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CS/SPE/011
Version: 6.0
Date: 24/12/03
Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Internal Distribution:
External Distribution:
Approval Authorities:
NETWORK BANKING END TO END RECONCILIATION
REPORTING
Reconciliation Report Specification (AIS)
BI3 S70
This document specifies the reconciliation report output to
satisfy the end to end reconciliation of the Network Banking
Stream
Approved
John Moran: Fujitsu Services Management Support Unit
Richard Hicks: Fujitsu Services, Linda Austin: POL
Fujitsu Services: Richard Brunskill, Richard Hicks; Tom
Northcott; John Pope; Dave Johns; John Moran; Michael King;
Angela Shaw; Mark Farry; Janusz Hollender; Nick Lawman;
Mark Taylor; Tony Drahota; Mik Peach; Anne Chambers.
POL: Ruth Holleran, Linda Austin; Jason Crellin; Chris Allen;
David Gray; Marion Dale; Bob Booth; Victoria Noble
Name Position Signature Date
Richard Brunskill Fujitsu Services Customer
Service Infrastructure
Services Manager
Ruth Holleran Post Office Limited Head
of Network Support
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0.0 Document Control
0.1 Document History
Version No. I 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.
0.4 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
Ll 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 I CR27
incorporated as a result of IBM _ interface
changes and late POL comments received
against Version 1.0 (now removed)
2.2 27/02/02 Seventh draft for review following amendments
as a result of two workshops between Fujitsu
Services and POL on 6&7 February, and 20/21
February 2002 and informal comments received
from Fujitsu Services.
3.0 21/03/02 Eighth draft for approval following review
comments
3.1 12/07/02 Draft for review following:
© 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:
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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)
ICL replaced with Fujitsu Services
throughout
41 01/11/02 Draft for review CP 3348
Changes are highlighted.
5.0 09/12/02 Comments responded to with out the need for
any changes
5.1 10/12/03 Draft for review of changes only CP 3539
Changes are highlighted: CP 3556
*¢ NB1O03 report expanded
e¢ NBIOI extended for BI3 $70
¢ Removal of ‘NBE’
6.0 24/12/03 ¢ Minor typing errors corrected.
¢ Approval Authority corrected to Richard
Brunskill and Ruth Holeran
e Schedule 19 CCD which is covered by
the SMF controls
e Issued for approval.
0.2 Review Details
Review Comments by : 19” January
Review Comments to: I John Moran
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Mandatory Review Authority Name
Fujitsu Services Klaus Loffler*
Fujitsu Services RASD Director Tony Drahota
POL Jason Crellin*
POL/BDA Victoria Noble
POL Marion Dale *
Fujitsu Services John Pope
Optional Review / Issued for Information
Fujitsu Services TDA Stephen Probert
Fujitsu Services Tom Northcott
Fujitsu Services Janusz Hollender
Fujitsu Services CS Mik Peach *
Fujitsu Services CS Anne Chambers
( * ) = Reviewers that returned comments
0.3 Associated Documents
Reference Version I Date Title Source
PA/TEM/001 7.0 2™ April 2002 I Fujitsu Services Document PVCS
Template
NB/SPE/002 Network Banking DRS On- I Fujitsu
line Workstation Services
Specification PVCS
NB/PRO/002 Network Banking Fujitsu
Reconciliation & Incident Services
Management PVCS
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
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.
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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 NB1O1, 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
Transaction
From a ‘Client’ perspective, a transaction that has been authorised
to either debit or credit an account. From a system perspective, a
“C4 transaction.
Counter Confirmations
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 and notified to the DRS. From a system perspective, a
‘D’ transaction.
Exception Types Within all reports the ‘Exceptions’ category will include:
« ‘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, e.g.
C12 (amount) not = to C4 (amount).
e Transaction corruptions
Horizon_Txn_Num
Unique transaction number to be used in all messages between
Horizon and the FI’s 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
Settlement date from the transaction elements (C112, C12, C4, S
& D) that make up a Network Banking transaction. If no Bank
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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. If a
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.
