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Document Title: End to End Reconciliation Reporting
Document Type: Service Description
Release: Release Independent
Abstract: This document specifies the reconciliation report output to satisfy
the end to end reconciliation of the Banking and related services,
Automated Payment System (APS) and Transaction Processing
System (TPS).
Document Status: Approved
Author & Dept: Penny Thomas, CS Security Operations
External Distribution: Michelle Stevens (POL)
Mark Wardle (POL)
Security Risk YES, security risks have been assessed, see section 0.9 for details.
Assessment Confirmed
Approval Authorities:
Name Role Signatur Date
e
Dave Hulbert Post Office Ltd: Senior Service Delivery ManagerI See Dimensions for record
— IT & Telephony
Tony Atkinson Fujitsu Services: POA Head of Service See Dimensions for record
Management
Note: See RMG 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 Table of Contents..
0.2 Document History..
0.3 Review Details...
0.4 Associated Documents (Internal & External).
0.5 Abbreviations.
0.6 Glossary...
0.7 Changes Expected.
0.8 Copyright..
0.9 Security Risk Assessment..
1 INTRODUCTION......
2 SCOPE.
3 NETWORK BANKING RECONCILIATION REPORTS SPECIFIED.
3.1 General Banking and Related Services Report Specifications.
3.2 NBO000: Summary Report.
3.2.1 NBO0OO: Rules.
3.2.2 NB101: Networl
3.3. NB102: Exception Summary.
3.3.1 NB102: Rules.
3.4 System States..
4 APS RECONCILIATION...
44 Reconciliation between
4.2 Accounting Sense...
4.3 APS Reconciliation / Reporting Points..
44 APS Reconciliation / Reporting Point 1
4.4.1 Description...
4.4.2 APSS2133 - APS Daily Account Balancing Report.
45 APS Reconciliation / Reporting Point 2....
4.5.1 Description... .
4.5.3 APSS2136b - Daily TPS, 7 APS Transaction Reconci
4.5.4 APSS2136c - Daily TPS / APS Transaction Reconciliation Detail Exception Repo
46 APS Recon ion / Reporting Point 3.
4.6.1 Description
46.2 APSS2139
4.7 APS Reconci
4.7.1 Description
4.7.2 APSS2140 - APS Harvester Transaction Totals Summary..
4.7.3 APSS2140b - APS Harvester Transaction by Office.
48 APS2134 - APS Validation Status Report..
49 APS Report Delivery..
4.10 External Transactions..
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5 TPS RECONCILIATION REPORTS SPECIFIED.....
5.1 TPSC250 - Host Detected Transaction Control Errors.
5.2 TPSC254 — Harvester Exceptions...
5.3 TPSC257 - POLFS Incomplete Summaries Repo!
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0.2 Document History
Version No. Date
Summary of Changes and Reason for Issue
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CP/PEAK/PPRR
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ference
0.4 22/11/06 First draft for review. NIA
1.0 02/02/07 Issued for approval NIA
14 27/10/08 Change of owner and Reviewers for CCN
1.2 07/05/11 Post HNG-X Migration and change of owner NIA
13 22-Jun-2011 Revisions following internal review
0.3 Review Details
02-Jul-2011
Review Comments by :
Review Comments to
Mandatory Review
Role
Penny Thomas & POADocumentManagement _
Name
Post Office Ltd: P&BA Control Manager
Michelle Stevens
Post Office Ltd: Commercial Manager
Liz Tuddenham
Post Office Ltd: Senior Service Delivery Manager — IT
Services
Mark Weaver
Fujitsu Services: Senior Commercial Manager
Mare Daniel Lamaziere
Fujitsu Services: Technical Design Authority (TDA)
Manager
Pete Jobson
Fujitsu Services: CS Support Security Operations Manager
Donna Munro
Fujitsu Services: SSC Manager
Steve Parker
Optional Review
Role Name
Fujitsu Services: CS Business Continuity Manager ‘Adam Parker
Fujitsu Services: CS Support Security Operations Andy Dunks
Fujitsu Services: CS Support Security Operations Raj Bains
Fujitsu Services: Counter Services Manager Mike Stewart
Fujitsu Services: SSC ‘Anne Chambers
Issued for Information lease restrict this
distribution list to a minimum
Position/Role Name
Post Office Ltd: Senior Service Delivery Manager — IT & Dave Hulbert
Telephony
Fujitsu Services: POA Head of Service Management Tony Atkinson
(*) = Reviewers that returned comments
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0.4 Associated Documents (Internal & External)
Reference Version Date Title Source
PGM/DCM/TEM/0001 1.0 13/6/06 Fujitsu Services RMG Account HNG-X Dimensions
(DO NOT REMOVE) Document Template
SVM/SDM/PRO/0012 Reconciliation and Incident Management - Dimensions
Joint Working Document
SVM/SDM/SD/0015 3.0 Reconciliation Service Description Dimensions
NB/SPE/002 Network Banking DRS On-line Workstation PvcS
Specification
0.5 Abbreviations
Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.
Abbreviation Definition
APS Automated Payment Service
cts Client Transmission Summary
pcp Debit Card Payment
ocs Debit Card System
DRS Data Reconciliation Service
ETS Electronic Top-Up Service
Fl Financial institutions
FTMS File Transfer Management Service
icc Integrated Circuit Card
PIN Personal Identification Number
POL FS Post Office Ltd. Financial System
POL MIS Post Office Ltd. Management information Service
POLSAP Post Office Ltd. Consolidated SAP System
Ts Transaction Management Service
TPS Transaction Processing Service
0.6 Glossary
Term Definition
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.
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
Genuine exceptions where transaction components belonging to the same high level
transaction are of different value, e.g. C12 (amount) not = to C4 (amount).
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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.
POL FS Transactions From a Branch / Post Office Ltd. perspective, a transaction that has been sent from
TPS to Post Office Ltd. POL FS. From a system perspective, a ‘C112’ transaction.
POLSAP: Post Office Ltd Consolidated SAP System
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 (C112, C12, C4, S & D) that make up a Network Banking
transaction. If no Bank Settlement date is available, the Reconciliation Date will be
set to the processing date that the Data Reconciliation Service first recorded any
element of the transaction being received. 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.
0.7 Changes Expected
Expected changes should the HNG-X design or solution require amendment to the RECONCILIATION
REPORTS provided by Fujitsu Services.
0.8 Copyright
© Copyright Fujitsu Services Limited 2011. 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) Automated Payment Service (APS) and the Transaction Processing Service (TPS) 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)
3. Transaction Processing System (TPS)
2 Scope
This document defines the format and content of all reconciliation reports for HNG-X, which satisfies the
DRS, APS and TPS 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:-
« 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.
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 alwa $ use the same currenc
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« NBOOO: DRS Summary
e NB101: Network Banking Settlement Statement
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 (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)
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:
« Post Office Ltd. / POL FS gateway: The Host writes the reports to a directory. These are
picked up by FTMS and posted to the POL FS gateway (as per other Host to external
systems applications).
e Fujitsu Services CS, DRS Workstation
5. Within report NB 102 the ‘Exceptions’ category will include:
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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).
