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Document Title:
Document Type:
Release:
Abstract:
Document Status:
Author & Dept:
End to End Reconciliation Reporting
Service Description
Release Independent
This document specifies the reconciliation report output to satisfy
the end to end reconciliation of the Banking and related services
and the Automated Payment Service (APS).
Approved
Pete Jobson
External Distribution: As Approver list
Security Risk
YES, security risks have been assessed, see section 0.9 for details.
Assessment Confirmed
Approval Authorities:
Name
Steve Bansal
Rol
Fujitsu Senior Service Delivery Manager
See Dimensions for record
Dionne Harvey
Post Office Ltd IT Contracts Manager
See Dimensions for record
Note. See Post Office Account HNG-X Reviewers/Approvers Role Matrix (PGM/DCM/ION/0001) for guidance.
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0
Document Control
0.1 Table of Contents
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
2
3
3.1
3.2
3.2.1 NBOOO: Rules.............
3.2.2 NB101: Network Banking Settlement Statement
3.2.3 NB101: Rules...
3.3
3.3.1 _NB102: POLSAP Definitio1
3.3.2 NB102: Rules.
Table of Content:
Document History..
Review Details.
Associated Documents (Internal & External).
Abbreviations.
Glossary...
Changes Expected.
Copyright..
Security Risk Assessment..
INTRODUCTION
NETWORK BANKING RECONCILIATION REPORTS SPECIFIED.
General Banking and Related Services Report Specifications.
NBO000: Summary Report.
NB102: Exception Summary..
3.4 System States..
4 APS RECONCILIATION...
41 APS Reconciliation Repott...
4.2 APS Quarantined/Exceptioned Transaction Report. 45
4.3 APS Report Delivery.
44 External Transactions.
A TRANSACTION TYPES.
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0.2 Document History
VersionNo. Date ‘Summary of Changes and Reason for Issue Associated Chang
CP/PEAK/PPRR
Reference
ot 22/11/08 First draft for review. NA
1.0 02/02/07 Issued for approval. NA
1 27/10/08 Change of owner and Reviewers for CCN
12 07/05/11 Post HNG-X Migration and change of owner NA
13 22-Jun-2011 I Revisions following internal review
20 22 Jun 11 Document Approved
24 23 Nov 11 Release 5.5 Review
3.0 4 May 12 ‘Annual Review
34 18 March 2013 I Annual Review
32 14" Oct 2016 I Clarifications added
4.0 04-Sep-2017 I Approval version [replaces CS/SPE/011]
44 4th Oct 2019] Changes due to HNG-X/POLSAP Application Separation T2561
Changes due to Banking Changes to accommodate Non-Link I CT1436
Transactions
4.2 27" Jan 2020 I Remove the TPS interface to DRS (Feed of C112 messages) I CW0189a (Release
20.35)
43 04-Feb-2020 I Amended reviewers, labelled changes for review purposes.
44 27-Feb-2020 _I Remove DRS State E25 in response to comments ‘cwot8ea
45 24-Mar-2020 I Added Steve Page as Post Office reviewer
46 2-Apr-2020 Updated in response to comments
47 7-Apr-2020 Replace section 4 (APS Reconciliation) with new reconciliation I CWO0189a (Release
reports generated from the Branch Database 20.45)
Remove Section 5 (TPS Reconciliation) since TPS no longer
exists
48 22-Apr-2020 I Updated following comments from Steve Page, Bob Booth, Phil
Boardman and SSC Team
5.0 23-Apr-2020 I Document Approved
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0.3 Review Details
Review Comments by
Review Comments to
POADocumentManagement
Mandatory Review
Role
Name
Head of IT Contract Management, Post Office Lid
Dionne Harvey 4..
Solution Architect, Post Office Ltd
Steve Page’.
Senior Commercial Manager
Helen Venters
SSC (for Configuration Management)
Adam Woodley; sed
Reconciliation Team
Sandie Bothick
Service Architect
Optional Review
Role
Phil Boardman
Name
Commercial Manager
Post Office Account Commercial Mailbox
Security Architect
Dave Haywood; Adrian Ellis
Application Development Manager
Graham Allen
Business Continuity
Almizan Khan
Network Operations Manager
Chris Harrison
‘Systems Management Manager
Jerry Acton
Operational Change/Release Management
Matt Swain
Infrastructure Operations Manager
Andrew Hemingway
Service Architecture Manager
Alex Kemp
Application Lead SDM, Service Introduction
Sonia Hussain
Issued for Information — Please
restrict this distribution list to a
minimum
Position/Role
Security Operations Manager Jason Muir
Document Manager Matthew Lenton
Senior Service Delivery Manager Steve Bansal
Name
Post Office Ltd Architect mailbox
eag(,
(*) = Reviewers that returned comments
0.4 Associated Documents (Internal & External)
Reference Version Date Title Source
PGM/DCM/TEM/0001 Fujitsu Services Post Office Account HNG- I Dimensions
(00 NOT REMOVE) X Document Template
‘SVM/SDM/PRO/0012 Reconclliation and Incident Management- I Dimensions
Joint Working Document
SVM/SDM/SD/0015 Reconclliation Service Description Dimensions
NB/SPE/002 Network Banking DRS On-line Workstation I Dimensions
Specification (Pwy)
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Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.
