O1 is repeated for each Routing_Gateway
3. NBIOI will show ‘C4’ transactions received from the NBE for ONE day only —
breaking these down into individual ‘C4 Settlement Dates’ There will be one line
for cach ‘C4 Settlement Date’
4. NBI1OI will show Deposit and Withdrawal transactions in separate columns,
(headed ‘Receipts’ and ‘Payments’ respectively) derived from ‘Txn_Type’
5. NB101 will show a final settlement column derived in the following way:
e Volume: Volume of Deposits plus Volume of Withdrawals
e Value: Value of Deposits minus Value of Withdrawals
e Where the net total is negative i.e. the Value of Withdrawals exceeds the Value
of Deposits, the total will be shown as (£xxx.xx)
6. Where the volume for a given ‘C4 Settlement Date’ is nil, the date will not be
reported.
7. ‘C4 Settlement Dates’ are shown in reverse chronological order.
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3.1.1.1 NB101:; Report Layout
NB 101: Network Banking Settlement Statement
Client: Barclays etc
Produced on: dd/mm/yyyy at_hh:mm:ss
Run Date: _dd/mm/yyyy
Transaction Type: Deposit & Withdrawal
Currency: GBP.
Receipts Payments Net Settlement
C4 Settlement Date Volume Value Volume Value Volume Value
1._dd/mm/yyyy 99,999,999 999,999,999.99. 99,999,999 999,999.999.99 99,999,999 999.999,999.99.
2. dd/mm/yyyy 99,999,999 999,999,999.99. 99,999,999 999.999.999.99. 99,999,999 999.999.999.99.
3. dd/mm/yyyy 99,999,999 999,999,999.99. 99,999,999 999,999,999.99. 99,999,999 999,999,999.99.
4. dd/mm/yyyy 99,999,999 999,999,999.99 99,999,999 999,999,999.99. 99,999,999 999,999,999.99.
TOTAL 999,999,999 9,999,999,999.99 999,999,999 9,999,999,999.99. 999,999,999 9,999,999,999.99
End of Report
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3.1.1.2 NB101: Data Definition
NB 101: Network Banking Settlement Statement
Client: (Derived from ‘Routing Gateway’)
Produced on: (Date / Time of report production)
Run Date: (The period for which the report refers)
Transaction Type: Deposit & Withdrawal
Currency: (Derived from ‘currency’)
Receipts Payments Net Settlement
C4 Settlement Date Volume Value Volume Value Volume Value
1. Date 1 No. of C4 Deposits Value of C4 Deposits I No. of C4 Value of C4 No. of C4 Deposits Value of C4 Deposits
Rec'd Rec'd Withdrawals Ree’d Withdrawals Rec’d Rec'd + No of C4 Rec'd — Value of C4
Withdrawals Rec’d Withdrawals Rec'd
2. Date 2 No. of C4 Deposits I Value of C4 Deposits I No. of C4 Value of C4 No. of C4 Deposits I Value of C4 Deposits
Ree’d Ree’d Withdrawals Ree’d Withdrawals Ree’d Rec'd + No of C4 Rec'd — Value of C4
Withdrawals Rec'd Withdrawals Ree’d
3. Date3 No. of C4 Deposits I Value of C4 Deposits I No. of C4 Value of C4 No. of C4 Deposits I Value of C4 Deposits
Ree’d Ree’d Withdrawals Ree’d Withdrawals Ree’d Rec'd + No of C4 Ree’d — Value of C4
Withdrawals Rec’d Withdrawals Rec'd
4. Date 4 No. of C4 Deposits Value of C4 Deposits I No. of C4 Value of C4 No. of C4 Deposits Value of C4 Deposits
Reed Ree’d Withdrawals Ree’d Withdrawals Rec'd Rec’d + No of C4 Rec'd — Value of C4
Withdrawals Rec’d Withdrawals Ree’d
TOTAL Total All Lines Total All Lines Total All Lines Total All Lines Total All Lines Total All Lines
End of Report
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3.2
3.2.1
NB102: Exception Summary
This report is divided into twelve sections:
Section 1: All Uncleared Confirmed, Unconfirmed & TIP exceptions
Section 2: Uncleared Exceptioned Client Transactions
Section 3: Uncleared corruption’s.
Section 4: Uncleared Timing Differences
Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Section 6: Uncleared Future Dated Transactions by Client
Section 7: All Cleared Confirmed, Unconfirmed & TIP exceptions
Section 8: Cleared Exceptioned Client Transactions
Section 9: Cleared corruption’s
Section 10: Cleared Timing Differences
Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Section 12: Cleared Future Dated Transactions by Client
Ce
Liability issues are not covered within this document, nor are the business
processes involved in the resolution of any exception.
NB102: Rules
NB102 is run daily
2. NB102 is repeated for each Routing Gateway.
3. For each report section, the column ‘Values’ will be partitioned into 8 sub columns
to contain the values for: ‘C12’, ‘S’, ‘C4’, ‘C112’ & the four values from a ‘D’
which are: Amount Requested, Amount Authorised, Amount Confirmed, Amount
Discrepancy. The reports will populate all values that are available.