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 and shading referred to in this
document) will not be included within the file. Every line will have the character ‘newline’,
Hex 'OA', 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 NBO000: 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
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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 appyyyymmddgggeeeeegeNBnnnsstttcur. TXT
End of Report
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3.2.1.2 NBOOO: Data Definition
NB000: 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 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:
Banking and I reports NB102 sections I for reports NB102 sections 6 I routing gateway for each report
Related 6 and 12 as there are and 12 as there are single number appyyyymmddgagagagagaNBnnnsstttcur. TXT,
Services or I single reports for all I reports for all routin, where
gle rep Pp iS
DCP). routing gateways. gateways. Shown against * app is a 3 character application code (e.g.
Will be “-“ Repeated for each each routing gateway Banking and Related Services or DCP)
where no routing gateway within I number .
application I application type * yyyymmdd is the report run date
type is * gggggggggg is the routing gateway number.
known. - For reports NB102 Sections 6 and 12 use
Repeated for ‘0000000ALL’
each
application « NBnnnss is the report number and section
‘ype. © tttis the transaction group. For NB1O1, 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)
eNn>
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:
LINK
Produced on: dd/mm/yyyy at hh:mm:ss
Run Date: dd/mmv/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 I 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 Ree’d +No of C4 Value of C4
Withdrawals Withdrawals Ree’d
Ree’d
Date I 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 Ree’d I Withdrawals Withdrawals Deposits Ree’d I Deposits Rec’d- I Routing Gateway
Rec'd Rec'd +No of C4 Value of C4 Reveat Date 1 for each
Withdrawals I Withdrawals Rec'd I, °Peat -ate I lor cae
, Institution with non zero
Ree’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
1
1
1
Repeat Date and Sub Total rows for each date that there is data to report.
TOTAL Total All Dates I Total All Dates Total All Dates I Total All Dates I 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 & POL FS exceptions
Section 2: Uncleared Exceptioned Client Transactions
Section 3: Uncleared Corruptions
Section 4: Uncleared Timing Differences
Section 5: Uncleared Confirmed, Unconfirmed & POL FS exceptions >24 hours
Section 6: Uncleared Future Dated Transactions by Client
Section 7: All Cleared Confirmed, Unconfirmed & POL FS exceptions
Section 8: Cleared Exceptioned Client Transactions
Section 9: Cleared Corruptions.
Section 10: Cleared Timing Differences
Section 11: Cleared Confirmed, Unconfirmed & POL FS 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: 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.
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
ena
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 & POL FS exceptions are reported as summary
totals by exception type - (NB102 section 1)
8. Uncleared Exceptioned Client Transactions are listed individually - (NB102 section 2)
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 & POL FS 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)
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13. All Cleared Confirmed, Unconfirmed & POL FS 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 & POL FS 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.
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, Post Office Ltd. may wish to
clear the exception manually. In this case, Fujitsu Services will set the transaction to
‘FQ’.
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 following codes
e 03 - Withdrawal; Magstripe & PIN Verification (Banking and Related Services)
e 04 - Withdrawal with balance; Magstripe & PIN Verification (Banking and Related
Services)
05 - Withdraw Limit; Magstripe & PIN Verification (Banking and Related Services)
13 - Withdrawal; Signature Verification (Banking and Related Services)
14 - Withdrawal with balance; Signature Verification (Banking and Related Services)
15 - Withdraw Limit; Signature Verification (Banking and Related Services)
22 - Cash Deposit; No Verification (Banking and Related Services)
27 - Cheque Deposit; No Verification (Banking and Related Services)
31 - Purchase; Magstripe & PIN Verification (DCS)
32 - Refund; Magstripe & PIN Verification (DCS)
41 - Purchase; Signature Verification (DCS)
42 - Refund; Signature Verification (DCS)
51 - Sale; No Verification (ETS)
52 - Refund; No Verification (ETS)
62 - Cash Deposit; ICC (Banking and Related Services)
63 - Withdrawal; ICC (Banking and Related Services)
64 - Withdrawal with balance; ICC (Banking and Related Services)
65 - Withdraw Limit; ICC (Banking and Related Services)
67 - Cheque Deposit; ICC (Banking and Related Services)
71 - Purchase; ICC (DCS)
* 72- Refund; ICC (DCS)
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.
ed
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3.3.1.1
exceptions
3.3.1.2
NB102: Section 1 - Report Layout
NB102: Section 1: All Uncleared Confirmed, Unconfirmed & POL FS
NB102 Section 1: All Uncleared
Confirmed, Unconfirmed & POL
MIS exceptions
Client: = LINK
Produced on:
dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
Currency: GBP
Exception Reconciliation Volume Values (8 sub columns)
Type Date
State I ete dd/mm/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
3.3.1.2.1_ NB102: Section 1 - Data Definition
NB102 Section 1: All Uncleared
Confirmed, Unconfirmed & POL
MIS exceptions
Client: (Derived from Routing
Gateway.)
Produced on:
(Date and time of report
production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: from
“currency’)
(Derived
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, E01-02 E04-06, E10-12, E14,
E20-24, E32, E34 -E36, E38
Received = New + Old
Reconciliation date: <= Run Date
End of Report
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3.3.1.3 NB102: Section 2: Uncleared Exceptioned Client Transactions
3.3.1.3.1NB102: Section 2 —- Report Layout
NB102 Section 2: Uncleared Client: = LINK 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
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:m Code (99) 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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3.3.1.3.2 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 I Transaction I Bank TxnId I Receipt Date I Receipt Time CAP Discrepancy I Values (8 sub
Reconciliation Date Id Type Type columns)
‘One row for each exception, Horizon_Txn_ I Txn_Type Bank_Transact I Receipt. Transa I Receipt_Transa 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: 2-15, 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 “Cconetlation cate: <™ Kun ate
for the same exception type, list
in descending order.
End of Report
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3.3.1.4 NB102: Section 3: Uncleared Corruptions
3.3.1.4.1 NB102: Section 3 —- Report Layout
NB102 Section 3: Uncleared 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(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:mm:ss Code (99) 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
3.3.1.4.2 End of Report
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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 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 7
total for each reconciliation System State: E27 —31
pra ror cae ma Received = New + Old
date and a grand total for the R iliation date: <= Run Dat
section. Where dates are shown I Reconciliation date: un, Date
for the same exception type, list
in descending order.
End of Report
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3.3.1.5 NB102: Section 4: Uncleared Timing Differences
3.3.1.5.1 NB102: Section 4 - Report Layout
NB102 Section 4: Uncleared 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 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:mm:ss Code (99) 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
3.3.1.5.2 End of Report
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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 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 7
date and a grand total for the I Svstem State: E39
° Received = New + Old
section. Where dates are shown I Reo: ign date: <= Run Dat
for the same exception type, list econetliation date: une
in descending order.
End of Report
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3.3.1.6 NB102: Section 5: Uncleared Confirmed, Unconfirmed & POL FS exceptions >24 hours
3.3.1.6.1 NB102: Section 5 — Report Layout
NB102 Section 5: Uncleared Client: ~~ LINK 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
3.3.1.6.2 End of Report
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NB102: Section 5 — Data Definition
NB102 Section 5: Uncleared Client: (Derived from Routing Produced on: (Date and time of production)
Confirmed, Unconfirmed & POL I Gateway.)