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)
DRS Data Reconciliation Service
EFTPOS Electronic Funds Transfer at Point Of Sale
EPOSS Electronic Point Of Sale Service
FI Financial Institution
MSU Management Support Unit (Fujitsu Services)
POL Post Office Limited
TIP Transaction Information Processing (POL)
TPS Transaction Processing Service
0.5 Changes in this Version
Version
Changes
6.0
¢ Minor typing errors corrected.
e Approval Authority corrected.
¢ Schedule 19 CCD which is covered by the SMF controls
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* asCCDI9
0.6 Changes Expected
Changes
None.
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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 NBOOO: SUMMARY REPORT
3.1.1 NBOOO: Rules
3.1.1.1 NBOOO: Report Layout
3.1.1.2 NB000: Data Definition
3.2. NB101: NETWORK BANKING SETTLEMENT STATEMENT
3.2.1 NBIO1: Rules
3.
3.
3.2.2. End of Report
2.1.1 NBIOI: Report Layout
2.1.2 NBIOI: Data Definition
3.3. NB102: EXCEPTION SUMMARY
3.3.1 NB102: Rules
3.1.1 NB102: Section I
2 NB102: Section 2:
3 NB102: Section 3:
4 NB102: Section 4:
5 NBI02: Section 5:
6 NBI102: Section 6:
7 NB102: Section 7:
8 NB102: Section 8:
9 NBI102: Section 9:
1
1
3.4.1 NB103: Rules
All Uncleared Confirmed, Unconfirmed & TIP exceptions
Uncleared Exceptioned Client Transactions
Uncleared Corruptions
Uncleared Timing Differences
Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Uncleared Future Dated Transactions by Client
All Cleared Confirmed, Unconfirmed & TIP exceptions
Cleared Exceptioned Client Transactions
Cleared Corruptions
0 NBI02: Section 10: Cleared Timing Differences
I] NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions > 24 hours
1.12 NB102: Section 12: Cleared Future Dated Transactions by Client
Incomplete and Discrepancy State: Report Matrix
Exception State: Report Matrix
3.4 NB103: SETTLED TRANSACTION / CASH ACCOUNT RECONCILIATION STATEMENT
3.4.1.1 NB103: Report Layout
3.4.1.2 NB103: Data Definition
SYSTEM STATES
10
i
13
13
14
1S
16
16
17
18
18
19
19
22
23
25
27
29
32
33
35
37
39
4
42
43
44
44
46
47
48
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1.0
2.0
Introduction
This document has been compiled to specify all Fujitsu Services 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 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
NBIO1 Combined Report
NB102 Combined Report
NB103 Y [ Y
NB000 is a combined report for all Routing Gateways.
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”
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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
each currency. All the amounts in a single transaction will always use the same
currency
2.1. Reconciliation Reports Specified
NBO00: DRS Summary
NB101: Network Banking Settlement Statement
NB102: — Exception Summary
NB103: — Settled Transaction / Cash Account Reconciliation Statement
eecee
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 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:
© 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 “0.00”
Where no volume reported show 0
-ve values will be shown in brackets e.g. (nnn.nn)
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 report number
Fujitsu Services reference
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
Reports: NB000, 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)
e Fujitsu Services 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
¢ Genuine exceptions where transaction components belonging to the same high
level transaction have been exceptioned, e.g. C12 (amount) not = to C4
(amount).
e Transaction corruptions
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. NB000: Summary Report
This report summarises all reconciliation reports produced by the DRS. It also
summarises all reports that were not produced by the DRS because there was no data
to report.
3.1.1 NBO00: Rules
1. Reports are listed by application type, Routing Gateway, and report number.
2. Where a report is produced, the filename will be shown.
3. Where for a routing gateway, there is some data to report, but for a specific report there is
no data, then the filename will be replaced by [NO DATA].
4. Where for a routing gateway there is no data at all, the application type cannot be shown
and the file name will be replaced by [NIL RETURN].