0.5 Abbreviations
Definitio
APS Automated Payment Service
c12 A transaction record from the Horizon Counter or Self-Serve Kiosk
C112 transaction record from the Horizon Counter or Self-Serve Kiosk that has been delivered to
POLSAP. This transaction no longer exists
C4 A record of confirmation from a Financial Institution
cts Client Transmission Summary
D A transaction record received from a Financial Institution that advises of a discrepancy
pcp Debit/Credit Card Payment
cs DebitCredit Card System
DRS Data Reconciliation Service
ETS Electronic Top-Up Service
Foo AA transaction state that indicates that a reconciliation error has been reported but POL has advised
that the issue has subsequently been resolved. This state is set using the DRS Workstation
application that is used by Fujitsu Security Operations team.
Fl Financial institutions
icc Integrated Circuit Card
MA Merchant Acquirer
PIN Personal Identification Number
PODG Post Office Data Gateway
POLDG Post Office Limited Data Gateway — This is a platform that sits outside the Horizon system that is
accessible by POL back office staff. PODG has a number of routes that deliver data files to and
from this platform.
POLSAP Post Office Ltd. Consolidated SAP System
s A transaction record that is generated by the Debit Card Management server that advises DRS
when the expected Settlement date is.
TIP An identifier that is printed on some of the reconciliation reports. The meaning of this identifier is
described in the descriptive text that immediately follows the report layout definition later in this
document
T™s Transaction Management Service
TPS Transaction Processing Service
0.6 Glossary
Bank_Transaction_Id Message sequence number assigned by the message originator, to assist in
identifying a transaction uniquely. Stays unchanged through the life of the
transaction.
C4 Settlement Date The Settlement Date provided on the C4 transaction
Credence Post Office Ltd. Management Information Service
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 etc
‘* Genuine exceptions where transaction components belonging to the same high level
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‘* transaction are of different value, e.g. C12 (amount) not = to C4 (amount)
Transaction corruptions
HNG-X_Txn_Num
Unique transaction number to be used in all messages between HNG-X and the Fis
relating to the transaction. Generated by HNG-X 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.
POLSAP Transactions
POLSAP was retired in 2019 and POLSAP transactions do not exist
POLSAP
Post Office Ltd Consolidated SAP System. This system no longer exists
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 Post Office
Ltd. to reconcile. It will be set the first available Bank Settlement date from the
transaction elements (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. 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.
Txn_Type
See Appendix A - Transaction Types
0.7 Changes Expected
0.8 Copyright
© Copyright Fujitsu Services Limited 2006-2020. All rights reserved. No part of this document may be reproduced,
stored or transmitted in any form without the prior written permission of Fujitsu Services
0.9 Security Risk Assessment
Security risks have been assessed and it is considered that there are no security risks relating specifically to this
document.
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1. Introduction
This document has been compiled to specify Fujitsu Services outputs from the Data Reconciliation
Service (DRS) and the Automated Payment Service (APS) so as to enable a generic end to end
reconciliation of
1. Banking and Related Services transactions, which includes DCS and ETS
2. Automated Payment System (APS)
2 Scope
This document defines the format and content of all reconciliation reports for HNG-X, which satisfies the
DRS and APS reconciliation requirement. It does not attempt to define within the operating systems how
the transactions are processed.
This document does not attempt to define the business processes undertaken within Fujitsu Services and
Post Office Ltd. 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 SVM/SDM/PRO/0012: Reconciliation and Incident Management - Joint Working Document
3 Network Banking Reconciliation Reports
Specified
For Network banking services each of the Post Office Ltd. Clients, as dictated by Routing Gateway, will
require a separate reconciliation report set.
Within this report set, separate reports will be provided as per the following table:-
Report Deposit Withdrawal
Number Transactions Transactions
NB101 Combined Report
NB102 Combined Report
NBOOO 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.
Non-Financial transactions such as Balance Enquiries and PIN changes are explicitly excluded from the
report set as ‘Not Required by Post Office Ltd.’
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
e NBOOO: DRS Summary
e =NB101: Network Banking Settlement Statement
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e NB102: Exception Summary
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.
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.
3.1 General Banking and Related Services Report
Specifications
A separate set of reports is produced for each Post Office Ltd. Client as identified by the Routing
Gateway (For example: Santander and POCa being single Clients and Vocalink being split into 2
separate clients). 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 parenthesis e.g. (nnn.nn)
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 report number
Fujitsu Services reference
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: NBOOO, NB101 and NB102 will be produced DAILY. They will be delivered by
08.00hrs the day following the Run Date to:
e Post Office Ltd. Delivered by PODG to POLDG.
e Fujitsu Services CS, DRS Workstation. A copy of all the reconciliation files is gathered
onto the SSC server and extracted via the RDT version of PODG to be delivered
automatically to the Security Operations group mailbox
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 etc.
e Genuine exceptions where transaction components belonging to the same high level
transaction have been exceptioned, e.g. C12 (amount) not = to C4 (amount).
¢ Transaction corruption:
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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 and 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’
3.2. 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.
3.2.1 NBO000: 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].
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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3.2.1.1. NBOOO: Report Layout
NBOO0: DRS Summary Report
Client: All
Produced on; dd/mm/yyyy at hhchhsss
Run Date:_dd/mm/yyyy
Transaction Type: All
Application I Routing Gateway Routing Gateway Name Report Number Report Section Filename
Type Number
APP. 9999999999 30 character name NB999 99 appyyyymmddgggeeeeegeNBnnnsstttcur. TXT
End of Report
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3.2.1.2 NBOOO: Data Definition
NBO000: DRS Si
ummary 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 Shows each Where there is data for a report the filename will be
Type (e.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
DCP). 6 and 12 as there are and 12 as there are single number appyyyymmddgggagagaggNBnnnsstttcur. TXT,
Will be“ I single reports for all reports for all routing where
where no routing gateways. gateways. Shown against * app is a 3 character application code (e.g.
application Repeated for each each routing gateway Banking and Related Services or DCP)
type is routing gateway within I number .
known. application type * yyyymmdd is the report run date
Repeated for * ggggggggag is the routing gateway number.
each For reports NB102 Sections 6 and 12 use
application ‘QOO0000ALL'
type.
e NBnnnss is the report number and section
© ttt is the transaction group. For NB101, and
NB102, this will be ‘ALL’.
e curis 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].