FS 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 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 I action_Time eason_Codes —_I transaction
grouped within reconciliation date component
witha sub fotal for cach I Swstem State: 1, 2, 4-11, 16-18 B01-02 E04-06, E10-12, E14, 20-24, E32, E34-E36, E38
reconciliation date and a grand total I RUPE
for the section. Note: an extra ee .
constraint for system states 2 & 18 is Reconciliation date: < Ran Date . . .
that the Branch must have harvested I ‘-° where transaction components have remained in the above incomplete states for >24 hours)
(TPS) successfully. Should a Branch
be confirmed as non-polling, system
states 2 & 18 for that Branch 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.
End of Report
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3.3.1.7. NB102: Section 6: Uncleared Future Dated Transactions by Client
3.3.1.7.1 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
3.3.1.7.2 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} 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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3.3.1.8
exceptions
3.3.1.8.1_ NB102: Section 7 —- Report Layout
NB102: Section 7: All Cleared Confirmed, Unconfirmed & POL FS
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & POL
FS exceptions
Client: = LINK
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 etc 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
3.3.1.8.2 NB102: Section 7 - Data Definition
NB102 Section 7: All Cleared
Confirmed, Unconfirmed & POL
FS exceptions
Client: (Derived from Routing
Gateway.)
Produced on:
(Date and time of report
production)
Run Date: (The period for which
the report refers)
Transaction Type: Deposit &
Withdrawal
Currency: from
‘currency’)
(Derived
Exception Type / Reconcili:
Volume
Values (8 sub columns)
Date Value of each transaction
component
One row for each system state For last reported System States: 1-2, 4-11, 16-18, E01-02, E04-06,
where exceptions are being El0-12, E14, £20-24, 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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3.3.1.9 NB102: Section 8: Cleared Exceptioned Client Transactions
3.3.1.9.1 NB102: Section 8 —- Report Layout
NB102 Section 8: Cleared Client: = LINK 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
E13 dd/mm/yyyy Char (32) Code (99) Char (6) dd/mm/yyyy hh:mm:ss Code (99) 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
3.3.1.9.2 End of Report
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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 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
orm Set to F99: New
reconciliation date and a Reconciliation date: <= Run Dat
grand total for the section. econenliation dates <= uA Fae
Where dates are shown for
the same exception type, list
in descending order.
End of Report
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3.3.1.10 NB102: Section 9: Cleared Corruptions
3.3.1.10.1NB102: 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:mm:ss Code (99) 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
3.3.1.10.2End of Report
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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
F Set to F99: New
date and a grand total for the R iliation Date: <= Run Dat
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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3.3.1.11 NB102: Section 10: Cleared Timing Differences
3.3.1.11.1NB102: 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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3.3.1.11.2NB102: Section 10 — Data Definition
NB102 Section 10: Cleared
Timing Differences
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 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 reported System States: E
4 oe Set to F99: New
section. Where dates are shown Reconciliation Date: <= Run Date
for the same exception type, list . “
in descending order.
End of Report
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3.3.1.12 NB102: Section 11: Cleared Confirmed, Unconfirmed & POL FS exceptions > 24 hours
3.3.1.12.1NB102: Section 11 — Report Layout
NB102 Section 11: Cleared Client: ~~ LINK 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 G2) Code (99) Char (6) dd/mmiyyy. 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/mmiyy: hh:mm:ss Code (99) _ I 9999999999,99
Sub Total 9999999999.99
Total Section 11 9999999999.99
3.3.1.12.2End of Report
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NB102: Section 11 — Data Definition
NB102 Section 11: Cleared Client: (Derived from Routing Produced on: (Date and time of production)
Confirmed, Unconfirmed & POL I Gateway.)
FS 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 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_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 component
reconciliation date with a sub total
for each reconciliation date anda I SOTO Foo Noy
grand total for the section. Note: . . . ‘ a . . .
an extra constraint for system Transactions that were included on report NB102 Section 5 on ‘yesterday’s’ reports and are not included in NB102 Section 5 on
states 2 & 18 is that the Branch I ‘today’s’ reports.
must have harvested (TPS)
successfully. Should a Branch be
confirmed as non-polling, system
state 2 & 18 for that Branch 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
End of Report
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3.3.1.13 NB102: Section 12: Cleared Future Dated Transactions by Client
3.3.1.13.1 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
3.3.1.13.2NB102: 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 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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3.3.1.14 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 Uneleared I Cleared
1 V 1&5 T&I
2 V Vv 1&5 T&I
4 V 1&5 T&I
5 v 1&5 7&1
6 Vv V 1&5 7&1
7 v V 1&5 7&1
8 V 1&5 7&1
9 V V 1&5 7&1
10 V V 1&5 7&1
u V v v 1&5 7&1
12 Vv 2 8
13 V Vv 2 8
14 Vv Vv 2 8
15 V V V 2 8
16 Then ¥ V 1&5 T&1
17 Vv Then V y 1&5 T&11
18 V Then ¥ V 1&5 T& 11
20 V Then ¥ 2 8
21 V V Then V 2 8
22 Vv V Then ¥ 2 8
23 V v NV Then ¥ 2 8
Shaded lines represent System States not expected to be reported within the Banking and Related
Services report set
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3.3.1.15 Exception State: Report Matrix
This table identifies the NB102 series report section where an exception is reported in detail.
Exception Description Exception report NB102
State Section
Uncleared Cleared
E01 Additional C112 1&5 7T&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
E10 C112 after final state 1&5 T&1
Ell C12 after final state 1&5 7T&U
El2 C4 after final state 1&5 7T&l
El3 D after final state 2 8
El4 S after final state 1&5 T&M
E15 Not Used
E16 Not Used
El7 Not Used
E18 Not Used
E19 Not Used
E20 Amount of C112#C12 1&5 7&l
E21 Amount of C112#C4 1&5 7T& ll
E22 Amount of C112#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 7&ll
E25 Amount of C112#D 2 8
E26 Amount of C124#D 2 8
E27 Incomplete/corrupt C112 3 9
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S 2) 9:
E32 Amount of C4#S & C4#0 1&5 T&il
E33 Amount of D#S 2 8
E34 C112 arrived after state F99 1&5 7&ll
E35 C12 arrived after state F99 1&5 7T&ll
E36 C4 arrived after state F99 1&5 T&L
E37 D arrived afier 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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£59” Setenort Oss ¥ Recon Oa = a
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4 APS Reconciliation
The diagram below shows the flow of transaction details APS to APS Client.
Counter Systems
Branch Access
Layer
Branch Database
APS Transactions Allfransactions
APS
Workstn Branch Database Pranch Database
Harvester nivester
APS Tlansactions AllTranspctions
v
APS le APS Txns TPS
Host Host
Transactions Client Summary AllTranshctions
Client via
EDG (POL)
End of Day Daily summaries are calculated at the BRDB to ensure that reconciliation can be
performed between TPS and the Counter Estate.
Transaction data is transferred from the Branch Database to the APS Host, this includes an APS
Transaction Summary from each branch.
TPS passes a file of all TPS-Harvested APS transactions to the APS host for reconciliation.
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The reconciliation procedure is run and produces a number of reports detailing the reconciliation
between the APS client payments and the corresponding transactions from TPS.