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3.1.1.1 NBO000: Report Layout
NBO000: DRS Summary Report
Client:
All
Produced on: dd/mm/yyyy at hh:hh:ss
Run Date:_dd/mm/yyyy
Transaction Type: All
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Application I Routing Gateway Routing Gateway Name Report Number Report Section Filename
Type Number
APP 9999999999 30 character name NB999. 99 appyyyymmddgggeggeegeNBnnnsstttcur. TXT
End of Report
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3.1.1.2 I NB000: Data Definition
NBO000: DRS Summary Report Client: All Produced on: (Date / Time of report production)
Run Date: (The period for which the report refers) Transaction Type: All
Application I Routing Gateway Routing Gateway Name Report Number Report Section Filename
Type Number
Application I Routing Gateway Routing Gateway name. Shows each report I Shows each Where there is data for a report the filename will be
Type (c.g. number. Will be “-* for I Will be “ALL CLIENTS* number for each report section shown:
NBS or reports NB102 sections I for reports NB102 sections 6 I routing gateway for each report I. ,
DCP). 6and 12 as there are _I and 12 as there are single number appyyyymmddgeeeeseeeeNBnnnssittcur.TXT, where
Will be “-*
where no
application
type is
known.
Repeated for
each
application
type.
single reports for all
routing gateways.
Repeated for each
routing gateway within
application type
reports for all routing
gateways. Shown against
each routing gateway
number
* app is a 3 character application code (e.g. NBS or
DCP)
* — yyyymmdd is the report run date
© ggggegeees is the routing gateway number. For
reports NBI102 Sections 6 and 12 use
*0000000ALL”
e¢ NBnnnss is the report number and section
* — ttt is the transaction group. For NB101, and NB102,
this will be ‘ALL’, for NB103, it will be ‘DEP’ for
deposits, or ‘WDR’ for withdrawal.
© cur is the currency e.g. GBP
Where for a routing gateway, there is some data to
report, but for a specific report there is no data, then
show [NO DATA]. Where for a routing gateway there
is no data at all (the application type is “-“) show [NIL
RETURN].
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3.2 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.
3.2.1 NB101: Rules
1. NBI1O1 is run daily
2. NB1O1 is repeated for each Routing Gateway
3. NBI1OI will show ‘C4’ transactions received for ONE day only — breaking these
down into individual ‘C4 Settlement Dates’ There will be one line for each ‘C4
Settlement Date’
4. NBIOI 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:
¢ Volume: Volume of Deposits plus Volume of Withdrawals
e Value: Value of Deposits minus Value of Withdrawals
¢ 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.
8. Where there is more than one institution with the same Routing Gateway, the
values for the institutions will be shown individually provided the transaction
volume for that institution is greater than zero.
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3.2.1.1 NB101: Report Layout
NB 101: Network Banking Settlement Statement
Client: Barclays ete
Produced on: dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit & Withdrawal
Currency: GBP
Receipts Payments Net Settlement Institution Name
C4 Settlement Date Volume Value Volume Value Volume Value
dd/mm/yyyy 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 I X(40)
dd/mm/yyyy 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 I X(40)
Sub Total 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99
dd/mm/yyyy 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 I X(40)
dd/mm/yyyy 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999.99 I X(40)
Sub Total 99,999,999 I 9,999,999,999,99 99,999,999 I 9,999,999,999.99 99,999,999 I 9,999,999,999,99
TOTAL 999,999,999 I 9,999,999,999,99 999,999,999 I 9,999,999,999,99 999,999,999 I 9,999,999,999.99
End of Report
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COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.2.1.2 NB101: Data Definition
1
1
1
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 Institution Name
C4 Settlement Date Volume Value Volume Value Volume Value
Date 1 No. of C4] Value of C4 INo. of C4] Value of C4 I No. of C4 Value of C4 Institution within
Deposits Rec’d I Deposits Rec’d I Withdrawals Withdrawals Deposits Rec’d I Deposits Rec’d- _I Routing Gateway
Ree’d Ree’d +No of C4 Value of C4
Withdrawals Withdrawals Rec'd
Rec'd
Date 1 No. of C4] Value of C4]No. of C4] Value of C4 I No. of C4 Value of C4 Institution within
Deposits Rec’d I Deposits Rec’d Withdrawals Withdrawals Deposits Rec’d I Deposits Rec’d — Routing Gateway
Rec'd Ree’d + No of C4 Value of C4 Repeat Date I for each
Withdrawals Withdrawals Rec'd eat} . °
+ Institution with non zero
Rec'd
volume.