End of Report
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3.2.2 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 Post Office Ltd. as a
basis for settlement of Network Banking transactions with the Financial Institutions (Fis).
3.2.3 NB101: Rules
NB101 is run daily
NB101 is repeated for each Routing Gateway
NB101 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. NB101 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)
ena
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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3.2.3.1. NB101: Report Layout
NB 101: Network Banking Settlement Statement Client: =NBX Link Interchange Network 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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3.2.3.2 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 Institution Name
C4 Settlement Date Volume Value Volume Value Volume Value
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
Ree’d Ree’d + No of C4 Value of C4
Withdrawals Withdrawals Rec'd
Ree’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 I Withdrawals Withdrawals Deposits Rec’d I Deposits Rec’d- _I Routing Gateway
Ree’d Rec'd +No of C4 Value of C4 Repeat Date I for each
Withdrawals Withdrawals Rec’d eat I ‘
. Institution with non zero
Rec'd
volume.
Sub Total Total for Date I Total for Date 1 Total for Date 1 Total for Date 1
1
Total for Date
1
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
Total All Dates
Total All Dates
Total All Dates
Total All Dates
End of Report
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3.3. NB102: Exception Summary
This report is divided into twelve sections:
Section 1: All Uncleared Confirmed &Unconfirmed exceptions
Section 2: Uncleared Exceptioned Client Transactions
Section 3: Uncleared Corruptions
Section 4: Uncleared Timing Differences
Section 5: Uncleared Confirmed & Unconfirmed exceptions >24 hours
Section 6: Uncleared Future Dated Transactions by Client
Section 7: All Cleared Confirmed & Unconfirmed exceptions
Section 8: Cleared Exceptioned Client Transactions
Section 9: Cleared Corruptions.
Section 10: Cleared Timing Differences
Section 11: Cleared Confirmed &Unconfirmed exceptions >24 hours
Section 12: Cleared Future Dated Transactions by Client
ey
Liability issues are not covered within this document, nor are the business processes
involved in the resolution of any exception.
3.3.1. NB102: POLSAP Definition
The DRS Reports refer to the POLSAP system that has now been decommissioned. The
POLSAP system used to receive its transaction feed from the legacy TPS system and it was the
feed of C112 messages from TPS that gave assurance that there was reconciliation with
POLSAP.
Neither POLSAP or the C112 messages remain.
3.3.2 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. Since the C112 message no longer exists, the C112
columns will always be blank.
4. For reporting purposes, within NB102 sections 2, 3, 4, 5, 8, 9, 10 & 11, the column headed
‘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.
Where no ‘D’ transaction element has been received, the ‘Discrepancy Type’ will be blank
ens
6. 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.
7. All Uncleared Confirmed & Unconfirmed exceptions are reported as summary totals by
exception type - (NB102 section 1)
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9. Uncleared Transaction corruptions exceptions are listed individually - (NB102 section 3)
10. Uncleared Timing Differences are listed individually — (NB102 section 4)
11. Uncleared Confirmed & Unconfirmed exceptions >24 hours are listed individually - (NB102
section 5)
12. Uncleared Future Dated Transactions are reported as summary totals by Client identified by
Routing Gateway — (NB102 Section 6)
13. All Cleared Confirmed & Unconfirmed exceptions are reported as summary totals by
exception type - (NB102 section 7)
14. Cleared Exceptioned Client Transactions are listed individually —- (NB102 section 8)
15. Cleared Transaction corruptions are listed individually — (NB102 section 9)
16. Cleared Timing differences are listed individually — (NB102 section 10)
17. Cleared Confirmed & Unconfirmed exceptions >24 hours are listed individually — (NB102
section 11)
18. Cleared Future Dated Transactions are reported as summary totals by Client identified by
Routing Gateway — (NB102 Section 12)
19. 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.
20. 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, Post Office Ltd. may wish to
clear the exception manually. In this case, Fujitsu Services will set the transaction to
‘F99".
21. For reporting purposes, within NB102 sections 2, 3, 4, 5, 8, 9, 10 and 11 the column headed
‘Transaction Type’ will be populated by the Txn Type codes as defined in Appendix A
Transaction Types
22. For Banking and Related Services 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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3.3.2.1
3.3.2.1.1
NB102: Section 1: All Uncleared Confirmed & Unconfirmed exceptions
NB102: Section 1 - Report Layout
NB102 Section 1: All Uncleared
Confirmed, Unconfirmed & POL
FS exceptions
Client: NBX Link Interchange
Network
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 ete dd/mm/yyyy 99999999 9999999999.99.
State 2 etc dd/mm/yyyy 99999999 9999999999.99.
Sub total 999999999. 9999999999.99.
State E02 ete dd/mm/yyyy 99999999 9999999999.99.
Sub total 999999999. 9999999999.99.
Total Section 1 9999999999, 9999999999.99
End of Report
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2020
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Version:
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3.3.2.1.2 NB102: Section 1 - Data Definition
Note that POL FS (POLSAP) no longer exists and report columns relating to the associated C112
messages will therefore be blank.