The APS Host system passes summaries of transactions that have been passed to APS Clients.
4.1 Reconciliation between Client Transmission files and
cTs
The end to end transaction flows are supported by validation processes which verify that the transactions
processed by the APS Host are consistent with the transactions included in each Client Transmission
File and with the CTS sub-file sent to Post Office Ltd.
This validation is carried out for the volume of normal transactions and the value of all transactions only
in each of these files. A Validation Status report (section 4.8) will be produced as part of this validation
process and the results of this notified to Post Office Ltd.
4.2 Accounting Sense
Reconciliation reporting operates on a seven day a week basis regardless of the Client file transmission
schedule (which may, for example, exclude weekends and bank holidays). In principle, reconciliation
reporting totals volume and value for transactions. It includes reversals by adding volume and
subtracting value.
Thus, for In-pay transactions:
e Volume is positive and added (net result: add)
e Value is positive and added (net result: add)
e Reversal volume is positive and added (net result: add)
e Reversal value is positive and subtracted (net result: subtract)
For Out-pay transactions:
« Volume is positive and added (net result: add)
e Value is negative and added (net result: subtract)
e Reversal volume is positive and added (net result: add)
e Reversal value is negative and subtracted (net result: add)
Reporting has to be able to show a representation of negative value. To be consistent with other
reconciliation reporting, this will be done with the use of brackets rather than the use of a prefix sign, e.g.
(23.42) represents the value -23.42.
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4.3 APS Reconciliation / Reporting Points
Four reconciliation points are identified.
The first Reconciliation Point is the main APS Host reconciliation and reporting point. It confirms the
APS accounts are balanced for the processing day and provides a balance statement, a Client delivery
summary report and a transaction exception report.
The second Reconciliation Point is transaction reconciliation between:
e the APS transactions at Branches;
« the APS transactions delivered by TPS to POLSAP;
e the APS transactions delivered by APS to Clients.
It provides a reconciliation summary report, transaction exception Client account and detailed reports.
The third Reconciliation Point reports on non-harvested branches.
The fourth Reconciliation Point is an intermediate point to help the operational management. It is not
necessary to meet requirements; it confirms consistency between:
«the APS transactions at branches;
« the APS transactions harvested by APS Clients.
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4.4 APS Reconciliation / Reporting Point 1
4.4.1 Description
e At the beginning of a normal processing day (about 8am), the APS Host is expected to have
delivered all APS transactions for previous processing days to Clients. However, there may be
some transactions left over because they have failed an APS validation check.
During normal branch hours action is taken to resolve these transactions and, once resolved, the most
likely outcome is that the transaction is returned into normal processing mode. However, the APS Host
system does cater for instances where an APS transaction cannot be returned to normal processing and
needs to be processed manually. Therefore, during normal branch hours exception transactions may be
returned to normal processing or, possibly in very rare circumstances, put into manual processing.
During the evening of the processing day APS transactions from counters are harvested and delivered to
the APS Host. The transactions are validated by the APS Host and are put into an exception state if
validation fails.
The APS Host delivers all valid APS transactions to APS Clients within the operational schedule leaving
the system with just the transactions in an exception state.
This reconciliation point is at the end of the processing day when all these transaction flows are
reconciled and reported.
4.4.2 APSS2133 - APS Daily Account Balancing Report
Objectives: To confirm that the APS transaction account balances for the processing day.
Users: Post Office Ltd and Fujitsu Services RMG Account
Frequency: At the end of each APS processing day.
Outline contents:
APS Daily Account Balancing Report
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
APS TPS
Number Value (£) Number Value (£)
Opening Balance 9,999,999 999,999,999,99 B/Ewd
Pathway Harvested Transactions 9,999,999 999,999,999,.99 9,999,999 _-999,999,999.99
Transactions Received from HAPS 9,999,999 999,999,999,99
Receipt Sub Total 9,999,999 999,999,999.99
APS Transactions Delivered to HAPS. 9,999,999 999,999,999.99
APS Transactions Delivered to Clients 9,999,999 — 999.999,999.99
APS Transactions Delivered to Manual 9,999,999 999,999,999.99
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APS Transactions Delivered to POLFS 9,999,999 999,999,999.99
Delivery Sub Total 9,999,999 999,999,999.99
Delayed APS Transactions 9,999,999 999,999,999.99 C/Fwd
Reconciliation Error 9,999,999 999,999,999.99 9,999,999 _-999,999,999.99
Sort order: As shown above.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Opening Balance: The Delayed APS Transactions (total number and total value) carried forward from
the previous days’ processing, i.e. the total number and total value of APS transactions delayed from the
previous processing day.
Pathway Harvested Transactions (Pathway should read BRDB but this is hard coded in the
report): The APS transactions (total number and total value) for all Clients harvested from branches for
both APS and TPS.
APS Transactions Delivered to Clients: The APS transactions (total number and total value) delivered
to the Clients for that processing day's transmission. The totals may include transactions from previous
days, e.g. as a result of transactions carried out after EOD.
APS Transactions Delivered to Manual: The APS transactions (total number and total value) that have
failed validation and Customer Services are to resolve manually.
APS Transactions Delivered to POLFS: The APS transactions (total number and total value) delivered
to POLFS for the current processing day.
Delivery Sub Total: The total number and total value of APS Transactions Delivered to BRDB, APS
Transactions Delivered to Clients and APS Transactions Delivered to Manual.
Delayed APS Transactions: The total number and total value of APS transactions delayed until the
following processing day. The Delayed APS Transactions appears as the Opening Balance in the next
days’ APS Daily Account Balancing Report.
Reconciliation Error: For APS: the Receipt Sub Total minus the Delivery Sub Total minus the Delayed
APS Transactions. For TPS: The Harvested Transactions (TPS) minus the APS Transactions delivered
to POLFS.
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
HAPS: HAPS is no longer part of the solution and all values and volumes relating to HAPS transactions
will therefore be zero.
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4.4.3 APSS2133b - APS Client Summary Report
Objectives: To provide a summary of the transactions, which have been delivered by APS during the
processing day. The summary is produced by the clearing agent (i.e. the organisation to which Fujitsu
Services has delivered the transactions). For each clearing agent, a breakdown is provided by Client
account for each transaction date.
consequently are not reported here.