Sub Total Total for Date I Total for Date 1 I Total for Date I Total for Date 1 I Total for Date I Total for Date 1
Repeat Date and Sub Total rows for each date that there is data to report.
TOTAL
Total All Dates
Total All Dates I Total All Dates I Total All Dates I Total All Dates
Total All Dates
End of Report
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© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3
3.3.1
NB102: Exception Summary
This report is divided into twelve sections:
Liability _issues_are_not_covered_ within this document, nor_are_ the business
Section 1: All Uncleared Confirmed, Unconfirmed & TIP exceptions
Section 2: Uncleared Exceptioned Client Transactions
Section 3: Uncleared corruptions
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 corruptions
Section 10: Cleared Timing Differences
Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Section 12: Cleared Future Dated Transactions by Client
processes involved in the resolution of any exception.
wn
NB102: Rules
NB102 is run daily
NB102 is repeated for each Routing Gateway.
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.
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.
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.
Where no ‘D’ transaction element has been received, the ‘Discrepancy Type’ will
be blank
Where an exception is set to F99 by Fujitsu Services , 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.
All Uncleared Confirmed, Unconfirmed & TIP exceptions are reported as summary
totals by exception type - (NB102 section 1)
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 20 of 48
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Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
19.
20.
21.
Uncleared Exceptioned Client Transactions are listed individually - (NB102
section 2)
Uncleared Transaction corruptions exceptions are listed individually - (NB102
section 3)
Uncleared Timing Differences are listed individually — (NB102 section 4)
. 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 - (NB102 section 7)
. Cleared Exceptioned Client Transactions are listed individually — (NB102 section
8)
. Cleared Transaction corruptions 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:
e 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.
e 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 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)
e 05 — Withdraw all (With PIN)
e 13 — Withdrawal (With signature)
e 14 — Withdrawal with balance (With signature)
e 15 — Withdraw all (With signature)
© 2 —Deposit (No verification)
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 21 of 48
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Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
22. 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.
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 22 of 48
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Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
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Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.1
3.3.1.1.1
NB102: Section 1 - Report Layout
NB102: Section 1: All Uncleared Confirmed, Unconfirmed & TIP exceptions
NB102 Section 1: All Uncleared
Confirmed, Unconfirmed & TIP
exceptions
Client: — Barclays etc
Produced on:
dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
Currency: GBP
Exception I Reconciliation Volume Values (8 sub columns)
Type Date
State 1 ete dd/mmiyyy 99999999 9999999999.99
State 2 etc dd/mm/yyyy 99999999 9999999999.99
Sub total 999999999 9999999999.99
State E02 ete I dd/mm/yyy: 99999999 9999999999.99
Sub total 999999999 9999999999.99
Total Section 1 9999999999 9999999999.99
End of Report
3.3.1.1.2 NB102: Section 1 - Data Definition
NB102 Section 1: All Uncleared
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
an 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, E14,
End of Report
© 2002 Fujitsu Services
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Fujitsu Services
NETWORK BANKING END TO EN!
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.2 I NB102: Section 2: Uncleared Exceptioned Client Transactions
3.3.1.2.1 NB102: Section 2 — Report Layout
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NB102 Section
Exceptioned
2: Uncleared
ient Transactions
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 Values (8 sub
Type Date Id Type Type columns)
E13 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
E13 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
State 12 dd/mm/yyyy ‘Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss ‘Num (2) Code (99) _ I 9999999999,99
Sub Total 9999999999.99.
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
Total Section 2 9999999999.99
End of Report
© 2002 Fujitsu Services COMMERCIAL IN CONFIDENCE Page: 24 of 48
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO EN!