NB102 Section 1: All Uncleared I Clie (Derived from Routing Produced on:
Confirmed, Unconfirmed & POL I Gateway.) (Date and time of report
FS exceptions production)
Run Date: (The period for which I Transaction Type: Deposit & Currency: (Derived — from
the report refers) Withdrawal ‘currency’)
Exception Type / Reconciliation Volume Values (8 sub columns)
Date Value of each transaction
component
One row for each system state System State: 1-2, 4-11, 16-18, E01-02 E04-06, E10-12, El4,
where exceptions are being E20-24, E32, E34 -E36, E38
reported grouped within Received = New + Old
reconciliation date with a sub total I Reconciliation date: <= Run Date
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
End of Report
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3.3.2.2 NB102: Section 2: Uncleared Exceptioned Client Transactions
3.3.2.2.1 NB102: Section 2 — Report Layout
NB102 Section 2: Uncleared Client: NBX Link Interchange Network I 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)
EB dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
EB dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) I 9999999999.99
State 12 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 2 9999999999.99
End of Report
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3.3.2.2.2 NB102: Section 2 — Data Definition
NB102 Section 2: Uncleared 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_Transact I Receipt_Transa I Receipt_Transa 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 System State: 12-15, 20-23, E03, E07 — E09, E13, E25 — E26, E33, E37
s Received = New + Old
date and a grand total for the Reconciliation date: < = Run Dat
section. Where dates are shown I “CconeHlation cate: <~ Kun Date
for the same exception type, list
in descending order.
End of Report
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3.3.2.3. NB102: Section 3: Uncleared Corruptions
3.3.2.3.1 NB102: Section 3 — Report Layout
NB102 Section 3: Uncleared Client: NBX Link Interchange Network 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(8
Type Date Id Type Type sub columns)
E28 dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) I 9999999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 3 9999999999.99
End of Report
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3.3.2.3.2 NB102: Section 3 — Data Definition
NB102 Section 3: Uncleared Client: (Derived from Routing Produced on: (Date and time of production)
corruption’s 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 Receipt Time CAP Discrepancy 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 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
System State: E27 -31
Received = New + Old
Reconciliation date: < = Run Date
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.
End of Report
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3.3.2.4 NB102: Section 4: Uncleared Timing Differences
3.3.2.4.1 NB102: Section 4 - Report Layout
NB102 Section 4: Uncleared Client: NBX Link Interchange Network I Produced on: dd/mm/yyyy at hh:mm:ss
Timing Differences
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)
E39 dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) I 9999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 4 9999999999.99
End of Report
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3.3.2.4.2 NB102: Section 4 — Data Definition
NB102 Section 4: Uncleared 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 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
A 7 Received = New + Old
section. Where dates are shown Reconciliation date: < = Run Date
for the same exception type, list . . u
in descending order.
End of Report
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3.3.2.5 NB102: Section 5: Uncleared Confirmed & Unconfirmed exceptions >24 hours
3.3.2.5.1 NB102: Section 5 — Report Layout
NB102 Section 5: Uncleared Client: NBX Link Interchange Network I Produced on: dd/mm/yyyy at hh:mm:ss
Confirmed, Unconfirmed & POL
FS exceptions >24 hours
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 (32) Code (99) Char (6) dd/mm/yyyy Code (99) 9999999999.99
State 2 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy Code (99) 9999999999.99
State 6 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
State 6 dd/mm/yyy’ Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 5 9999999999.99
End of Report
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3.3.2.5.2 NB102: Section 5 — Data Definition
Note that POL FS (POLSAP) no longer exists and report columns relating to the associated C112 messages will therefore be blank.
NB102 Section 5: Uncleared
Confirmed, Unconfirmed & POL
FS exceptions >24 hours
Client: (Derived from Routing Produced on: (Date and time of production)
Gateway.)
Run Date: (The period for which I Transaction Type: Deposit & Currency: (Derived from ‘currency’)
the report refers) Withdrawal
Exception Type / Reconciliatio 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 Horizon_Txn_ I Txn_Type Bank_Transacti_ I Receipt_Trans I Receipt_Trans 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. Where dates are
shown for the same exception type,
list in descending order.
System State: 1, 2, 4-11, 16-18, 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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3.3.2.6 NB102: Section 6: Uncleared Future Dated Transactions by Client
3.3.2.6.1 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)
LINK dd/mm/yyy' 99999999 9999999999.99
Lloyds dd/mm/yyyy 99999999 999999999999
Total Section 11 9999999999, 999999999999
End of Report
3.3.2.6.2 NB102: Section 6 - Data Definition
NB102 Section 6: Uncleared All Clients Produced on:
Future Dated Transactions by (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 Volume [Values (8 sub columns)
One row for each Client derived from System State: All States excluding F99
Routing Gateway where transactions have Reconciliation date: > Run Date
been received with a reconciliation date
ahead of the run date. Where dates are
shown for the same exception type, list in
descending order.
End of Report
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3.3.2.7
3.3.2.7.1
NB102: Section 7: All Cleared Confirmed & Unconfirmed exceptions
NB102: Section 7 — Report Layout
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & POL
FS exceptions
Client: NBX Link Interchange
Network
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 etc dd/mm/yyyy 99999999 9999999999.99
State 2 ete dd/mm/yyyy 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
3.3.2.7.2 NB102: Section 7 - Data Definition
Note that POL FS (POLSAP) no longer exists and report columns relating to the associated C112
messages will therefore be blank.
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & POL
Client: (Derived from Routing
Gateway.)
Produced on:
(Date and time of report
FS 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 For last reported System States: 1-2, 4-11, 16-18, E01-02, 04-06,
where exceptions are being E10-12, E14, E20-24, E32, E34-36, E38
reported grouped within Set to F99: New
reconciliation date with a sub total I Reconciliation date: <= Run Date
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.