4. For reporting purposes, within NB102 sections 2, 3, 4, 5, 8,9, 10 & 11, the
column headed ‘CAP’ will report the Cash Account period obtained from the
“C112’ transaction element. Where no ‘C112’ transaction element has been
received, the ‘CAP’ will be blank.
5. For reporting purposes within NB102 sections 2, 3, 4, 5, 8, 9, 10, 11, the column
headed ‘Discrepancy Type’ will report the ‘D’ discrepancy type and be populated.
with the following codes:
(NB: For a list of Discrepancy Reason Codes for Network Banking, refer to
NB/IFS/008: NBE - Horizon Application Interface Specification)
Where no ‘D’ transaction element has been received, the ‘Discrepancy Type’ will
be blank
6. Where an exception is set to F99 by Fujitsu Services Pathway, clearance of this
exception within the appropriate NB102 section, (e.g. section 2 exceptions shown
as cleared within section 8), will always refer to the previously reported state
regardless of any change of state which may have occurred within the DRS.
7. All Uncleared Confirmed, Unconfirmed & TIP exceptions are reported as summary
totals by exception type - (NB102 section 1)
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10
12.
20.
21
22.
Uncleared Exceptioned Client Transactions are listed individually - (NB102
section 2)
Uncleared NBE/ DRS corruption’s exceptions are listed individually - (NB102
section 3)
. Uncleared Timing Differences are listed individually — (NB102 section 4)
11.
Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours are listed
individually — (NB102 section 5)
Uncleared Future Dated Transactions are reported as summary totals by Client
identified by Routing_Gateway — (NB102 Section 6)
. All Cleared Confirmed, Unconfirmed & TIP exceptions are reported as summary
totals by exception type - (NBE102 section 7)
. Cleared Exceptioned Client Transactions are listed individually — (NB102 section
8)
Cleared NBE / DRS corruption’s are listed individually — (NB102 section 9)
. Cleared Timing differences are listed individually - (NB102 section 10)
. Cleared Confirmed, Unconfirmed & TIP exceptions >24 hours are listed
individually — (NB102 section 11)
. Cleared Future Dated Transactions are reported as summary totals by Client
identified by Routing_Gateway — (NB102 Section 12)
. Within each section, exception summary totals / individual transactions are to be
grouped and sub totalled by reconciliation date with a total provided for the entire
section.
For reporting purposes:
¢ Timing Differences: relate to differences in the reconciliation date / settlement
date allocated where a settlement date on a transaction element is not the same
as the reconciliation date first reported on that transaction.
¢ Future Dated Transactions: relate to those transactions that have a
Reconciliation Date ahead of the Run Date of the report. For example, most
Clients will settle Friday, Saturday and Sunday transactions on the following
Monday. This means that each transaction completed on these days will have a
Reconciliation Date ahead of the Run Date of the report. These transactions
are expected to clear naturally once the Reconciliation Date and the Run Date
are in sync, however in the rare eventuality that a Reconciliation Date is
considerably ahead of the Run Date, POL may wish to clear the exception
manually. In this case, Fujitsu Services Pathway will set the transaction to
“F99’.
For reporting purposes, within NB102 sections 2, 3, 4, 5, 8, 9, 10,11, the column
headed ‘Transaction Type’ will be populated by the following codes:
© 03 — Withdrawal (With PIN)
04 — Withdrawal with balance (With PIN)
05 — Withdraw all (With PIN)
13 — Withdrawal (With signature)
14 — Withdrawal with balance (With signature)
15 — Withdraw all (With signature)
2 — Deposit (No verification)
For Network Banking reconciliation reporting, System States 8, 9, 10, 11, 16, 17,
18, 19, 20, 21,22,23, E05, E06, E07, E14, E22, E24, E31, E32, E33, E38 are
never expected within report NB102 because ‘S’ transactions are not used in NB.
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3.2.1.1 NB102: Section 1: All Uncleared Confirmed, Unconfirmed & TIP exceptions
3.2.1.1.1 NB102: Section 1 - Report Layout
NB102 Section 1: All Uncleared I Client: Barclays etc Produced on:
Confirmed, Unconfirmed & TIP dd/mm/yyyy at hh:mm:ss
exceptions
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Exception Reconciliation Volume Values ( 8 sub columns)
Type Date
State 1 ete dd/mm/yyyy 99999999 99999999.99
State 2 ete dd/mm/yyyy 99999999 99999999.99
Sub total 999999999. 999999999.99.
State E02 etc dd/mm/yyyy 99999999 99999999.99
Sub total 999999999. 999999999.99.