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
6.0
24/12/03
3.3.1.2.2 NB102: Section 2 — Data Definition
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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 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
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00001842
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Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.3. NB102: Section 3: Uncleared Corruptions
3. .1 NB102: Section 3 — Report Layout
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 Values (8(8
Type Date Id Type Type sub columns)
E28 dd/mmiyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) _ I 9999999999.99
E29 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
E31 dd/mm/yyy' Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
E31 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999.99.
Total Section 3 9999999999.99
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
Page: 26 of 48
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
6.0
24/12/03
3.3.1.3.2 NB102: Section 3 — Data Definition
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NB102 Section 3: Uncleared
corruption’s
Client:
Gateway.)
(Derived from Routing
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 I Receipt Time CAP Discrepancy 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 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
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.4 I NB102: Section 4: Uncleared Timing Differences
3.
.1 NB102: Section 4 - Report Layout
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NB102 Section 4: Uncleared
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 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)
E39 dd/mmiyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) _ I 9999999999,99
E39 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
E39 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
E39 dd/mm/yyy: Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999.99.
Total Section 4 9999999999.99
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
6.0
24/12/03
3.3.1.4.2 NB102: Section 4 — Data Definition
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NB102 Section 4: Uncleared Client: (Derived from Routing Produced on: (Date and time of production)
Timing Differences Gateway.)
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 I Receipt Time CAP Discrepancy 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 transaction
reconciliation date with a sub component
total for each reconciliation
date and a grand total for the System State: E39
section. Where dates are shown
for the same exception type, list
in descending order.
Received = New + Old
Reconciliation date: < = Run Date
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.5 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
3.
1 NB102: Section 5 — Report Layout
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NB102 Section 5: Uncleared
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 Reconciliation I Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy Values (8 sub
Type Date Id Type Type columns)
State 1 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
State 2 dd/mm/yy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
State 6 dd/mm/yyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
State 6 dd/mm/yyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
Total Section 5 9999999999.99.
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
Page: 30 of 48
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.5.2 NB102: Section 5 — Data Definition
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NB102 Section 5: Uncleared
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 Horizon Txn I Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy Values (8 sub
Date Id Type Type columns)
One row for each exception, with Horizon_Txn_ I Txn_Type Bank_Transacti I Receipt_Trans I Receipt_Trans I From C112 Discrepancy_R I Value of each
specific system states listed in order, I Num on_Id action_Date action_Time eason_Codes 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.
Received = Old
Reconciliation date: < Run Date
1, 2, 4, 5, 6, 7, 8, 9, 10, 11, 16, 17, 18, E01-02 E04-06,
E10-12, El4, E20-24, E32,
(i.e. where transaction components have remained in the above incomplete states for >24 hours)
E34 -E36, E38
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
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3.3.1.6
3.3.1.6.1
NB102: Section 6 - Report Layout
NB102: Section 6: Uncleared Future Dated Transactions by Client
NB102 Section 6: Uncleared
Future Dated Transactions by
Client
All Clients
Produced on:
dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Currency: GBP
Withdrawal
Client Reconciliation Date Volume Values (8 sub columns)
Barclays dd/mm/yyyy 99999999 9999999999.99.
Lloyds dd/mm/yyyy 99999999 9999999999.99
Total Section 11 9999999999 9999999999.99.
End of Report
3.3.1.6.2. NB102: Section 6 - Data Definition
NB102 Section 6: Uncleared
Future Dated Transactions by
Client
All Clients
Produced on:
(Date and time of report
production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency:
“currency’)
(Derived
from
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
[__ Values (8 sub columns)
Reconciliation date: >
System State: All States excluding F99
Run Date
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fujitsu Services
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.7
3.3.1.7.1 NB102: Section 7 — Report Layout
NB102: Section 7: All Cleared Confirmed, Unconfirmed & TIP exceptions
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & TIP
exceptions
Client: Barclays etc
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 1 etc dd/mm/yyyy 99999999 9999999999.99
State 2 ete dd/mm/yyy: 99999999 9999999999.99
Sub total 999999999. 9999999999.99
State E02 etc dd/mm/yyyy 99999999 9999999999.99
Sub total 999999999. 9999999999.99
Total Section 1 9999999999 9999999999.99.
