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Document Title: Network Banking End to End Reconciliation Reporting
Document Type: Reconciliation Report Specification (AIS)
Release: N/A
Abstract: This document specifies the reconciliation report output to satisfy
the end to end reconciliation of the Network Banking Stream
Document Status: APPROVED
Originator & Dept: Richard Brunskill: ICL Pathway Management Support
Contributors: Richard Hicks: ICL Pathway, Linda Austin: PON
Reviewed By: POL: Linda Austin: Bob Booth: Peter Jones: Sue Harding: Glenys
Latham; Clive Reed: Steve Grayston, Claire Bennett, Jayne
Widdowson
ICL Pathway: Richard Hicks: Roger Donato: John Pope: Pete
Chandler:: Dave Johns: Michael King, Nathan Monk, Dina
Chauhan, Angela Shaw
Comments By:
Comments To:
Distribution: Reviewers & PVCS
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0.0 Document Control
0.1 Document History
\Version No. Date [Reason for Issue (Associated
(CP/PinICL
(0.1 16/06/01 First draft for review
(0.2 20/06/01 Second draft for review following POL discussion
\workshop and other comments from reviewers.
0.3 2/08/01 [Third draft for review following POL discussion
vorkshop and other comments from reviewers.
0.4 27/09/01 [Fourth draft for review following POL discussion
orkshop and other comments from reviewers.
0.5 3/12/01 Fifth draft for review following POL discussion
lworkshop and other comments from reviewers.
1.0 19/12/01 Fifth draft for approval following POL discussion
vorkshop and other comments from reviewers.
0.2 Approval Authorities
jame Position Signature [Date
john Pope ICL Pathway
‘Sue Harding IPON / BDA
(Clive Reed IPON / TDA
0.3 Associated Documents
Reference Version [Date (Title Source
INB/SPE/002 etwork Banking DRS On- {ICL Pathway
ine Workstation Specification [PVCS
INB/SDS/004 ‘System Design Specification I[CL Pathway
for Network Banking PVCS
[Reconciliation
(CR/SPE/028 etwork Banking — ICL Pathway
(Transaction States and Data PVCS
Flows
INB/PRO/002 etwork Banking ICL Pathway
Reconciliation & Incident PVCS
janagement
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
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0.4 Abbreviations/Definitions
(Abbreviation
[Definition
[Authorised Client
\Transaction Awaiting
(Confirmation (ACTAC)
[From a ‘Client’ perspective, a transaction that has been authorised
lbut within the NBE has not yet been matched with the Counter
(Confirmation. This signifies projected settlement awaiting the
(Confirmed Client Transaction. From a system perspective, an ‘S’
itransaction.
(Column Date
[For Reports NB101a and NB101b the Reconciliation Date applicableI
jto each column of the reports.
(Confirmed Client
\Transaction (CCT)
From a ‘Client’ perspective, a transaction that has been authorised to
either debit or credit an account. From a system perspective, a ‘C4’
itransaction.
(Counter Confirmations
[From an outlet / PON perspective, a successfully completed
transaction at the counter. From a system perspective, a ‘C12’
itransaction.
IExceptioned Client
\Transaction (ECT)
From a Client perspective, a transaction reconciliation difference
ighlighted within the NBE and notified to Horizon. From a system
erspective, a ‘D’ transaction.
[Exception Types
IWithin all reports the ‘Exceptions’ category will include:
le ‘Incomplete States’, i.e. those transactions where one or more
transaction component is missing — a C4 without a C12 etc
le Genuine exceptions where transaction components belonging to
the same high level transaction have been exceptioned, i.e. C12
(amount) not = to C4 (amount) etc.
le NBE/ DRS corruption’s
‘New’ Transactions
\Transactions that have had a change of state since they were last
reported, or have never been reported except in NB102 section 11.
ote that if a transaction appears in NBO12 section 11 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
thought they have not appeared on the reports before.
‘Old’ Transactions
(Transactions that have NOT had a change of state since they were
llast reported.