Total Section 1 9999999999 9999999999.99
End of Report
3.2.1.1.2 NB102: Section 1 - Data Definition
NB102 Section 1: All Uncleared
Confirmed, Unconfirmed & TIP
exceptions
Produced on:
(Date and time of report
production)
Client: (Derived from
Routing_Gateway.)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
‘Currency: (Derived from
‘currency’)
Values ( 8 sub columns)
Value of each transaction
component
Exception Type / Reconciliation Volume
Date
One row for each system state
where exceptions are being
reported grouped within
reconciliation date with a sub total
for each reconciliation date and a
grand total for the section. Where
no data is being reported against
and exception state, the row for
that exception state is to be
suppressed. Where dates are shown
for the same exception type, list in
descending order
System State: 1-2, 4-11, 16-18,
E20-24, E32, E34 -E36, E38
Received = New + Old
Reconciliation date: <= Run Date
E01-02 E04-06, E10-12, El4,
End of Report
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Version: 4.0
Date: 29/07/02
3.2.1.2 NB102: Section 2: Uncleared Exceptioned Client Transactions
3.2.1.2.1
NB102: Section 2 — Report Layout
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NB102 Section 2: Uncleared
Exceptioned Client Transactions
Client: — Barclays etc
Produced on: dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Es dd/mm/yyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
State 12 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
Total Section 2 9999999999.99.
End of Report
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Ref:
Version:
Date:
CS/SPE/011
4.0
29/07/02
3.2.1.2.2
NB102: Section 2 — Data Defi
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NB102 Section 2: Uncleared
Exceptioned Client Transactions
Client: (Derived from
Routing Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from ‘currency’)
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each exception, Horizon_Txn_ I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
with specific system states Num ion_Id ction_Date ction_Time eason_Codes transaction
listed in order, grouped within
component
reconciliation date with a sub
total for each reconciliation
date and a grand total for the
section. Where dates are shown
for the same exception type, list
in descending order.
System State: 12-15, 20-23, E03, E07 — E09, E13, E25 — E26, E33, E37
Received = New + Old
Reconciliation date: < = Run Date
End of Report
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Version: 4.0
Date: 29/07/02
3.2.1.3 NB102: Section 3: Uncleared Corruption’s
3.2.1.3.1
NB102: Section 3 — Report Layout
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NB102 Section 3: Uncleared
Client: — Barclays ete
Produced on: dd/mm/yyyy at hh : mm: ss
Corruption’s
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
E28 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E31 dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
E31 dd/mm/yyy: Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
Total Section 3 9999999999.99.
End of Report
© 2002 Fujitsu Services
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COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
4.0
29/07/02
3.2.1.3.2
NB102: Section 3 — Data Defi
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NB102 Section 3: Uncleared
corruption’s
Client: (Derived from
Routing Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from ‘currency’)
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each corruption, Horizon_Txn_ I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
with specific system states Num ion_Id ction_Date ction_Time eason_Codes I transaction
listed in order, grouped within component
reconciliation date with a sub
total for each reconciliation
date and a grand total for the
section. Where dates are shown
for the same exception type, list
in descending order.
System State: E27 -31
Received = New + Old
Reconciliation date: < = Run Date
End of Report
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Version: 4.0
Date: 29/07/02
3.2.1.4 NB102: Section 4: Uncleared Timing Differences
3.2.1.4.1
NB102: Section 4 - Report Layout
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NB102 Section 4: Uncleared
Timing Differences
Client: — Barclays ete
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E39 dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
E39 dd/mmv/yyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
Total Section 4 9999999999.99.
End of Report
© 2002 Fujitsu Services
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RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
4.0
29/07/02
3.2.1.4.2 NB102: Section 4 — Data Defi
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NB102 Section 4: Uncleared
Timing Differences
Client: (Derived from
Routing Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from ‘currency’)
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each timing Horizon_Txn_ I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
difference, grouped within Num ion_Id ction_Date ction_Time eason_Codes I transaction
reconciliation date with a sub component
total for each reconciliation
date and a grand total for the
section. Where dates are shown
for the same exception type, list
in descending order.
System State: E39
Received = New + Old
Reconciliation date: < = Run Date
End of Report
© 2002 Fujitsu Services
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Version: 4.0
Date: 29/07/02
3.2.1.5 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
3.2.1.5.1
NB102: Section 5 — Report Layout
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NB102 Section 5: Uncleared
Confirmed, Unconfirmed & TIP
exceptions >24 hours
Client: — Barclays ete
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
State 1 dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
State 2 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
State 6 dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
State 6 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99.
Total Section 5 9999999999.99.
End of Report
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RECONCILIATION REPORTING
Version: 4.0
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3.2.1.5.2 NB102: Section 5 — Data Defi
NB102 Section 5: Uncleared Client: (Derived from Produced on: (Date and time of production)
Confirmed, Unconfirmed & TIP I Routing_Gateway.)
exceptions >24 hours
Run Date: (The period for which _I Transaction Type: Deposit & ‘Currency: (Derived from ‘currency’)
the report refers) Withdrawal
Exception Type / Reconciliation Horizon Txn I Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Date Id Type Type columns)
One row for each exception, with I Horizon_Txn_ I Txn_Type Bank_Transacti I Receipt_Trans I Receipi_Trans I From C112 I Discrepancy_R I Value of each
specific system states listed in order, I Num on_Id action_Date I action_Time eason_Codes I transaction
grouped within reconciliation date component
with a sub total for each
reconciliation date and a grand total
for the section. Note: an extra
constraint for system states 2 & 18 is
that the outlet must have harvested
(TPS) successfully. Should an outlet
be confirmed as non-polling, system
states 2 &18 for that outlet on the
date(s) in question should not be
included on this report. Where dates
are shown for the same exception
type, list in descending order.