End of Report
3.3.1.7.2 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
an 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
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00001842
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Fujitsu Services NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.8 I NB102: Section 8: Cleared Exceptioned Client Transactions
3.3.1.8.1 NB102: Section 8 — Report Layout
NB102 Section 8: Cleared Client: — Barclays ete Produced on: dd/mm/yyyy at hh : mm: ss
Exceptioned Client Transactions
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 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) 9999999999.99
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy Num (2) Code (99) I 9999999999.99
State 12 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy: hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999 .99.
Total Section 8 9999999999.99
End of Report
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RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.8.2. NB102: Section 8 — Data Definition
NB102 Section 8: Cleared Client: (Derived from Routing Produced on: (Date and time of production)
Exceptioned Client Transactions I 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 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_Ti eason_Codes transaction
listed in order, grouped component
within reconciliation date For last reported System States: 12-15, 20-23, E03, E07 — E09, E13, E25 — E26, E33, E37
with a sub total for each Set to F99: New
reconciliation date and a et to B99: Ne _
‘ 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
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Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.9 I NB102: Section 9: Cleared Corruptions
3.3.1.9.1 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 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) I 9999999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy Num (2) Code (99) I 9999999999.99
State 31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
Sub Total 9999999999.99.
E31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999 .99.
Total Section 9 9999999999.99
End of Report
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE
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FUJ00001842
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RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.9.2. NB102: Section 9 — Data Definition
NB102 Section 9: Cleared Client: (Derived from Routing Produced on: (Date and time of production)
corruption’s 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 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 transaction
listed in order, grouped within component
reconciliation date with a sub "
total for each reconciliation For last ce ported System States: E2731
date and a grand total for the Re ° iliati De - <= Run D:
section. Where dates are shown I Reconciliation Date: <= Run Date
for the same exception type, list
in descending order.
End of Report
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Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.10 INB102: Section 10: Cleared Timing Differences
3.3.1.10.1 NB102: Section 10 - Report Layout
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NB102 Section 10: Cleared
Timing Differences
Client: Barclays ete
Produced on: dd/mm/yyyy at hh : mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
Currency: GBP
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/yyy, Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) _ I 9999999999.99
E39 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
E39 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999.99.
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999.99.
Total Section 10 9999999999.99
End of Report
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Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.10.2_ NB102: Section 10 — Data Definition
NB102 Section 10: Cleared Client: (Derived from Routing Produced on: (Date and time of production)
Timing Differences 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 I Receipt Time CAP Discrepancy 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 transaction
reconciliation date with a sub component
total for each reconciliation -
date and a grand total for the For last reported System States last re ported System States: £39
section, Where dates are shown I PELIOE ©”: New
‘ * Reconciliation Date: <= Run Date
for the same exception type, list
in descending order.
End of Report
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Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.11 I NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions > 24 hours
3.3.1.11.1 NB102: Section 11 — Report Layout
NB102 Section 11; Cleared Client: Barclays ete Produced on: dd/mm/yyyy at hh : mm: ss
Confirmed, Unconfirmed & TIP
exceptions > 24 hours
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Exception Type I Reconciliation Horizon Transaction Bank Txn Id_I Receipt Date I Receipt Time CAP Discrepancy I Values (8 sub
Date Txn Id Type Type columns)
State 1 dd/mm/yyys Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99
State 2 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyyy hh:mn Num (2) Code (99) 9999999999.99
State 6 dd/mm/yyy; Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 999999999999.
Sub Total 9999999999 .99.
State 6 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Num (2) Code (99) 9999999999.99.
Sub Total 9999999999.99.
Total Section 11 9999999999.99
End of Report
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Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.3.1.11.2 NB102: Section 11 — Data Definition
NB102 Section 11: Cleared Client: (Derived from Routing Produced on: (Date and time of production)
Confirmed, Unconfirmed & TIP I 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 I Horizon Txn I Transaction I Bank TxnId I 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_Transact I Receipt_Transa I Receipt_Transa I From C112 Discrepancy_R I Value of each
specific system states listed in _Num ion_Id ction_Date ction_Time eason_Codes 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
Transactions that were included on report NB102 Section 5 on ‘yesterday’s’ reports and are not included in NB102 Section 5 on
‘today’s’ reports.”