[Reconciliation Date
IThe Reconciliation Date is the date attributed to a transaction to
allow PON to reconcile. It will be set the first available Bank
Settlement date from the transaction elements (C112, C12, C4, S &
ID) 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
ny 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
lhas been accounted for on the reconciliation reports, the
[Reconciliation Date will never change.
[Routing Gateway
[This refers to the Routing_Gateway as defined in Network Banking
- Transaction States and Data Flows (CR/SPE/028)
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[Run Date [This is the System Processing Date for which the report refers, i.e.
lall 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 will assign a Settlement Date in the future: e.g. the
following Monday may be set on transactions processed on the
receding Friday, Saturday and Sunday.
ITIP Transactions [From an outlet / POL perspective, a transaction that has been sent
from TPS to POL TIP. From a system perspective, a ‘C112’
itransaction.
B/F [Brought Forward
C/E (Carried Forward
(CAP (Cash Account Period
(CBDB (Counters Business Data Base (POL)
ICS (Customer Service (ICL Pathway)
IDRS [Data Reconciliation Service
IEPOSS Electronic Point Of Sale Service
SU janagement Support Unit (ICL Pathway)
POL Post Office Limited
(TIP (Transaction Information Processing (POL)
(TPS [Transaction Processing Service
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0.5 Changes in this Version
\Version ‘Changes
0.2 (Changes to report layouts and format following discussions with POL
& inclusion of revised state table.
0.3 (Changes to report layouts and format following discussions with POL
& inclusion of revised state table.
0.4 e Clarification provided following review comments from POL.
Major revision of NB101a data definition to explain both in a
business and technical sense the progression of transaction
components throughout the reporting cycle. The final
reconciliation and settlement in accordance with the requirements
has not been amended.
¢ Inclusion of Incomplete State and Exception state matrices to
identify report population for specific error types. Section 3.1.4.14
715.
C2 transaction components have now been renamed C12.
Revised System State Table
Cl transaction components have now been renamed C112
Revised System State Table — now section 5
New sections, 11 & 12 added to NB102 to allow for Future Dated
Transactions
Transaction flow diagram removed from section I
New R.A.C diagram included as section 4
Definition of ‘Today’ removed from document.
Definition of ‘New’, ‘Old’ and ‘Settlement Date’ included in
document.
Removal of exception states E15 — E19 from all reports following
revision to State Table.
ie New fields inserted into NB102 series reports & revision of format
of cleared reports (sections 7 — 10)
¢ Incomplete and Exception state amendments to some reports
where inconsistencies were evident.
Re-ordering of NB102 sections
Review following detailed check of system states
New sub total lines included in NB100a and NB100b
Detailed rules added to NB103
Discrepancy reason codes added to NB102
0.5
ve ele.
v7. ee
verre
0.6 Changes Expected
\Changes
jo further changes expected
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0.7 Table of Contents
1.0
2.0
3.0
INTRODUCTION..
SCOPE...
2.1.1 Reconciliation Reports Specified.
GENERAL REPORT SPECIFICATIONS.
3.1.1 NB100a: NBE/ DRS Reconciliation Statement.
1.1.1 NB100a: Rules.
1.1.2 NB100a: Report Layout
-1.1.3 NB100a: Data Definition.