End of Report
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3.3.2.8 NB102: Section 8: Cleared Exceptioned Client Transactions
3.3.2.8.1 NB102: Section 8 — Report Layout
NB102 Section 8: Cleared Client: NBX Link Interchange Network I 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)
EB dd/mm/yyyy Char (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
EB dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) I 9999999999.99
State 12 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 8 9999999999.99
End of Report
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3.3.2.8.2 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 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 Discrepancy_R I Value of each
with specific system states Num on_Id ction_Date ction_Time 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: Ni
reconciliation date and a Re " ili ti a te: <= Run Dat
grand total for the section. Seoneniation dates Sun Dae
Where dates are shown for
the same exception type, list
in descending order.
End of Report
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3.3.2.9 NB102: Section 9: Cleared Corruptions
3.3.2.9.1 NB102: Section 9 — Report Layout
NB102 Section 9: Cleared Client: = LINK 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 (2) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) I 9999999999.99
State 31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy’ hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 9 9999999999.99
End of Report
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3.3.2.9.2 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, I Horizon_Txn_ I Txn_Type Bank Transact I Receipt_Transa I Receipt_Transa 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 reported System States: E27 —31
Set to F99: New
date and a grand total for the Reconciliation Date: <= Run Dat
section. Where dates are shown I “CconeHiation Date: un Date
for the same exception type, list
in descending order.
End of Report
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3.3.2.10 NB102: Section 10: Cleared Timing Differences
3.3.2.10.1 NB102: Section 10 - Report Layout
NB102 Section 10: Cleared Client: ~~ LINK Produced on: dd/mm/yyyy at hh:mm:ss
Timing Differences
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 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 Code (99) 9999999999 .99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) _ I 9999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) I 9999999999.99
Sub Total 9999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 10 9999999999.99
End of Report
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3.3.2.10.2 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 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 For last re ported System States: E39
4 oe Set to F99: New
section. Where dates are shown Reconciliation Date: <= Run Dat
for the same exception type, list I “CConcHation Dates S~ kun Date
in descending order.
End of Report
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3.3.2.11 NB102: Section 11: Cleared Confirmed & Unconfirmed exceptions > 24 hours
3.3.2.11.1 NB102: Section 11 — Report Layout
NB102 Section 11: Cleared Client: NBX Link Interchange Network I Produced on: dd/mm/yyyy at hh:mm:ss
Confirmed, Unconfirmed & POL
FS exceptions > 24 hours
Run Date: dd/mm/yyyy Transaction Type: Deposit & Currency: GBP
Withdrawal
Exception Type I Reconciliation Horizon Transaction Bank Txn Id Receipt Date I Receipt Time CAP Discrepancy Values (8 sub
Date Txn Id Type Type columns)
State 1 dd/mm/yyyy Char (32) Code (99) Char 6) dd/mmiyyys hh:mm:ss Code (99) _ I 9999999999,99
State 2 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) _ I 9999999999,99
State 6 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) _ I 9999999999.99
Sub Total 9999999999.99
State 6 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) 9999999999.99
Sub Total 9999999999.99
Total Section 11 9999999999.99
End of Report
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3.3.2.11.2
Note that POL FS (POLSAP) no longer exists and report columns relating to the associated C112 messages will therefore be blank.
NB102: Section 11 — Data Definition
NB102 Section 11: Cleared
Confirmed, Unconfirmed & POL
FS exceptions > 24 hours
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 / Reconciliation I Horizon Txn I Transaction Bank Txn Id Receipt Date Receipt Time CAP Discrepancy Values (8 sub
Date Id Type Type columns)
One row for each exception, with Horizon_Txn I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa Discrepancy_R I Value of each
specific system states listed in _Num ion_Id ction_Date ction_Time eason_Codes transaction
order, grouped within
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.
component
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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3.3.2.12 NB102: Section 12: Cleared Future Dated Transactions by Client
3.3.2.12.1 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)
LINK dd/mm/yyy' 99999999 9999999999.99
Lloyds dd/mm/yyyy 99999999 999999999999
Total Section 11 9999999999, 999999999999
End of Report
3.3.2.12.2 NB102: Section 12 - Data Definition
NB102 Section 12: Cleared All Clients Produced on:
Future Dated Transactions by (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 Volume [Values (8 sub columns)
One row for each Client derived from System State: All States
Routing Gateway where transactions have _I All transactions that were included on report NB102 Section 6
been received with a reconciliation date on ‘yesterday’s’ reports and are not included in NB102 Section
ahead of the run date. Where dates are 6 on ‘today’s’ reports.
shown for the same exception type, list in
descending order.
End of Report
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3.3.2.13. 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 ci2 C4 s D__I Uncleared I Cleared
1 Vv 1&5 T&M
2 v v : 1&5 T& 1
4 Vv 1&5 7&1
5 v 1&5 T&M
6 Vv V 1&5 T&M
gz v V 1&5 7&1
8 Vv 1&5 7&1
9 v V 1&5 T&L
10 Vv Vv 1&5 T&1L
in V v V 1&5 T&L
12 V 2 8
13 Vv V 2 8
14 v N 2 8
15 V Vv 2 8
16 Then V V 1&5 7T&1l
17 v Then ¥ v 1&5 7&1
18 V Then ¥ y 1&5 7&1
20 av Then V 2 8
21 Vv Vv Then V 2 8
22 V V Then V 2 8
23 v Vv Vv Then ¥ 2 8
Grey shaded lines represent System States not expected to be reported within the Banking and Related
Services report set.