Users: Post Office Ltd and Fujitsu Services RMG Account
Frequency: At the end of each APS processing day
Outline contents:
Processing Date: dd/mm/yyyy
APS Client Summary Report
Report Date:
Report Time:
Transactions delivered to Manual are processed manually and
dd/mm/yyyy
hh:mm:ss
Client Sub Total
Clearing Client Client Account Name Transaction Transaction Totals
Agent Account Date
Number Value (£)
Client 6 SSSS Client 6 dd/mm/yyyy — 9,999,999 999,999,999.99
dd/mm/yyyy — 9,999,999 999,999,999.99
Client Sub Total 9,999,999 999,999,999.99
Clearing Agent Total 9,999,999 999,999,999.99
Alliance & nnnn Client 1 dd/mmv/yyyy — 9,999,999 999,999,999.99
Leicester
dd/mm/yyyy 9,999,999 _-999,999,999.99
Client Sub Total 9,999,999 999,999,999.99
0000 Client 2 dd/mm/yyyy 9,999,999 999,999,999.99
Client Sub Total 9,999,999 999,999,999.99
Clearing Agent Total 9,999,999 999,999,999.99
HAPS ppp Client 3 dd/mm/yyyy 9,999,999 _999,999,999.99
dd/mm/yyyy 9,999,999 999,999,999.99
Client Sub Total 9,999,999 999,999,999.99
qaqa Client 4 dd/mm/yyyy 9,999,999 _-999,999,999.99
9,999,999
999,999,999.99
rrr Client 5 dd/mmv/yyyy — 9,999,999 999,999,999.99
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Client Sub Total 9,999,999 999,999.999.99
Clearing Agent Total 9,999,999 999,999,999.99
Grand Total 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Sort order: The sort order will be ascending on Clearing Agent. Within each of these, the sort order will
be ascending by Client Account and within that by Transaction Date in reverse chronological order.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Clearing Agent: The organisation to which the APS transactions for the listed Client accounts have
been sent by Fujitsu Services.
Client Account: The number of the Client account for which APS transactions have been delivered.
Client Account Name: The name of the Client account for which APS transactions have been
delivered.
Transaction Date: The chronological date on which the transaction was committed on the HNG-X
Counter system. The entry on this report is normally the current transaction day but can include earlier
dates due to late harvesting or delayed APS Transactions (see section 5.1.2).
Transaction Totals: The total number and total value of APS transactions delivered for the Client
account for the transaction date.
Client Sub Total: The sum of the total number and total value of APS transactions delivered to the
clearing agent for the specific corresponding Client account for all transaction dates.
Clearing Agent Total: The sum of the total number and total value of APS transactions delivered to the
clearing agent for all the corresponding Client accounts for all transaction dates.
Grand Total: The sum of the total number and total value of APS transactions delivered to all clearing
agents for all transaction dates.
Reconciliation Error: The Grand Total minus the APS Transactions delivered to HAPS on the APS
Daily Account Balancing Report (see section 5.1.2) minus APS Transactions Delivered to Clients on the
APS Daily Account Balancing Report (see section 5.1.2).
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
HAPS: HAPS is no longer part of the solution and all values and volumes relating to HAPS transactions
will therefore be zero.
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44.4 APSS2133c - APS Delayed Transactions Report
Objectives: To provide details of all transactions which have not been delivered by Fujitsu Services
because they have been delayed within the APS Host system. Initial Customer Support resolution will
cause the transactions to be returned for normal processing or sent to manual for manual processing. No
equivalent report is produced for APS transactions in TPS as there is no delaying mechanism in the TPS
Host System. All transactions are passed through to POLFS.
Users: Post Office Ltd and Fujitsu Services RMG Account
Frequency: At the end of each APS processing day.
Outline contents:
APS Delayed Transactions Report
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
Transaction Date Transaction Details Value (£) Error Message
dd/mm/yyyy APS Transaction Details 1 999,999,999.99 Reason for Delay 1
APS Transaction Details 2 999,999,999.99 Reason for Delay 2
APS Transaction Details 3 999,999,999.99 Reason for Delay 2
dd/mm/yyyy APS Transaction Details 4 999,999,999.99 Reason for Delay 1
APS Transaction Details 5 999,999,999.99 Reason for Delay 3
TOTAL (Count) 999,999,999.99
Reconciliation Error (Count) 999,999,999.99
Sort order: Chronological order on Transaction Date. Within this, the sort order will be ascending on
Transaction Details.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The chronological date on which the transaction was committed on the HNG-X
Counter system. The entry on this report is normally the current transaction day but can include earlier
dates due to late harvesting or delayed APS Transactions (see section 5.1.2).
Transaction Details: Details of the APS transactions which have been delayed. The Transaction Details
will appear in the order shown below and will be:
Clearing Agent.
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Client Account & Name.
Client Code.
Item.
FAD Code.
Time.
Customer Reference.
Receipt Reference.
Receipt Serial Number.
Reversing/ Reversed Receipt Reference.
Reversing/ Reversed Receipt Serial Number.
Transaction Type.
Error Message: The reason the APS transaction has been delayed. This includes problems concerning
transaction validation checks.
Reconciliation Error: The Total for the Count and Value of transactions minus the Delayed APS
Transactions (Number and Value) on the APS Daily Account Balancing Report (see section 5.1.2).
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.5 APS Reconciliation / Reporting Point 2
4.5.1 Description
Normally, APS transactions flow through the TPS Host to POLSAP and through the APS Host system to
Clients within the same working day. However, the rules associated with the processing of APS
transactions within the TPS Host and the APS Host systems are different. Consequently, transactions
may be placed in exception status by APS but be accepted as valid by TPS. This reconciliation point is
at the end of the processing day. It reconciles the:-
e APS transactions at Branches;
e APS transactions delivered by TPS to POLSAP;
« APS transactions delivered by APS to Clients.
It maintains a record of which transactions have passed through the TPS side and which transactions
have passed through the APS side and on a daily basis it reports transactions which have been
processed by one side and not the other.
4.5.2 APSS2136 - Daily TPS / APS Transaction Reconciliation
Summary Report
Objectives: To compare Branch APS transaction totals with the actual POLFS and Client delivered APS
transaction totals for the last N days. There may be some error conditions where some differences will
show for the most recent days; but all these differences will disappear in a very few days after the
processing date demonstrating that all APS transactions at Branches are delivered to POLFS and
Clients.
Users: Post Office Ltd and Fujitsu Services RMG Account
Frequency: At the end of each APS processing day.
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Outline contents:
Daily TPS / APS Transaction Reconciliation Summary Report
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
Office Transactions Pathway Delivered Difference (1
Transaction Number Value (£) Number Value (£) Number Value (£)
Date
Date I 9,999,999 999,999,999.99 POLFS 9,999,999 999,999,999.99 9,999,999 —999,999,999.99
Clients 9,999,999 999,999,999.99 9,999,999 999,999,999.99
Difference (2) 9,999,999 999,999,999.99
Date 2 9,999,999 999,999.999.99 POLFS 9,999,999 999,999.999.99 9,999,999 999,999,999.99
Clients 9,999,999 — 999,999,999.99 9,999,999 999,999,999.99
Difference (2) 9,999,999 —999,999,999.99
Date N 9,999,999 999,999,999.99 POLFS 9,999,999 —_999,999,999.99 9,999,999 999,999,999.99
Clients 9,999,999 999,999,999.99 9,999,999 999,999,999.99
Difference (2) 9,999,999 — 999,999,999.99
Sort order: Reverse chronological order on Transaction Date.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The last N dates for which transactions were delivered and for which differences in
the total number and/or total value of:
« APS transactions at Branches;
e APS transactions delivered by TPS to POLFS;
« APS transactions delivered by APS to Clients,
have been identified and still exist.
Office Transactions: The total number and total value of APS transactions at Branches for the
corresponding transaction dates.
PathwayDelivered Transactions (Pathway should read BRDB but this is hard coded in the
report): The total number and total value of POLFS and Client delivered APS transactions for the
corresponding transaction dates.
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Difference (1): The Branch Transactions number and value minus the POLFS number and value, and
the Branch Transactions number and value minus the Client number and value for the corresponding
transaction dates.