End of Report
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RECONCILIATION REPORTING
Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
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Fujitsu Services
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COMMERCIAL IN CONFIDENCE
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Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.12 NB102: Section 12: Cleared Future Dated Transactions by Client
3.3.1.12.1 NB102: Section 12 - Report Layout
NB102 Section 12: Cleared
Future Dated Transactions by
All Clients
Produced on:
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/yyyy 99999999 9999999999.99
Lloyds dd/mm/yyyy 99999999 9999999999.99
Total Section 11 9999999999 9999999999.99
End of Report
3.3.1.12.2 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 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
[__ Values (8 sub columns)
System State: All States
All transactions that wer
6 on ‘today’s’ reports.
e included on report NB102 Section 6
on ‘yesterday’s’ reports and are not included in NB102 Section
End of Report
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Fujitsu Services
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RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
Version:
Date:
CS/SPE/011
6.0
24/12/03
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3.3.1.13
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 Ss D Uncleared I Cleared
1 Vv 1&5 T&M
2 Vv V 1&5 7&1
4 Vv 1&5 7T&ll
3 V 1&5 T&M
6 v v 1&5 T&1
7 V Vv 1&5 7&1
8 v 1&5 7&1
9 v V 1&5 7&1
10 V Vv 1&5 T&11
in V V Vv 1&5 T&11
12 Vv 2 8
B V Vv 2 8
4 V V 2 8
15 V V V 2 8
16 Then V V 1&5 7&1
17 y Then ¥ V 1&5 T&IL
18 V Then ¥ V 1&5 T&M
20 V Then V 2 8
21 V V Then V 2 8
22 v Vv Then V 2 8
23 Vv V Vv Then V z 8
Shaded lines represent System States not expected to be reported within the Network
Banking report set
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Ref: CS/SPE/011
Version: 6.0
Date: 24/12/03
3.3.1.14 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 7&1
E02 Additional C12 1&5 7&il
E03 Additional D 2 8
E04 Additional C4 1&5 7&1
E05 Additional $ 1&5 7&1
E06 S afier C4 1&5 7&1
E07 S afier D 2 8
E08 C4 after D 2 8
E09 D after C4 2 8
E10 C112 after final state 1&5 7&ll
Ell C12 after final state 1&5 7&1
El2 C4 after final state 1&5 7&ll
E13 D after final state 2 8
El4 S after final state 1&5 7&11
ES: Not Used
E16 Not Used.
El7 Not Used
EI& Not Used
E19 Not Used
E20 Amount of C112#C12 1&5 7&Ul
E21 Amount of C112#C4 1&5 7&1
E22 Amount of CL12#S & C112#0 1&5 7&1
E23 Amount of C12#C4 1&5 7&1
E24 Amount of C12#S & C12#0 1&5 FRU
E25 Amount of C112#D 2 8
E26 Amount of C12#D 2 8
E27 Incomplete/corrupt C112 3 9
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S 3 2
E32 Amount of C4#S & C4#0 1&5 7&il
E33 Amount of D#S 2 8
E34 C112 arrived after state F99 1&5 7&1
E35 C12 arrived afier state F99 1&5 7&ll
E36 C4 arrived after state F99 1&5 7T&ll
E37 D arrived after state F99 2 8
E38 S arrived after state F99 1&5 7&1
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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Version: 6.0
COMMERCIAL IN CONFIDENCE Date: 24/12/03
3.4 NBI103: 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.
3.4.1 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 NBIO1 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 90).
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
5. If a transaction is posted to the row ‘No C/A to TIP’ (according to rule 2 and 3
above:
e 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’
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 90
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
9. A separate report NB103 will be produced for both Deposit and Withdrawal
transactions derived from ‘Txn_type’
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10. Twenty CAPs will be shown, CAP-13, CAP-12, CAP-I1, ........ CAP-2, CAP-1,
1
12.