System State: 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, 16, 17, 18, E01-02 E04-06, E10-12, El4, E20-24, E32, E34 -E36, E38
Received = Old
Reconciliation date: < Run Date
(i.e. where transaction components have remained in the above incomplete states for >24 hours)
End of Report
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3.2.1.6 NB102: Section 6: Uncleared Future Dated Transactions by Client
3.2.1.6.1 NB102: Section 6 - Report Layout
NB102 Section 6: Uncleared All Clients Produced on:
Future Dated Transactions by dd/mm/yyyy at hh:mm:ss
Client
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Client Reconciliation Date Volume Values ( 8 sub
columns)
Barclays dd/mm/yyy) 99999999 99999999.99
Lloyds dd/mm/yyyy 99999999 99999999.99
Total Section 11 9999999999 9999999999.99
End of Report
3.2.1.6.2 NB102: Section 6 - Data Definition
NB102 Section 6: Uncleared All Clients Produced on:
Future Dated Transactions by
Client
(Date and time of report
production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from
‘currency’)
Client / Reconciliation D:
One row for each Client derived from
ate Volume
[Values (8 sub columns)
Routing_Gateway where transactions have I Reconciliation date: >
been received with a reconciliatioi
ahead of the run date. Where dates are
shown for the same exception type, list in
descending order.
n date
System State: All States excluding F99
Run Date
End of Report
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Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.7 NB102: Section 7: All Cleared Confirmed, Unconfirmed & TIP exceptions
3.2.1.7.1
NB102: Section 7 — Report Layout
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & TIP
exceptions
Client: — Barclays ete
Produced on:
dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
Currency: GBP
Exception Reconciliation Volume Values ( 8 sub columns)
Type Date
State I ete dd/mm/yyy: 99999999 99999999.99
State 2 ete dd/mm/yyyy 99999999 99999999.99
Sub total 999999999. 999999999.99.
State E02 etc dd/mm/yyyy 99999999 99999999.99
Sub total 999999999. 999999999.99.
Total Section 1 9999999999 9999999999.99
End of Report
3.2.1.7.2
NB102: Section 7 - Data Definition
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & TIP
Client: (Derived from
Routing_Gateway.)
Produced on:
(Date and time of report
exceptions production)
Run Date: (The period for which I Transaction Type: Deposit & Currency: (Derived from
the report refers) Withdrawal “currency’)
Exception Type / Reconciliation
Date
Volume
Values ( 8 sub columns)
Value of each transaction
component
One row for each system state
where exceptions are being
reported grouped within
reconciliation date with a sub total
for each reconciliation date and a
grand total for the section. Where
no data is being reported against
and exception state, the row for
that exception state is to be
suppressed. Where dates are shown
for the same exception type, list in
descending order.
For last reported System States: 1-2, 4-11, 16-18, E01-02,
E04-06,
E10-12, E14, 20-24, E32, E34-36, E38
Set to F99: New
Reconciliation date: <= Run Date
End of Report
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Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.8 NB102: Section 8: Cleared Exceptioned Client Transactions
3.2.1.8.1
NB102: Section 8 — Report Layout
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NB102 Section 8: Cleared
Exceptioned Client Transactions
Client: Barclays etc
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
E13 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Num (2) Code (99) 99999999.99
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ Num (2) Code (99) 99999999.99
State 12 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyy: hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99
EB dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99
Total Section 8 9999999999.99
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.2.1.8.2 NB102: Section 8 — Data Definition
NB102 Section 8: Cleared Client: (Derived from Produced on: (Date and time of production)
Exceptioned Client Transactions I Routing Gateway.)
Run Date: (The period for which _ I Transaction Type: Deposit & Currency: (Derived from ‘currency’)
the report refers) Withdrawal
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each exception, Horizon_Txn__ I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
with specific system states Num on_Id ction_Date ction_Time eason_Codes _I transaction
listed in order, grouped component
within reconciliation date For fast reported System States: 12-15, 20-23, E03, E07 ~ E09, E13, E25 —E26, E33, E37
with a sub total for each
iliation date and 2 Set to F99: New
reconciliation date and a Reconciliation date: <= Run Date
grand total for the section. .
Where dates are shown for
the same exception type, list
in descending order.