Difference (2): The POLFS number and value minus the Client number and value for the corresponding
transaction dates.
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.5.3 APSS2136b - Daily TPS / APS Transaction Reconciliation
Client Account Exception Report
Objectives: To identify Client account exceptions when comparing the actual POLFS and Client
delivered APS transaction totals for the last N days.
Users: Fujitsu Services RMG Account
Frequency: At the end of each APS processing day.
Outline contents:
Daily TPS / APS Transaction Reconciliation Client Account Exception Report
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
Clearing Agent Client Account Pathway Delivered
No & Name
Transaction Number Value (£)
Date
Date 1 Alliance & Client 1 POLFS 9,999,999 999,999,999.99
Leicester
Client 9,999,999 999,999,999.99
Difference 9,999,999 999,999,999.99
Client 2 POLFS 9,999,999 999,999,999.99
Client 9,999,999 999,999,999.99
Difference 9,999,999 999,999,999.99
Client 3 Client 3 POLFS 9,999,999 999,999,999.99
Client 9,999,999 999,999,999.99
Difference 9,999,999 999,.999,999.99
HAPS. Client 4 POLFS 9,999,999 999,999,999.99
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Client 9,999,999 999,999,999.99
Difference 9,999,999 999,999,999.99
Total Difference 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Date N Alliance & Client 1 POLFS 9,999,999 999,999,999.99
Leicester
Client 9,999,999 999,999,999.99
Difference 9,999,999 999,999,999.99
Total Difference 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Sort order: Reverse chronological order on Transaction Date. Within this, the sort order will be
ascending on Clearing Agent.
Within this, the sort order will be ascending on Client Account.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The last N dates for which transactions have delivered for which differences in the
total number and/or total value of TPS and APS delivered APS transactions have been identified and
still exist at Client account level.
Difference: For each date and Client, the POLFS number and value minus the Client number and value
for delivered.
Clearing Agent: The organisation to which the APS transactions for the listed Client accounts have
been sent by Fujitsu Services.
Client Account No and Name: The Client account number and name for which differences in the total
number and/or total value of TPS and APS delivered APS transactions have been identified and still
exist at Client account level.
Pathway Delivered: The total number and total value of POLFS and Client delivered APS transactions
for the corresponding transaction dates.
Total Difference: The total Number and total Value of the Difference for all Clients for the specified
date.
Reconciliation Error: Total Difference minus Difference (2) from the Daily TPS / APS Transaction
Reconciliation Summary Report for the specified date (see section 5.2.2).
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
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HAPS: HAPS is no longer part of the solution and all values and volumes relating to HAPS transactions
will therefore be zero.
4.5.4 APSS2136c - Daily TPS / APS Transaction Reconciliation
Detail Exception Report
Objectives: To report all transactions for the last N days which are different in POLFS to Client delivery.
Differences may occur either as a result of some error condition, or in the case of unmatched
TPS/POLFS transactions, as a result of business processing rules being different from those of
APS/Client transactions.
Users: Fujitsu Services RMG Account
Frequency: At the end of each APS processing day.
Outline contents:
Daily TPS / APS Transaction Reconciliation Detail Exception Report
Processing Date: dd/mm/yyyy Report Date: dd/mmv/yyyy
Report Time: hh:mm:ss
Transaction Source Transaction Details Error Message
Date
Date I TPS/POLFS TPS/POLFS Transaction Details 1 Discrepancy I
APS/Client APS/Client Transaction Details 1 Difference 1
TPS/POLFS TPS/POLFS Transaction Details 2 Discrepancy 2
APS/Client APS/Client Transaction Details 2 Difference 2
TPS/POLFS Only Count 9,999,999 “Unmatched”
APS/Client Only Count 9,999,999 Difference 3
Number Value (£)
Total Difference 9,999,999 999,.999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Date 2 TPS/POLFS TPS/POLFS Transaction Details 3 Discrepancy 3
APS/Client APS/Client Transaction Details 3 Difference 1
TPS/POLFS Only Count 9,999,999 “Unmatched”
APS/Client Only Count 9,999,999 Difference 3
Number Value (£)
Total Difference 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Date 3 TPS/POLFS TPS/POLFS Transaction Details 3 Discrepancy 3
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APS/Client APS/Client Transaction Details 3 Difference 1
Number Value (£
Total Difference 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Date N TPS/POLFS TPS/POLFS Transaction Details n Discrepancy n
APS/Client APS/Client Transaction Details n Difference n
Number Value (£
Total Difference 9,999,999 999,999,999.99
Reconciliation Error 9,999,999 999,999,999.99
Sort order: Reverse chronological order on Transaction Date. Within this, the sort order will be
ascending on Transaction Details as defined below.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The last N dates for which transactions have been delivered and for which
differences in the total number and/or total value of TPS and APS delivered APS transactions have been
identified and still exist at a detailed level.
Source: Identifies whether the exceptions are due to TPS/APS harvesting discrepancies or due to
POLFS/Client delivery discrepancies.
Transaction Details: Details of the APS transactions for which a TPS/APS harvesting exception or a
POLFS/Client delivery exception has been identified for the corresponding transaction dates. The
Transaction Details will be:
FAD Code.
Time.
Receipt Reference.
Receipt Serial Number.
Transaction Type.
Client Code.
Customer Reference.
Method of Capture.
Value.
Clearing Agent.
DHRAAAAARKRARR
Client Account and Name.
Reversing/Reversed Receipt Reference. s
Reversing/Reversed Receipt Serial Number. S
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Key to above:
K=> Transactions from APS are matched with APS transactions from TPS on these fields. All
transactions for which no match can be made appear in this report with the error message “Unmatched”.
In addition to the marked fields, above, “Transaction Date” is a “K” field.
C=> Matching APS transactions from APS and TPS are compared on these fields. If any of these
fields are different, both transactions appear on this report with the appropriate error message.
S => Fields shown from the APS transaction only
TPS/POLFS Only: Unmatched TPS transactions are transactions that appear in TPS and are delivered
to POLFS but for which there are no matching APS transactions. Such transactions may occur, for
example, due to business processing rules for TPS and APS being different. For Dates 1 and 2 only,
unmatched TPS transactions will not be detailed individually, but a total count and value will be entered.
For Dates 3 to N, unmatched TPS transactions will be detailed individually.
APS/Client Only: Unmatched APS transactions are transactions that appear in APS and are delivered
to Clients but for which there are no matching TPS transactions. Such transactions are not expected
other than in error conditions. For Dates 1 and 2 only, unmatched APS transactions will not be detailed
individually, but a total count and value will be entered. For Dates 3 to N, unmatched APS transactions
will be detailed individually.
Error Message: The error message identifying the APS transaction discrepancy. This includes problems
concerning synchronisation between HNG-X and POLFS on Client accounts, HNG-X security checks,
and transaction validation checks. The message “Unmatched” will be used for unmatched TPS or APS
transactions.
Difference: The Value of the TPS/POLFS Transaction minus the Value of the APS/Client Transaction.
Note: Difference 3 is the Unmatched TPS Value minus the Unmatched APS Value.
Total Difference: The Count of the total Number of TPS Transactions minus the total Number of APS
Transactions, and the total Value of the Difference for all Transactions for the specified date.