1.2 NB100b: TIP / DRS Reconciliation Statement.
3.1.2.1 NB100b: Rules.......
3.1.2.2 NB100b: Report Layou
3.1.2.3 NB100b: Data Definition.
3.1.3. NB101a: Network Banking Settlement Statement
3.1.3.1 NB101a: Rules.
3.1.3.2 NB101a: Report Layout
3.1.3.3 NB101a: Data Definition.
3.1.3.4 NB101a: Worked Example showing reconciliation date allocation
3.1.4 NB101b: Network Banking Settlement Statement > 5 day:
3.1.4.1 NB101b: Rules
3.1.4.2 NB101b: Report layout & Data Definition.
3.1.5 NB102: Exception Summaty....................
3.1.5.1 NB102: Rules...... cescecececeeecenesesescacacececaceeeeeeeeeeeeeee
3.1.5.2 NB102: Section 1: Uneleared Confirmed, Unconfirmed & TIP. exceptions <24
hours 28
3.1.5.3 NB102: Section 2: Uncleared Exceptioned Client Transaction:
3.1.5.4 NB102: Section 3: Uncleared NBE / DRS Corruption’s. 1
3.1.5.5 NB102: Section 4: Uncleared Timing Differences 33
3.1.5.6 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24
hours
35
3.1.5.7 NB102: Section 6: Uncleared Future Dated Transactions by Client................37
3.1.5.8 NB102: Section 7: Cleared Confirmed, Unconfirmed & TIP exceptions < 24
hours
38
3
3.
41
3.1.5.11 NB102: Section 10: Cleared Timing Differences. :
3.1.5.12 NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions ° > > 24
hours
45
29
5.9 NB102: Section 8: Cleared Exceptioned Client Transactions..
5.10 NB102: Section 9: Cleared NBE / DRS Corruption’s
5.13 NB102: Section 12: Cleared Future Dated Transactions by Client............... 47
3.1.5.14 Incomplete State: Report Matrix.
3.1.5.15 Exception State: Report Matrix..
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3.1.6 NB103: Settled transaction / Cash Account Reconciliation Statement.
3.1.6.1 NB103: Rules....
3.1.6.2 NB103: Report Layout..
3.1.6.3 NB103: Data Definition.
4.0 TRANSACTION FLOW (R.A.C DIAGRAM).
5.0 SYSTEM STATES...
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1.0
2.0
Introduction
This document has been compiled to specify all ICL Pathway outputs from the Data
Reconciliation Service (DRS) to enable a generic end to end reconciliation of Network
Banking transaction processing.
All reports specified are required to ensure client transactions, counter confirmations
and Network Banking EPOSS (TIP) transactions sent to POL / TIP are completely
reconciled and any exceptions are identified and resolved.
Section 4 identifies the transaction flows within the Network Banking model
Scope
This document defines the format and content of all reconciliation reports, which
satisfy the Network Banking reconciliation requirement. It does not attempt to define
within the operating systems, including the Network Banking Engine, (NBE) how the
transactions are processed.
The following Network Banking requirements are satisfied by this document:
© Reconciliation: [NBR0040], [NBR0042], [NBR0183], [NBR0212], [NBR0227],
[NBR0229], [NBR0278], [NBR0294], [NBR0389].
© Settlement: [NBR0230], [NBR0456].
e Error Resolution: [NBR0260]
It is assumed that each of the PON clients, as dictated by Routing _Gateway (assumed
to be at this point the Banks / LINK) will require a separate reconciliation report set.
Within this report set, separate reports will be provided as per the following table:
Report Number Deposit Transactions _ [Withdrawal Transactions Balance Enquiries
(B100a Combined Report Separate Report
B100b Combined Report Separate Report
B10la Y Y Not Required
B1O1b Y Y Not Required
B102 Combined Report Not Required
B103 Y I Y Not Required
NB: Where there is either a deposit or withdrawal with balance, they are to be treated
as deposits or withdrawals without balances respectively.
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
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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.
No report will mix currency, so if ever the transactions selected to appear on a set of
reports are not of a single currency, then a separate set of reports will be produced for
each currency. All the amounts in a single transaction will always use the same
currency
2.1.1 Reconciliation Reports Specified
e NB100a: NBE/ DRS Reconciliation Statement
* NB100b: TIP/DRS Reconciliation Statement
e NB1Ola: Network Banking Settlement Statement <=5 days
e NBIOIb: Network Banking Settlement Statement > 5 days
e NBI02: Exception Summary
* NBI103: Settled Transaction / Cash Account Reconciliation Statement
Rows and columns are described in detail, together with the mathematical calculations
required to achieve reconciliation.
All general aspects relating to the production and transmission of the reports are
described.