End of Report
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 31 of 45
FUJ00001667
FUJ00001667
Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.2.1.9 NB102: Section 9: Cleared Corruption’s
3.2.1.9.1 NB102: Section 9 — Report Layout
NB102 Section 9: Cleared Client: Barclays ete Produced on: dd/mm/yyyy at hh : mm: ss
Corruption’s
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Exception Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Type Date Id Type Type columns)
E28 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Num (2) Code (99) 99999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy: Num (2) Code (99) 99999999.99
State 31 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99.
Sub Total 999999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99.
Sub Total 999999999.99
Total Section 9 9999999999.99
End of Report
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 32 of 45
Fujitsu Services
NETWORK BANKING END TO END
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COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
4.0
29/07/02
3.2.1.9.2
NB102: Section 9 — Data Definition
FUJ00001667
FUJ00001667
NB102 Section 9: Cleared
corruption’s
Client: (Derived from
Routing Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from ‘currency’)
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each corruption, I Horizon_Txn__ I Txn_Type Bank Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy R I Value of each
with specific system states
listed in order, grouped within
reconciliation date with a sub
Num
ion_Id
ction_Date
ction_Time
eason_Codes
transaction
component
total for each reconciliation
date and a grand total for the
section. Where dates are shown
for the same exception type, list
in descending order.
For last reported System States: E27 —31
Set to F99: New
Reconciliation Date: <= Run Date
End of Report
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RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.2.1.10 NB102: Section 10: Cleared Timing Differences
3.2.1.10.1 NB102: Section 10 - Report Layout
FUJ00001667
FUJ00001667
NB102 Section 10: Cleared
Timing Differences
Client: Barclays etc
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Exception Type I Reconciliati I Horizon Txn Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
on Date Id Type Type columns)
E39 dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E39 dd/mm/yyyy Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99
E39 dd/mm/yyy, Char 32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99
Total Section 10 9999999999.99
End of Report
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Fujitsu Services NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
4.0
29/07/02
3.2.1.10.2 NB102: Section 10 — Data Definition
FUJ00001667
FUJ00001667
NB102 Section 10: Cleared
Timing Differences
Client: (Derived from
Routing Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
Transaction Type: Deposit &
Currency: (Derived from ‘currency’)
the report refers) Withdrawal
Exception Type / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Reconciliation Date Id Type Type columns)
One row for each timing Horizon_Txn_ I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
difference, grouped within Num ion_Id ction_Date ction_Time eason_Codes —_I transaction
reconciliation date with a sub component
total for each reconciliation
date and a grand total for the
section. Where dates are shown
for the same exception type, list
in descending order.
For last reported System States: E39
Set to F99: New
Reconciliation Date: <= Run Date
End of Report
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Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.11
3.2.1.11.1
NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions > 24 hours
NB102: Section 11 — Report Layout
FUJ00001667
FUJ00001667
NB102 Section 11: Cleared
Confirmed, Unconfirmed & TIP
exceptions > 24 hours
Client: Barclays etc
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
Currency: GBP
Exception Type I Reconciliation I Horizon I Transaction I Bank TxnId I Receipt Date I Receipt Time CAP Discrepancy I Values ( 8 sub
Date Txn Id Type Type columns)
State 1 dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
State 2 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy Num (2) Code (99) 99999999.99
State 6 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99
Sub Total 999999999.99
State 6 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 99999999.99.
Sub Total 999999999.99
Total Section 11 9999999999.99
End of Report
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RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.11.2
NB102: Section 11 — Data Definition
FUJ00001667
FUJ00001667
NB102 Section 11: Cleared
Confirmed, Unconfirmed & TIP
exceptions > 24 hours
Client: (Derived from
Routing_Gateway.)
Produced on: (Date and time of production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: (Derived from ‘currency’)
Exception Type / Reconciliation I Horizon Txn I Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy I Values ( 8 sub
Date Id Type Type columns)
One row for each exception, with I Horizon_Txn I Txn_Type Bank_Transact I Receipt_Transa I Receipi_Transa I From C112 Discrepancy_R I Value of each
specific system states listed in _Num ion_Id ction_Date ction_Time eason_Codes _I transaction
order, grouped within component
reconciliation date with a sub total
for each reconciliation date and a
grand total for the section. Note:
an extra constraint for system
states 2 & 18 is that the outlet
must have harvested (TPS)
successfully. Should an outlet be
confirmed as non-polling, system
state 2 & 18 for that outlet on the
date(s) in question should not be
included on this report. Where
dates are shown for the same
exception type, list in descending
order.