Reconciliation Error: Total Difference minus Difference (2) from the Daily TPS / APS Transaction
Reconciliation Summary Report for the specified date (see section 5.2.2).
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.6 APS Reconciliation / Reporting Point 3
4.6.1 Description
The APS Harvester Reconciliation was used to ensure all Horizon Branches had been harvested. As
HNG-X does not rely on harvesting of transaction this report is no longer relevant.
4.6.2 APSS2139 - Daily APS Office Harvesting Report
The APS Harvester Reconciliation was used to ensure all Horizon Branches had been harvested. As
HNG-X does not rely on harvesting of transaction this report is no longer relevant.
4.7 APS Reconciliation Point 4
4.7.1 Description
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The APS measures the difference between what the BRDB passed to APS and what BRDB thought that
it passed to APS — the two may differ.
BRDB creates a summary of all transactions by branch and passes this to APS. APS adds up all the
transaction detail that was given to it and compares to the summary. Where there is a difference it is
reported.
4.7.2. APSS2140 - APS Harvester Transaction Totals Summary
Objectives: To provide Branch totals and harvested totals by transaction date for each of the last N
transaction days for the APS Harvester. When errors occur the differences will show for the most recent
days but all these differences will disappear within a very few days of the processing date.
Users: Fujitsu Services RMG Account
Frequency: Following completion of the APS harvester each day
Outline contents:
APS Harvester Transaction Totals Summary
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
Transaction Office Totals APS Harvested Totals Difference
Date
Number Value (£) Number Value (£) Number Value (£)
Date 1 9,999,999 999,999,999.99 9,999,999 999.999,999.99 9,999,999 999,999,999.99.
Date 2 9,999,999 999,999,999.99 9,999,999 999,999,999.99 9,999,999 —999,999,999.99
Date N 9,999,999 999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999,999.99
Sort order: Reverse chronological order on Transaction Date.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The last N dates for which transactions have been harvested and for which
differences in the total number and/or total value of:
e APS transactions at Branches;
e Transactions harvested by APS.
have been identified and still exist.
Office Totals: The total number and total value of Branch APS transactions for the given date from
Branches that have been harvested.
APS Harvested Totals: The total number and total value of APS harvested APS transactions for the
given date.
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Difference: The Branch Totals (number and value) minus the APS Harvested Totals (number and value)
for each Transaction Date.
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.7.3 APSS2140b - APS Harvester Transaction by Office
Objectives: To provide details by Branch code of any discrepancies that exists in the overall totals
shown in the APS Harvester Transaction Totals Summary (see section 5.4.2).
Users: Fujitsu Services RMG Account .
Frequency: Following completion of the APS harvester each day.
Outline contents:
APS Harvester Transaction Totals by Office
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
Transaction FAD Office Totals APS Harvested Totals Difference
Date
Number Value (£) Number Value (£) Number Value (
Date 1 123456 9,999,999 — 999,999.999.99 9,999,999 999,999,999.99 9,999,999 999,999.96
345678 9,999,999 —999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999.96
456654 9,999,999 — 999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999,965
Total 9,999,999 999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999.96
Reconciliation Error 9,999,999 999,999.96
Date N 123456 9,999,999 —999,999,999.99 9,999,999 999,999,999.99 9,999,999 — 999,999,9¢
345678 9,999,999 — 999,999,999.99 9,999,999 999,999,999.99 9,999,999 — 999,999,9¢
456654 9,999,999 — 999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999.96
Total 9,999,999 —999,999,999.99 9,999,999 999,999,999.99 9,999,999 999,999.96
Reconciliation Error 9,999,999 999,999.96
Sort order: Reverse chronological order on Transaction Date. Within that ascending on Branch Code.
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Transaction Date: The last N dates for which transactions have been harvested and for which
differences in the total number and/or total value of:
e APS transactions at Branches;
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e APS transactions harvested by APS
have been identified and still exist.
FAD Code and Name: The Post Office Ltd Branch code and Branch name identifying the Branch for
which TPS/APS harvesting discrepancies still exist.
Office Totals: The total number and total value of Branch APS transactions for the given date and
harvested Branch.
APS Harvested Totals: The total number and total value of APS harvested transactions for the given
date and Branch.
Total: The total number and total value of the transactions for all Branches for the specified date.
Reconciliation Error: The Total number and value minus the corresponding entries from the APS
Harvester Transaction Totals Summary for the specified date (see section 5.4.2).
Difference: The Branch Totals (number and value) minus the APS Harvested Totals (number and value)
for each Transaction Date.
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.8 APS2134 - APS Validation Status Report
Objectives: To identify the success or failure of the APS Validation process. This compares the volume
of normal transactions and the value of all transactions between each Client Transmission file and the
corresponding fields in the CTS sub-file.
Users: Fujitsu Services RMG Account
Frequency: At the end of each APS processing day
Outline contents:
APS Validation Status Report
Processing Date: dd/mm/yyyy Report Date: dd/mm/yyyy
Report Time: hh:mm:ss
[ Report message
Field derivations:
Report Date: The date the report was generated.
Report Time: The time the report was generated.
Processing Date: The logical system date set by the APS Host Batch Schedule. This date is constant
for one processing cycle of the daily schedule.
Report Message: If all APS validation was successful, the message will be
[ All APS Client transmission files and CTS validated successfully I
If any validation of a file fails, the message will be:
Validation Error on [filename] for Client: [Client account and name] Count Value
Transaction Tables 9,999,999 999,999,999.99
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I File 9,999,999 999,999,999.99
Or
Validation Error on Client Transmission Summary Count Value
Transaction Tables 9,999,999 999,999,999.99
File 9,999,999 999,999,999.99
The appropriate message will appear for all files that fail the validation.
Value fields: If any value to be reported is negative, then it shall be enclosed in brackets. For example,
the value -£4.23 shall be shown as (4.23).
4.9 APS Report Delivery
Reports for Post Office Ltd are delivered in accordance with security and audit requirements.
Reports for Fujitsu Services RMG Account are delivered to the MIS Client PC in BRAO1 via FTP.
The 5 APS reports shown below are then sent via email to Post Office Ltd:
1. APSS2133
2. APSS2133b
3. APSS2133c
4. APSS2136
5. APSS2139
4.10 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.
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5 TPS Reconciliation Reports Specified
The Transaction Processing System (TPS) Report Set has been designed to enable reconciliation of the
transactions carried out in Post Office branches using the Electronic Point of Sale Service (EPOSS)
which are sent to POLSAP and POLMIS.
The TPS exceptions report set identified herewith reports errors that have occurred within counter
transactions or during the harvesting process.
NB: For the avoidance of doubt, there is no formal reconciliation produced between the POLSAP and
POLMIS transaction stream. The POLMIS stream should therefore not be used to verify financial
integrity and Post Office Ltd should ensure the TPS Report Set and POLSAP transaction stream are
used for this purpose.
IT IS NOT INTENDED THAT FUJITSU SERVICES WILL DELIVER ANY OF THE TPS
RECONCILIATION REPORT SET IDENTIFIED HEREWITH TO POST OFFICE LTD.
The reports specified below are Horizon based Reconciliation Report set.