13.
CBDB CAP, CAP+1, CAP+2, ..... CAP+5, CAP>=+6. 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 CAPs 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 (CAP40 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.
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Commercial in confidence Date: 11-DEC-2002
NB103: Report Layout
NB103: Settled Transaction / Cash Account Client: Barclays etc Produced on: dd/mm/yyyy at hh:mm:ss
Reconciliation Statement
Run Date: dd/mm/yyyy Transaction Type: Deposits etc Currency: GBP
C4 Processing Date CAP ‘XX’- 13... I... CAP ‘XX’ -1 CBDB CAP ‘XX’ +1... I ... CAP ‘XX’ >=+6 I No Cash Account Total Value
CAP *XX’ Allocated
(Column 2) (Column 14) (Column 15) (Column 16) (Column 21) (Column 22) (Column 23)
dd/mm/yyyy C/A to TIP 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99. 9999999999.99 I _9999999999.99
No C/A to TIP. 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99 9999999999.99 I _9999999999.99
dd/mm/yyyy C/A to TIP 9999999999 .99 9999999999.99 999999999999 9999999999.99 9999999999.99 9999999999.99 I _9999999999.99
No C/A to TIP 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99. 9999999999.99 I _9999999999.99
dd/mm/yyyy C/A to TIP 999999999999 9999999999.99 9999999999.99 9999999999.99 9999999999.99. 9999999999.99 I _9999999999.99
No C/A to TIP 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99. 9999999999.99 I _9999999999.99
dd/mm/yyyy C/A to TIP 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99. 9999999999.99 I _9999999999.99
No C/A to TIP 9999999999 .99 9999999999.99 9999999999.99 9999999999.99 9999999999.99 9999999999.99 I _9999999999.99
Ete.
End of Report
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RECONCILIATION REPORTING
Version: 5.0
Commercial in confidence Date: 11-DEC-2002
3.4.1.2 NB103: Data Definition
NB103: Settled Transaction / Cash Account Client: (Derived from Routing Gateway) Produced on: (Date and time of production)
Reconciliation 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’- 13... I... CAP ‘XX’ -1 CBDB CAP ‘XX’ +1... I ... CAP ‘XX’ >=+6 I No Cash Account Total Value
(The Run Date of NB101 that CAP ‘XX’ Allocated
included the C4)
(Column 2) (Column 14)
(Column 15)
(Column 16)
(Column 21)
(Column 22)
(Column 23)
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
All C4 values
Use C4 processing date for 90 days prior to Run Date of the report.
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.
Sum Columns 2
to 22 for this C4
processing date
dd/mm/yyyy No C/A to TIP Total value of all settled transactions (C4) where the Cash Account has not been delivered to POL / TIP, according to C4
AIL C4 values
Use C4 processing date for 90 days prior to Run Date of the report.
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.
Sum Columns 2
to 22 for this C4
processing date
End of Report
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Version: 5.0
Commercial in confidence Date: 11-DEC-2002
4.0 System States
wen
lorizicrzi ce os
Preswaion [ives en: reve
(n eemplteCorpl or go: E27 E28 E29 £10 EH
Valle on erry b Se means not equ) NSU Acton
Side Con Agert_NBE_TPS Wen vail, go Ste I—_ Anour:Acon Anourtscton I Arourtécton Setement Ose Acton I Set st
sat! 0 i142 @ -
1 oe € &2 2 1% 10 - : F29
2 co 3 Em EM E09 G06 I GrzwOH ES Ct Ste tes OLESS F39
Fr 3 iz ok atte Fro E11 E12 £13 E14] citzwciZE2 ——_cHt2HCHEI Ste twos LESS :
4 ce 7 2 €o E09 E06 : : : Foo
5 cma m6 7 9 : = Fo
6 oR ita fo EQ 3 18 M1 I cttewcrzz : F39
T ot on For 3 G4 E09 B06 I cIteHOREZL : Ste tes DEEDS F39
+ 8 9 10 16 20. 0s - : - F99
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