Green shaded lines are not expected to be reported in the absence of C112 Messages
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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 Unexpected C112 1&5 7T&ll
E02 Additional C12 1&5 T&L
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 7T&il
E07 S after D z 8
E08 C4 after D 2 8
E09 Dafter C4 2 8
Ell C12 after final state 1&5 T&1
El2 C4 after final state 1&5 7T&U
El3 D after final state 2 8
El4 S after final state 1&5 7T&l
EIS Not Used
E16 Not Used
E17 Not Used
E18 Not Used
E19 Not Used
E23 Amount of C12#C4 1&5 7&ll
E24 Amount of C12#S & C12#0 1&5 7T&l
E26 Amount of C12#D 2 8
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30. Incomplete/corrupt D. 3 9
E31 Incomplete/corrupt S 3 9
E32 Amount of C4#S & C4#0 1&5 7&1
E33 Amount of D#S 8
E35 C12 arrived after state F99 1&5 7T&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
3.4 Sys
tem States
The removal of TPS from the Legacy landscape also removed the need for the C112 message to be
reconciled with DRS. The removal of the C112 removed intermediate states '2', '13', '18' and '22' and
made states ‘5’, ‘6’, ‘7’, ‘9’, ‘11’, ‘14’, ‘17’, ‘21’ and ‘23’ unattainable since these all required the presence
of aC112. These latter states are show in grey in the following table. In addition, various error states
have become ‘Not used’ since these are related to values in C112 messages not equating to values in
other message parts.
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When
aca ca oS
Pre-valdation ‘Arrives, then Prewaldate
On Incomplete/Corrupt error go to: £27 £28 £29 £30 £31 Validate on entry into State (# means ‘not equa! to" MSU Action}
State _NoC112=N/A Conf Agent _NBE/Pymnt I When valid, goto state I Amount:Action I Amount:Action I Settlement Date:Action [Set state to
stat 0 ti 14 2 8 - - . "
1 cn f01 £02 3 15 10 - - - 99
Final 3 ce ca feot ex €12 13 14] caancaceas : casettle owRecDte39 I=
4 ca [cor 3. £04 £09 06 - : - £99
5 N/A fo. 6 7 “9 : : : :
6 N/A £01 £02 3 15 11 - - - -
7 N/A £01 3 £04 £09 £06 - - - -
8 ser 10 16 20 £05 : : : £99
9 N/A Fo. 41 47 21. £05 : : : :
10 cz s Jeor co2 19 23 £05) ciassecia0-e24 : Ca settle ottRec Dve39 I F99
4 WA foi cor 19 23° Eos : - :
2 > Joi 15 08 £09 £07 : - : 99
14 NA EOL 15 08 £09 £07 : : : :
15 ce > Ieor eoz eos cos 07) ci2Ho:e26 : casette otiRec ove39 I F99
16 sca £01 19 £04 £09 £0S - - C4 Settle DtfRec Dt:E39 F99
17 N/A £01 19 £04 £09 £05 - - - -
Final 19 c12 S/C4 £01 £11 £12 £13 £14 C12#C4:E23- C4H#S&C4H0:E32 I C4 Settle Dt#Rec Dt:E39 F99
20 s/D £01 23 £08 £03 E0S D#S:E33, - C4 Settle Dt#Rec Dt:E39 F99
2 N/A £01 23 £08 £03 £05 - - - -
23 N/A £01 £02 £08 £03 E05 So : a =
Exception States
£01 Unexpected Cii2 eee : i
£02 Additional C12 Septet : : : 09
£03 Additional D Dptplpt et : : : 59
E04 Adtional C4 Te et : - : fo9
£05 Additional te : : : 99
E06 Safter C4 TTope tee = " F59
£07 SafterD tise : : : 98
£08 C4afterD SPE 3 : : 99
£09 Dafterca SPSpep : : : 99
E10” Not used Tee Leas = = 7
E11 C12 after final state : ae\3 : : : 09
£12 C4 afterfinal state 2 eae F : : : 99
£13 Dafterfinal state cee Pe : : : 03
£14 _Safterfinal state See : : : 99
E15 Not used = Te : = " -
E16 Not used Tete. : : : :
E17 Not used Deppepect : : : :
E18. Notused Seco : : : :
£19_Notused Spero : : : :
€20_ Not used a . = = =
€21 Notused tle di ce: : : : :
€22 Notused Siete t : : : 7
€23. Amount of C1244 beetle! : : : 09
£24 Amount of C1245 & C12#0 SSS : : : 99
£25. Notused Sees eae : : : :
£26 Amount of C1240 TET: - : - £99
©27_ Not used 7 = . - =
£28 Incomplete/Corrupt C12 tbe ie : : . F39
£29. Incomplete/Corrupt C4 TPT re : : 99
£30. Incomplete/Corrupt D eleleie . . - 99
£31_Incomplete/Corrupt S TTT Te - : - F99
E32 Amount of C4¥S & CAR Thee = = - 753
€33_Amount of DAS re ees : : : 09
34 Not used - = . =
35 C12 arrived after state F99 ees ee : : : ms
£36 C4 arrived after state F99 ee : : : 759
637 Darrvedafterstate F99 Pept: : : : 99
£38 Sarrived after state F99 as ee : : : 99
£39 Settlement Date # Reconeliation Date Sfeieie = : = £99
Final TF59MSU Resolved for 635 36 637 63 : : : :
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4 APS Reconciliation
On-line Counter, SSK and HiH Automated Payment transactions are committed to the Branch Database
during the customer session settlement process at the same time that the Auditable Journal records are
written. The Journal Records contain a dense set of Journal Sequence Numbers that prove no
transaction is missing or duplicated.