This document does not attempt to define the business processes undertaken within
ICL Pathway and POL with respect to the resolution of any exceptions, which may
arise, nor does it scope the requirement for any systems that may be required to assist
in this process. This information can be found in the associated documents, reference:
e¢ NB/SPE/002: Network Banking DRS On-line Workstation Specification
NB/PRO/002: Network Banking Reconciliation & Incident Management
NB: It should be noted that where a system ‘state’ definition is quoted, this takes
precedence over any narrative which has only been provided to help understand the
business processes.
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3.0 General Report Specifications
A separate set of reports is produced for each POL client as identified by the
Routing Gateway. (LINK being a single client). The specification is general to all
reports sets.
1. For volumes and values the accounting sense for reporting purposes to allow
settlement totals to be correctly derived, will be:
Absolute volume
Net value
Where no value reported show “[Currency] 0.00”
Where no volume reported show 0
2. Each report will show the following general information:
Report title — including the client name (derived from Routing_Gateway.)
Transaction Type — (if applicable)
Report ‘Run Date’ - i.e., the period for which the report refers
Production date and time
ICL Pathway report number
ICL Pathway reference and contact point
3. Where ‘Received’ and ‘Reconciliation Date’ are quoted against time parameters:
e ‘Received = New’: defines transactions that have had a change of state since
they were last reported, or have never been reported, except in NB102 section
ll
e ‘Received = Old’: defines transactions that have NOT had a change of state
since they were last reported
4. Reports: NB100a, NB100b, NB101a, NB101b, NB102, will be produced DAILY,
NB103 will be produced WEEKLY after Friday’s and prior to Saturdays TPS
processing schedule. They will be delivered by 08.00hrs the day following the Run
Date to:
e POL/ TIP gateway: The Host writes the reports to a directory. These are
picked up by FTMS and posted to the TIP gateway. (As per other Host to
external systems applications)
e ICL Pathway CS / MSU, DRS Workstation.
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5. Within all reports the ‘Exceptions’ category will include:
e ‘Incomplete States’, i.e. those transactions where one or more transaction
component is missing — a C4 without a C12 ete
e Genuine exceptions where transaction components belonging to the same high
level transaction have been exceptioned, i.e. C12 (amount) not = to C4
(amount) etc.
e¢ NBE/ DRS corruption’s
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. ‘Currency’ is implied by date on the basis that POL will define the cut off date
from £ Sterling to Euro.
9. All reports will be produced as ASCII text files — one for each report. The report
layout will be fixed format with space characters providing the blank space. This
will allow for ‘Excel’ input, using fixed field width facilities. The formatting (lines
& shading referred to in this document) will not be included within the file.
10. See also comments in Section 2: ‘Scope’
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3.1.1
NB100a: NBE / DRS Reconciliation Statement
This report is a critical requirement as it allows the reconciliation of data between the
NBE and the DRS, giving a clear view of the number and value of exceptions at the
beginning and end of each day. It also gives an indication of the values paid / received
from the customer as compared to the values processed by the POL client.
3.1.1.1 NB100a: Rules
_
NB100a is run daily
NB100a is repeated for each Routing Gateway.
For reporting purposes only: To gain an NBE view of the client settlement position,
the ‘Matching’ process should only match ‘C4’ & ‘C12’ type transactions in their
appropriate system states, i.e. states: 2-3, 18-19, (report line 12)
For reporting purposes only:, ‘S’ type transactions in their appropriate system states
must always be exceptioned, i.e. states: 8-11, (report line 8)
For reporting purposes only: ‘D’ type transactions in states 12, 13, 14, 15, 20, 21, 22,
23 will report ‘Amount_Authorised’
For reporting purposes only: for states 16 — 19, show the value of the ‘C4’
For reporting purposes only: for states E28 — E31, if the value is corrupt, use £0.00
8. For exception reporting, (report lines 1 & 12):
e For exception states E21, E22, E23, E24, E26, E33 report the DIFFERENCE in
the two values
e For state E32 show the value of the ‘C4’
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NB100a: Report Layout
NB100a: NBE / DRS Reconciliation Statement Client: Barclays etc Produced on: _dd/mm/yyyy at_hh:mm:ss