For last reported System States: 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, 16, 17, 18, E01-02 E04-06, E10-12, El4, E20-24, E32, E34 -E36, E38
Set to F99: New
Reconciliation Date: <= Run Date
End of Report
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FUJ00001667
FUJ00001667
Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.2.1.12 NB102: Section 12: Cleared Future Dated Transactions by Client
3.2.1.12.1 NB102: Section 12 - Report Layout
NB102 Section 12: Cleared All Clients Produced on:
Future Dated Transactions by dd/mm/yyyy at hh:mm:ss
Client
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Client Reconciliation Date Volume Values ( 8 sub
columns)
Barclays dd/mm/yyy' 99999999 99999999.99
Lloyds dd/mm/yyyy 99999999 99999999.99
Total Section 11 9999999999 9999999999.99
End of Report
3.2.1.12.2
NB102: Section 12 - Data Definition
NB102 Section 12: Cleared
Future Dated Transactions by
All Clients
Produced on:
(Date and time of report
Client production)
Run Date: (The period for which I Transaction Type: Deposit & Currency: (Derived from
the report refers) Withdrawal “currency’)
Client / Reconciliation Date
One row for each Client derived from
Routing_Gateway where transactions have
been received with a reconciliation date
ahead of the run date. Where dates are
shown for the same exception type, list in
descending order.
Volume
L__Values (8 sub columns)
System State: All States
6 on ‘today’s’ reports.
All transactions that were included on report NB102 Section 6
on ‘yesterday’s’ reports and are not included in NB102 Section
End of Report
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FUJ00001667
FUJ00001667
Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.13
Incomplete and Discrepancy State: Report Matrix
This table identifies the NB102 series report section where incomplete and discrepancy
States are reported in detail.
Incomplete Transaction Components Exception report
State NB102 Section
C112 C12 C4 s D Uncleared I Cleared
1 Vv 1&5 7&1
2 v v 1&5 T&ll
4 v 1&5 7T&ll
5 V 1&5 7&1
6 Vv Vv 1&5 T&M
7 Vv V 1&5 T&I
8 V 1&5 T& 1
9 Vv V 1&5 T& ll
10 V V 1&5 7&1
in V V Vv 1&5 7&1
12 Vv 2 8
1B V v 2 8
14 V V 2 8
15 Vv Vv Vv 2 8
16 Then ¥ V 1&5 T&1
17 V Then V v 1&5 T& 11
18 Vv Then ¥ V 1&5 7&1
20 V Then ¥ 2. 8
21 V v Then V 2 8
22 V V Then ¥ 2 8
23 V Vv V Then ¥ 2 8
Shaded lines represent System States not expected to be reported within the Network
Banking report set
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FUJ00001667
FUJ00001667
Ref: CS/SPE/011
Version: 4.0
Date: 29/07/02
3.2.1.14
Exception State: Report Matrix
This table identifies the NB102 series report section where an exception is reported in
detail.
Exception Description Exception report NB102
State Section
Uncleared Cleared
E01 Additional C112 1&5 7T&il
E02 Additional C12 1&5 7&1
E03 Additional D 2 8
E04 Additional C4 1&5 7&1
E05 Additional S$ 1&5 7&1
E06 S after C4 1&5 7&1
E07 S after D 2 8
E08 C4 after D 2 8
E09 D after C4 2 8
E10 C112 after final state 1&5 7&il
Ell C12 after final state 1&5 7&1
E12 C4 after final state 1&5 7&1
E13 D afier final state 2 8
El4 S afier final state eS 7&1
Els Not Used
E16 Not Used
E17 Not Used
E18 Not Used
E19 Not Used
E20 Amount of C112#C12 1&5 7&ill
E21 Amount of C112#C4 1&5 7&1
E22 Amount of C112#8 & C112#0 1&5 7&1
E23 Amount of C12#C4 1&5 T&1l
E24 Amount of C12#S & C12#0 1&5 7&1
E25 Amount of C112#D 2 8
E26 Amount of C124#D 2 8
E27 Incomplete/corrupt C112 3 9
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
£30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S S 9
E32 Amount of C4#S & C4#0 1&5 T&M
E33 Amount of D#S 2 8
E34 C112 arrived after state F99 1&5 7&1
E35 C12 arrived after state F99 1&5 7&1
E36 C4 arrived afier state F99 1&5 7&il
E37 D arrived afier state F99 2 8
E38 S arrived after state F99 1&5 T&M
E39 Settlement Date # Reconciliation Date 4 10
Shaded lines represent System States not expected to be reported within the Network
Banking report set
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RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.3 NB103: Settled transaction / Cash Account Reconciliation
Statement
This report allows POL to reconcile the settlement stream against the Outlet Cash
Account stream. This reconciliation is required as settlement with the individual POL
clients is based upon the ’C4 Processing Date’. To complete a full reconciliation, it is
important to know which Cash Account the settled transaction was posted to, to
enable a reconciliation of settlement to be made with the outlet records. This report
reconciles the transactions by ‘C4 Processing Date’ and Cash Account record.
3.3.1 NB103: Rules
1. NB103 is run weekly: In order to align with internal POL / TIP processing it is
required that this report is produced AFTER TPS and NB101 processing on
Friday and BEFORE TPS processing on Saturday. The report should include all
“C4 transaction values where:
¢ C4 Processing Date’ = run date and,
¢ ’C4 Processing Date’ = run date minus‘N’ (where ‘N’ = I to 13).