Offline/External Automated Payment transactions (such as Paystation transactions) are delivered in
file(s) via PODG on a daily basis. These files contain a sub-file for each Branch that contain value and
volume totals that ensure the integrity of the data contained therein. These are validated during the
transaction posting process to ensure no data loss or duplication.
The AP transactions from all data-sources are copied to a dedicated APS data store where they are held
pending their delivery to the AP Client via AP Client Files.
Note 1: AP Transactions that are mapped to Client Account No “9999” do not get delivered to
any Client.
Note 2: AP transaction performed on certain devices (Such as Payzone) do not get delivered to
any Client.
At the end of each Trading Day, all transactions for the day are validated and any transactions failing
validation will be moved to a Quarantine area. Validation failures include the following scenarios:
Invalid Negative Value
Negative values are only allowed for reversal records or if the Delivery Agreement
indicates that the transaction is an Out-payment transaction.
Unmatched Reversal
This is a reversal record where the corresponding original transaction is not present on
the current Trading Day. This may occur in certain counter recovery scenarios.
Missing Delivery Agreement
Delivery Agreement reference data controls the creation of AP Client Files. If the data is
missing for any client then the transactions cannot be delivered and will be quarantined.
Duplicate Transaction
Duplicate transactions are not expected and can only occur in the case of system bugs.
Quarantined transactions can be viewed and processed using a Graphical User Interface available to
Fujitsu’s third-line support team. Where transactions were quarantined due to missing or invalid
reference data then the transactions can be moved back into the main processing stream once that
reference data has been corrected. These transactions will then be delivered to the AP Client. In the
case of an unmatched reversal, since the original transaction will almost certainly have been sent to the
AP Client then a manual activity must be in place to inform the AP Client that the payment has been
reversed. The transaction will then be archived as “manually processed”
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AP Client
~ Files
Branch Database
@
bg
Normal
Transactions
(AP Transaction Validation)
Branch, Kiosk and @
Paystation AP Transactions
Automated Payment Transaction Data Flows
Reconciliation is performed by ensuring that all transactions received at (1) are eventually delivered to
either (4) or (5) in the diagram above.
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4.1. APS Reconciliation Report
This can be represented in a single report as follows:
Transaction Totals for Trading Date Outstanding Balances
BRDB Delivered to APS Delivered
Trading Date Brought Fwd] Transacted (1) Normal (2° Quarantine 3) Discrepancy Client Files @) Manual (S)I__ Carry Fwd] __ Normal’ Quarantine’ Discrepancy]
01/06/2019 0.00} 25,000.00 23,000.00 2,000.00 0.00 20,000.00 0.00) 5,000.00} 3,000.00 2,000.00 0.00
02/06/2019 —_ 5,000.00] 30,000.00 29,000.00 1,000.00 0.00 25,000.00 1,000.00} 9,000.00} + 7,000.00 —_2,000.00 0.00]
03/06/2019 9,000.00} 20,000.00 20,000.00 0.00 0.00 25,000.00 1,000.00) 3,000.00} 2,000.00 1,000.00 0.00
04/06/2019 3,000.00]
05/06/2019
06/06/2019
07/06/2019
08/06/2019
09/06/2019
Report aps_reconciliationyyyymmdod.txt
Where
the first discrepancy is @) minus @) minus @)
the second discrepancy is Carry Fwd minus Normal Balance minus Quarantine Balance
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Transaction Totals for Current Trading Date
Column Type Description
Trading Date Date The Trading Date for which these totals apply
Brought Fwd Number(12,2) I Taken from the Carry Fwd recorded from yesterday's
reconciliation
BRDB Transacted Number(12,2) I The total value of APS transactions performed on the
current Trading Date. le: the total value at @ today.
(see Note 1)
Normal Number(12,2) I The total value of valid AP Transactions for the current
Trading Date. le: the total value at @) today
Quarantine Number(12,2) I The total value of transactions in Quarantine for the
current Trading Date. le: the total value at @) today
Client Files Number(12,2) I The total value of transactions delivered in Client Files
on the current Trading Date. le: the total value at @)
today
Manual Number(12,2) I The total value of transactions manually processed on
the current Trading Date. le: the total value at ©) today
Outstanding Balances
Column Type Description
Carry Fwd Number(12,2) I Equals Brought Fwd + BRDB Transacted — Client Files -
Manual
Normal Number(12,2) I The sum of all non-delivered validated APS
transactions. le: the total amount outstanding in @)
Quarantine Number(12,2) I The sum of all outstanding APS transactions in
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Quarantine. le: the total amount outstanding in @
Note 1: The BRDB Transacted value will not include transactions for Client Account = “9999” or those
transactions where the Device Type signifies that the transactions are not to be delivered.
Note 2: The Value delivered in Client Files is summed-up during the client file creation as each record is
written to the file. The total for each file is recorded in the file audit trail. Some client files
include the reversals and reversed transactions and some do not. Either way, these transactions
balance-out in the calculated totals. This is not the case for File-type “BT” that includes the
reversed transaction only and these have to be taken into account during the calculation of the
Client Files value.
The discrepancy columns should always be zero and an automated alert will be raised if ever this is not
the case. The alert will cause an incident to be raised for investigation.
In addition to reporting transaction values, the Branch Database also records transaction counts and
raises an alert if the transaction counts do not tally. The counts can be reported using HORIce.
When adding up transaction counts, the transacted reversals are added as positive values. However, in
many cases, reversals and their reversed counterparts are not delivered to the AP Client. This is a
recognised scenario during the production of a Client File and Reversed/Reversing transactions that are
withheld from the Client Files are updated to status “Reversed (Not delivered)”. During the reconciliation
of transaction counts, these transactions are counted as being dealt with appropriately (ie: seen,
understood and marked as processed).