Run Date: —dd/mm/yyyy Transaction Type: Deposit & Withdrawal / ICL Pathway MSU
Balance Enquiries
Volume Value
1. NBE/ DRS exceptions outstanding from previous days 999999999 9999999999.99.
2. NBE/ DRS exceptions manually cleared 999999999 9999999999.99.
3. Sub Total 9999999999. 99999999999.99
4. NBE/ DRS corruption’s outstanding from previous days 999999999 9999999999.99.
5. NBE/ DRS corruption’s manually cleared 999999999 9999999999.99.
6. Sub Total 9999999999. 99999999999.99
7._CCT processed today (C4) 999999999 9999999999.99.
8. ACTAC processed today (S) 999999999 9999999999.99
9. ECT processed today (D) 999999999, 9999999999.99
10. Sub Total 9999999999. 9999999999999
11. Counter confirmations processed today (C12) 9999999999 9999999999999
12. CCT / Counter confirmations matched today (C4 / C12) 9999999999 99999999999.99
13. NBE / DRS exceptions outstanding today 9999999999 99999999999.99
14. NBE / DRS corruption’s outstanding today 9999999999 99999999999.99
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NB100a: Data Definition
NB100a: NBE / DRS Reconciliation Statement
Client: (Derived from Routing Gateway.) Produced on: (Date / time of report production)
Run Date: (The period for which the report refers)
Transaction Type: (Derived from Txn_Type) ICL Pathway MSU
Data Description
Absolute Volume Net Value
1. Total of all NBE / DRS exceptions still outstanding from
previous days
System States: 1, 4, 6-14, 15-17, 20-23, E02-09, Ell-14, E21-24, E26, E32-33, E35-38
Received = Old, Reconciliation date: < Run Date
2. Total of all NBE / DRS exceptions manually cleared
Last reported row I exception types
Set to F99: New
3. Sub Total
Total of Rows 1 +2
4. Total of all NBE / DRS corruption’s still outstanding from
previous days
System States: E28 —31
Received = Old, Reconciliation date:< Run Date
5. Total of all NBE / DRS corruption’s manually cleared
Last reported row 4 exception types
Set to F99: New
6. Sub Total
Total of Rows 4+ 5 Must = previous days NB100a report — row 14
7. Total of all CCT processed by the DRS
2-4, 7, 16-19
, Reconciliation date: <= Run Date
8. Total of all ACTAC processed by the DRS
System States: 8-11
Received = New, Reconciliation date: <= Run Date
9. Total of all ECT processed by the DRS
System States: 12-15, 20-23
Received = New, Reconciliation date: < = Run Date
10. Sub Total
Total of Rows 7 +8 +9
11. Total of all counter confirmations processed by the DRS
System States: 1-3, 6, 10-11, 13, 15, 18-19, 22-23
Received = New, Reconciliation date: <= Run Date
12. Total of all matched CCT / counter confirmations
System States: 2-3, 18-19
Received = New, Reconciliation date: <= Run Date
13. Total of NBE / DRS exceptions still outstanding today
System States: 1, 4, 6-14, 15-17, 20-23, E02-09, Ell-14, E21-24, E26, E3:
Received = New + Old, Reconciliation date: < = Run Date
, E35-38
14. Total of all NBE / DRS corruption’s still outstanding today
System States: E28 —31
Received = New + Old, Reconciliation date: <= Run Date
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NB100b: TIP / DRS Reconciliation Statement
This report is a critical requirement as it allows the reconciliation of data between PON
/ TIP and the DRS, giving a clear view of the number and value of exceptions at the
beginning and end of each day. It also gives an indication of the values paid / received
from the customer as compared to the values delivered to POL / TIP
NB100b: Rules
1. NB100b is run daily
2. NB100b is repeated for each Routing Gateway
3. For reporting purposes only: To gain a TIP view of the transaction processing
position, the ‘Matching’ process should only match ‘C12’ & ‘C112’ transaction
types in their appropriate system states, i.e. states: 3, 6, 11, 15, 19, 23, (report
line 7)
4. For reporting purposes only: for states 16 — 19, show the value of the ‘C4’
5. For reporting purposes only: for state E28, if the value is corrupt, use £0.00
6. For exception states E20, E21, E22, E25 report the DIFFERENCE in the two
values
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1.2.2 NB100b: Report Layout
NB100b: TIP / DRS Reconciliation Statement Client: Barclays etc Produced on: dd/mm/yyyy at hh: mm :ss
Run Date: —dd/mm/yyyy Transaction Type: Deposit & Withdrawal / I ICL Pathway MSU
Balance Enquiries
Volume Value
1,_TIP/ DRS exceptions from previous days 999999999. 9999999999.99
2._TIP/ DRS exceptions manually cleared 999999999. 9999999999.99.