2. Where a C112 is available and the CAP is known, the ‘C4’ transaction value will
be posted against the appropriate CBDB CAP column
3. Where a C112 is available and the CAP is known, but there is no C4, it will not be
reflected in the report because this report includes C4 transaction values only.
4. Where no C112 is available and therefore the CAP is unknown:
e the ‘C4* transaction value should be posted to ‘No Cash Account Allocated”
e then, when the C112 becomes available, the entry should be deleted from ‘No
Cash Account Allocated’ and posted to the appropriate CBDB CAP column
e ifno C112 has been received after 14 days, the entry within ‘No Cash
Account Allocated’ should remain until the C112 becomes available even
il exceeds 14 days
5. If a transaction is posted to the row ‘No C/A to TIP’ (according to rule 2 and 3
above:
¢ the transaction should remain in this row until the Cash Account has been
delivered to TIP and then move up into the row ‘C/A to TIP’
e ifno Cash Account has been delivered to TIP after 14 days, the entry within
‘No C/A to TIP’ should remain until the Cash Account is delivered to TIP
even if this exceeds 14 days
6. As the report is run each week, the transactions should move across the report
according to the CAP and the reconciliation date; for example, a transaction posted
to CBDB>=plus 2 in the first week, will move to CBDB plus I the second week
and then appear in CBDB the third week, until disappearing off the report after 14
days
7. Where the columns headed ‘CAPXX’ are referred to, the actual report produced
with show the actual CAP number, for example CBDB CAP 40 is quoted, the
column ‘CAPXX<=-2’ will show ‘CAP40<=-2’
8. NB103 reports on VALUE only
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 41 of 45
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1
13.
14.
A separate report NB103 will be produced for both Deposit and Withdrawal
transactions derived from ‘Txn_type’
Five CAP’s will be shown, the ‘CBDB’, the ‘CBDB’ minus 1, the ‘CBDB’ <=
minus 2, the ‘CBDB’ plus I and the ‘CBDB’ >=plus 2. In addition, those settled
transactions which currently have not been allocated a Cash Account will be
shown.
. The ‘CBDB’ Cash Account period (CAP) equates to TWO CAP’s prior to the
CAP applicable to the run date of the report. For example: If the report was run on
Saturday 20" January within CAP42 (CAP 42 commenced on Thursday 17"
January), the ‘CBDB’ CAP would be CAP40 (C4AP40 commenced Thursday 3"
January, ended Wednesday 9" January)
. Where the CAP in which the Outlet is trading is numerically more than 2 weeks
prior to the ‘CBDB’ CAP, if this takes the Outlet CAP into the previous year, this
will be reported as such. For example: The ‘“CBDB’ CAP is CAP I and the Outlet
is trading in CAP 51, this is assumed to be CAP 51 of the previous year,
(therefore ‘CBDB’ <=minus 2) and not reported ahead in the current year.
The C4 processing dates will be shown in reverse chronological order.
For a given C4 Processing Date, the sum of the two Total values (for the two rows
C/A to TIP and No C/A to TIP) should be equal to the Total corresponding
Receipts or Payments value on report NB101 for the same Run Date.
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 42 of 45
FUJ00001667
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Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.3.1.1 NB103: Report Layout
jettled Transaction / Cash Account Client: Barclays ete Produced on: dd/mm/yyyy at hh:mm:ss
jation Statement
Run Date:_dd/mm/yyyy Transaction Type: Deposits ete Currency: GBP
C4 Processing Date CAP ‘XX’ <=-2 CAP ‘XX? -1 CBDB CAP ‘XX’ +1 CAP ‘XX’ >= +2 I No Cash Account Total Value
CAP ‘XX’ Allocated
(Column 2) (Column 3) (Column 4) (Column 5) (Column 6) (Column 7) (Column 8)
dd/mm/yyyy C/A to TIP. 99999999.99 99999999.99. 99999999.99 99999999.99 99999999 .99. 99999999.99 9999999999.99.
No C/A to TIP 99999999.99 99999999.99. 99999999.99. 99999999.99 99999999.99. 99999999.99 9999999999.99.
dd/mm/yyyy C/A to TIP 99999999.99 99999999.99 99999999.99 99999999.99 99999999.99 99999999.99 9999999999.99
No C/A to TIP 99999999.99 99999999.99 99999999.99 99999999.99 99999999.99 99999999.99 9999999999.99
dd/mm/yyyy C/A to TIP 99999999.99 99999999.99. 99999999.99 99999999.99 99999999.99. 99999999.99 9999999999.99.
No C/A to TIP 99999999.99 99999999.99 99999999.99. 99999999.99 99999999.99 99999999.99 9999999999.99.
dd/mm/yyyy C/A to TIP 99999999.99 99999999 .99 99999999.99 99999999.99 99999999 .99 99999999.99 9999999999.99
No C/A to TIP 99999999.99 99999999 .99 99999999.99 99999999.99 99999999 .99 99999999.99 9999999999.99.