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4.2 APS Quarantined/Exceptioned Transaction Report
Transactions that failed validation and were placed in Quarantine are reported daily in the following form.
Client Acc ReceiptIReceipt [Reversing Reversing
No Client Account Name Item Id FAD Code ITxn Timestamp Customer Reference Ref Serial No I Receipt Ref ISerial No Value}Reason
3094 United Utilities Water 36398 4025113 01/11/2018 21:09 63314030041988800000 68001 5470 1500.00 No Delivery Agreement
3094 United Utilities Water 36398 4025113 01/11/2018 21:17 63314030041988900000 67001 —- 8767 1500.00 No Delivery Agreement
3094 United Utilities Water 36398 4025113 01/11/2018 21:33 63314030041988600000 67001 8772 1500.00 No Delivery Agreement
3131 Parcelforce Contract Accept 39192 548324 07/11/2018 14:45 9826935101260 7016 1978 .00 Invalid Negative Value
3131 Parcelforce Contract Accept 39192 548324 07/11/2018 14:45 ED808529215GB 7019 1978 .00 Invalid Negative Value
3131 Parcelforce Contract Accept 39192 548324 07/11/2018 14:45 9826935101260 7020 1978 -1.00 Invalid Negative Value
3147 Royal Mail 45342 2307049 30/10/2018 10:23 O1Label=1~QRC 2001 «6671 2001 6673 0.00 No Delivery Agreement
3147 Royal Mail 41637 548324 07/11/2018 14:43 XC422747100GB 7004 1978 0.00 No Delivery Agreement
3147 Royal Mail 41637 548324 07/11/2018 14:44 LU422747100GB 7008 1978 0.00 No Delivery Agreement
3240 Welsh Water 43747 4025113 02/11/2018 10:11 6331428366843200000 —78001«= 4316 -102,00 Unmatched Reversal
Report aps_exceptionsyyyymmdd.txt
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4.3 APS Report Delivery
Reports for Post Office Ltd are delivered in accordance with security and audit requirements.
Both APS Reports are delivered to Fujitsu Services MAC Team and Post Office Ltd via e-mail.
4.4 External Transactions
Transactions that are performed on non-Horizon terminals are delivered to AP Clients via the Branch
Database and the APS Service. These transactions are loaded into the Branch Database and are
validated at this point to ensure that subsidiary Horizon systems can complete all necessary
processing. Transactions that fail validation are prevented from being loaded and are automatically
returned to the transaction supplier.
Due to this validation, there should be no further transaction processing failures within the Horizon
service.
However, there is a possibility that an external transaction is queried by an AP Client. This may occur
if the customer who performed an AP transaction queries or disputes the amount of the transaction. In
these instances, Fujitsu would receive the initial query but can only trace the transaction back to the
file in which the transaction was supplied. It is almost inevitable that this type of query will need to be
routed back to the transaction supplier for resolution.
This re-routing will be performed by raising a call with the Post Office Limited Service Desk.
A report is supplied to Post Office Limited called the Rejected Sub-Files Report. Report Description:-
Ordering of the report is Load Date followed by Trading Date.
The Times Rejected column will indicate how many times that the sub-file has been rejected and will
indicate whether there is an ongoing problem with poor quality data in corrected files.
If the quality of the data in the external transaction file is good then we would not expect any output
from the report.
Branch]
BRDBI Data I Accounting] Trading Times IReason For
Load DateI Source, Code] __DateIStatus _I Rejected IHold Last Progressed
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FU ITSU End to End Reconciliation Reporting
FUJITSU RESTRICTED (COMMERCIAL IN CONFIDENCE)
Reconciliation for external transactions is the responsibility of P&BA not the Post Office Account
Reconciliation Service. However, in the event that entries persist on the report the Post Office
Account Reconciliation Service will contact P&BA to ask for these files to be cleared.
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(COMMERCIAL IN CONFIDENCE)
A Transaction Types
The following banking and payment card transaction types are supported:
Txn Accounting Accounting
Type I Description Description Sign I Application
3. Withdrawal (with PIN) WITHDRAWALS -1 NBS
4 Withdrawal with balance (with PIN) WITHDRAWALS -1 NBS
5S Withdraw all(with PIN) WITHDRAWALS -1 NBS
8 Withdrawal Correction DEPOSITS 1 NBS
13 Withdrawal (with Signature) WITHDRAWALS -1 NBS
Withdrawal with balance (with
14 Signature) WITHDRAWALS -1 NBS
15 Withdraw all (with Signature) WITHDRAWALS -1 NBS
22 Deposit (No verification) DEPOSITS 1 NBS
27 NSI Cheque Deposit DEPOSITS 1 NBS
41 Purchase (With signature) DEPOSITS 1 DCs
42 Refund (With signature) WITHDRAWALS -1 Dcs
43 Cash Purchase(with Signature) DEPOSITS 1 DCs
51 ETU Purchase DEPOSITS 1 ETS
52 ETU Refund WITHDRAWALS -1 ETS
62 Deposit DEPOSITS 1 NBS
63 Withdrawal WITHDRAWALS -1 NBS
64 Withdrawal with balance WITHDRAWALS 1 NBS
65 Withdraw Limit WITHDRAWALS -1 NBS
67 Cheque Deposit DEPOSITS 1 NBS
68 Withdrawal Correction ICC DEPOSITS 1 NBS
71 + Purchase DEPOSITS 1 Dcs
72 Refund WITHDRAWALS -1 Dcs
73 Cash Purchase(with EMV) DEPOSITS 1 Dcs
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2020 (COMMERCIAL IN CONFIDENCE) ‘Version 5.0
Date 23-Apr-2020
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