5.1 TPSC250 - Host Detected Transaction Control Errors
This report is produced daily and shows detail for any Post Office branch where the control totals for the
transactions output by the Host to POLFS and POLMIS do not match the Daily Transaction Totals
calculated by the Counters.
TPS RECONCILIATION REPORTS RUN DATE/TIME: 26/10/2006°20:52:53 Page No: 1
PROGRAM: TPSC250
Host Detected Transaction Control Errors
Org Unit Id Group Id Trading Date Number Abs Quantity Absolute Value
69303 128006 ——- 26/10/2006. TPS Total 3097 7
Counter Total 3098
2951
The following data is reported for each exception.
e Organisation Unit Id: Unique identifier for each POCL Branch.
e Group Id: Normally 6 digit Branch Code
e Trading Date: Trading Date is the period of time between consecutive public end of day markers
in message store.
e TPS Total: Control Totals for Number, Absolute Quantity and Absolute Value calculated by the
Host
* Counter Total: Control Totals for Number, Absolute Quantity and Absolute Value calculated by
the Counter.
An “END OF REPORT” message will appear at the end of the report even if there are no errors reported.
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5.2 TPSC254 — Harvester Exceptions
This report is produced daily and shows a list of exceptions detected by the BRDB copy process when
failing to process one or more messages
19% RECONCILIATION REPORTS UN DATE/TIME: 26/10/2006 20:52:54 PAGE Wor
PROGRAM: TPSC254
gey:-100><Pgty:0><
Deh 313007><L4:3008><L53
ERTRY_MEHOD
(uaa
we
1
vasio02
Be
mano.
129006
26 Mane
[EFFECTIVE_EXCHANGE_ RATE ‘lun 32 Value:
1 EXCHANGE, RATE Colin 32 ¥alue
‘column 34 Yale
‘column 37 ¥alue: 0
Column 39 ¥alue: NULL
STOCK gu
Along with the exception details briefing the reason for the rejection by the BRDB copy process, the
report also shows the contents of the corrupted or incomplete record split up into columns.
An “END OF REPORT” message will appear at the end of the report even if there are no errors reported.
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5.3. TPSC257 — POLFS Incomplete Summaries Report
This report identifies all Post Office branches on a daily basis in which the net total of transactions (debits/credits) does NOT net to a value of zero.
This report also contains any branch that has had a harvester exception as on the TPSC254 report.
FUJITSU SERVICES TRANSACTION PROCESSING SYSTEM Page Not 1
POL FS INCOMPLETE SUMMARIES REPORT FOR 26-OCT-2006
(LIST OF HELD UP POL FS SUMMARIES WHERE THE TOTAL VALUE FROM BRANCH AND TRADING DATE DID NOT BALANCE TO ZERO)
Report No.: TPSC257
Produced on: 26/10/2006 20:
Trading Date Group Id_ Article Id Article Type Trans Mode Acronym Settlement Type Ledger Account: Movement Type Account Value Account Quantity Account
Reference Id Client Reference
26-OCT-2006 129006 50 RU “1 +0
128006 50 RD +0 +0
128006 99 @ 552001 1099
128006 byoo000253 00. -11.
128006 sA00000141 40, sc P 120699 +249 +10
26-OCT-2006 128006 9A00000136 40 sc E 120012 251 +0 5
26-0cT-2006 128006 sA00000115 40, sc P 120740, 499 4
26-OCT-2006 128006 SA00000056 40, sc E 120007 +90.0 2
26-0cT-2006 129006 SA00000055 40, sc E © 120007 +66. 41
26-0cT-2006 128006 sA00000053 40, si c c 120184 +830 +5
26-0cT-2006 129006 sA00000052 40, sc E c 120003 +0. at
26-OCT-2006 128006 SA00000050 40, sc E 120003 +3694. “4
26-0CT-2006 129006 sAo0000048 © 40, sc E 120003 428719. 457
26-0cT-2006 128006 SA00000043 40, sc c 120088 +922. 416
26-0cT-2006 129006 SA00000036 40, sc © 120088 -456 +8
26-0cT-2006 128006 $A00000035 40, sc € c 120184 -1916. “4
26-0cT-2006 129006 sA00000031 40, sc P © 120008 3750. 433
26-OCT-2006 128006 SA00000013 40, sc P ce 120748 4246. 415
26-0cT-2006 128006 sAo0000010 40, sc P © 121573, 446 457
26-OCT-2006 128006 QvBo000001 «33 ppp E € 120012 951 35.0 3501
26-0cT-2006 129006 QvBoo00001 «33 sc E © 120012 251 4114 411452
26-OCT-2006 128006 9080001229 13 sc P c 120005, 251 +08 422
26-OCT-2006 128006 9080001226 13 sc E S 120012 251 #2 +4
26-OCT-2006 128006 Q0B0001200 13 sc E 120012 251 +5. +8
Total Number of Held Back Sub-file(s) = 1
‘This is delta position for the date, not the cumulative position of POL FS Incomplete Summaries
‘4s End of Report ***
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The following data is reported for each branch.
Data Attribute
Description
Trading Date
‘The Calendar Date that the EOD Marker was written. EOD Marker defines the
end of a Trading Day. N.B. The time the EOD Marker is written varies from
Branch to Branch.
Group Id Group Id (Branch Code without the check sum) for the branch.
Article Id POL FS Article
All HNG-X Products will map to a POL FS Article. This may be a dummy article
to facilitate the consistent mapping of all Products.
Dummy articles will be for items such as Cash in hand, cheques etc that will not
map to an article in POL FS but actually map to a GL or Agent Account instead.
Transaction HNG-X Mode the product was transacted in, e.g. Sell, Rem In, Revaluation, etc.
Mode Id
Settlement Defines which data is used to settle with the Client
P = Post office data
C = Client Data
E = Estimated data
This is required as there will be a different indicator used within POL FS to
differentiate these data types. (Special GL indicator).
This is optional as it is only relevant to Client products and transactions that need
to feed the Client ledger.
Ledger Defines which Ledger the POL FS account belongs in
G = General Ledger
Client Ledger (AP)
A= Agents Ledger (AR)
POL FS uses three different ledgers and needs to know which ledger each
account number is part of.
This field is optional in the file because records that relate only to stock
movements with no financial impact will not map to an account in any ledger.
Account POL FS account number
This is the account number within the Ledger defined above. This field is optional
in the file because records that relate only to stock movements with no financial
impact will not map to an account in any ledger.
Movement Type
POL FS Movement type
This is only relevant for stocked products and allows different movement types
such as REM in, REM out, and adjustments to be shown differently in SAP.
There will be a consistent mapping between certain modes to movement types
but these will only be valid for particular Articles.
Account
Reference Id
Transaction Identifier (this field is needed if the information is being sent
unsummarised)
Controlled by reference data.
[DN: This is either the LFS Pouch Identifier or Transaction Correction ID. These
are mutually exclusive and can therefore be harvested into a single NEW
attribute in the TPS interface table called AccountReference .]
Client
Reference
Client Reference number (supplied by Client)
This will only be used for the actioned Transactions Correction being passed back
to POL FS against the Client products.
An “END OF REPORT” message will appear at the end of the report even if there are no errors reported.
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