End of Report
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FUJ00001667
FUJ00001667
Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
3.3.1.2 NB103: Data Definition
jettled Transaction / Cash Account Client: (Derived from Routing_Gateway) Produced on: (Date and time of production)
jation Statement
Run Date: (The period for which the report refers — post I Transaction Type: (Derived from Txn_Type) Currency: (Derived from ‘currency’)
Friday pre Saturday TPS processing)
C4 Processing Date CAP ‘XX’ <=-2 CAP ‘XX? -1 CBDB CAP ‘XX’ +1 CAP ‘XX’ >= +2 I No Cash Account Total Value
(The Run Date of NB101 that CAP ‘XX’ Allocated
included the C4)
(Column 2) (Column 3) (Column 4) (Column 5) (Column 6) (Column 7) (Column 8)
dd/mm/yyyy C/A to TIP Total value of all settled transactions (C4) where the Cash Account has been delivered to POL / TIP, according to C4 Sum Columns 2,
processing date to allocate rows and using the CAP available from the C112 component to allocate the appropriate column. I 3, 4, 5, 6, 7 for
Where no C112 transaction component is present, use the “No Cash Account Allocated’ column. this C4
processing date
All C4 values
Use C4 processing date for 14 days prior to Run Date of the report, and where C4 transactions are still being shown against
‘No Cash Account Allocated’ or ‘No C/A Delivered to TIP’ show these days in addition.
dd/mm/yyyy No C/A to TIP I Total value of all settled transactions (C4) where the Cash Account has not been delivered to POL / TIP, according to C4 Sum Columns 2,
processing date to allocate rows and using the CAP available from the C112 component to allocate the appropriate column.
Where no C112 transaction component is present, use the ‘No Cash Account Allocated’ column.
All C4 values
Use C4 processing date for 14 days prior to Run Date of the report, and where C4 transactions are still being shown against
‘No Cash Account Allocated’ or ‘No C/A Delivered to TIP’ show these days in addition.
3, 4, 5, 6, 7 for
this C4
processing date
End of Report
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Version: 4.0
COMMERCIAL IN CONFIDENCE Date: 29/07/02
5.0 System States
ten
eaigeat enw “a
‘Pre-vabaion [Arves, ten: pre-vabdate
crremeegione wk en goes oh
ii ny ner eat us an
Ste Cont agert_NBE_TPS When vail, go to State Aout Acton Amounticton I _Acurt:Acton, Setiement Date Acton Sat sto
tee cme wl : EB
pee ew ew eo» eos I crwote cassastwmeess I te
fal 3 (—o8Lerla do ene ea[ eu I —catemaen —I — ate casas ture I
: oie menus}. : : ES
ote one mi ee) en I chewcee : ES
$ arene fi 7 Gol eee} chDecaat : casi twme cies) Ip
4 ° ACS eee : : . ES
$ > Gia en wt ate [cts acim : ste tects I Fo
es Neo 10 2 eo I crwsacow ex : Som cec thes I Fs
thet ci eo» 8 eeI chiwiee ciweaciewen Ste cee chess I Fn
® A aa ee : : " ES
oe te ew en ex er I ctwecines : ee ee
"4 oon on eevee enI cnameyes Das owre tees Ir
ce fi eo eo eo a7 I came ohbwcines Dowex ccs Ir
« at Trt eu eo eos I Cans acumee “ : Case Oare bes) I 9
” sr on an 19 exe eeI chvceen — cwsacwee cisamstume tes) I
‘ce sat te ee ene es I ommaeo OMaCuDE? cisaetwee 9 I Be
fall {08 oo Gi aio eve eto ewI chlowciaes — Crecaeon CwSAcawi I —ometomec theo I =
= 0 212 ees I Owe : Dwr owes ne I #8
a 30 ove en 2 eo eo ex [ciom sone, oawsRs awe owrec ccc I Fs
2 oe 8 ew en ear eos I crsecimeN Op Deeowre tes Ie
Soe op one feo to 60 ce I ciwciee otiaeacrinee —ogwees I poeowme ste Ir
ot fase) E : : : ES
Eu fase SEE : : : ES
or sad SEE : : : ES
en coar HEE : : : Ee
Ei Dato SEEEE : : : fe
EN coe rae SEE : : : ro
Elan rae HEE : : ES
2 dase SE : mo
et parte SSE : : : : 3
ee uae Ee : : :
6 fae SEE : : :
eis had SEER : : : :
2 oat TTR — : : : i
2 pout HEH : : : is
2 mate SEE : : BS
2k Prout en CE ser : : : eo
5 Pocat tio SEE : : : : fe
EF rometongg TD <EE : : : to
© monpebtangt HEE : : A
© reonpostongtct AE : : is
E31_Incomplete/Corrupt $ aes - = - F99
ED ent 1 — : : :
seman 9 HEE : : : 9
Es lores a a SEE : : : ">
E> meas san SSS : : : : fs
oe sored ata 9 SEE : : : : Bs
Seer a oar + : : : 5
fet BS Woo aaa aT : : :
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 45 of 45