3. Sub Total 9999999999 99999999999.99
4. Counter confirmations received today (C12) 999999999 9999999999.99.
5._TIP transactions received today (C112) 999999999. 9999999999.99.
6. Sub Total 9999999999 99999999999.99
7._Counter confirmations / TIP transactions matched today (C12 / C112) 9999999999 99999999999.99-
8._TIP/ DRS exceptions outstanding today 9999999999 99999999999.99.
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1.2.3 NB100b: Data Definition
NB100b: TIP / DRS Reconciliation Statement Client (Derived from Routing Gateway.) Produced on: (date / time of report production)
Run Date: (The period for which the report refers) Transaction Type: (Derived from Txn_Type) ICL Pathway MSU
Data Description Absolute Volume I Net Value
1. Total of all TIP / DRS exceptions still outstanding from previous System States: 1-2, 5, 7, 9-10, 13-14, 17-18, 21-22, E01-02, E10-11, E20-22, E25, E27-28, E34-
days 35
Received = Old Reconciliation date: < Run Date
2. Total of all TIP / DRS exceptions manually cleared Last reported row 1 exception types
Set to F99: New
3. Sub Total Total of rows 2 +3
4. Total of all counter confirmations processed by the DRS System States: 1-3, 6, 10-11, 13, 15, 18-19, 22-23
Received = New, Reconciliation date: <= Run Date
5. Total of all TIP transactions processed by the DRS System States: 3, 5-7, 9, 11, 14-15, 17, 19, 21, 23
Received = New, Reconciliation date: <= Run Date
6. Sub Total Total of rows 4 + 5
7. Total of all matched counter confirmations / TIP transactions System States: 3, 6, 11, 15, 19, 23
Received = New, Reconciliation date: <= Run Date
8. Total of all TIP / DRS exceptions still outstanding today System States: 1-2, 5, 7, 9-10, 13-14, 17-18, 21-22, E01-02, E10-11, E20-22, E25, E27-28, E34-
35
Received = New + Old, Reconciliation date: < = Run Date
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RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB101a: Network Banking Settlement Statement <= 5 days
This report identifies CCT, ACTAC and ECT transactions received against each
reconciliation date. The report flows across by reconciliation date with the latest
reconciliation date, i.e. the date applicable to the run date of the report, being the first
date listed.
To assist with the understanding of the report, a worked example is shown in section
3.1.3.4.
NB101a: Rules
NB10la is run daily
NB10la is repeated for each Routing Gateway
NB10la is repeated for each transaction type within Routing Gateway
For reconciliation dates more than 5 days old, use report NB101b
A reconciliation date entry must always be shown across report NB101a or
NB101b if exceptions remain.
6. Within this report, for clarity within the row titles, the following definitions will be
used:
e Confirmed Client Transactions (CCT) are defined as ‘Confirmed Txns’
e Authorised Client Transactions Awaiting Confirmation (ACTAC) are defined
as ‘Unconfirmed Txns’
e Exceptioned Client Transactions (ECT) are defined as ‘Exceptioned Txns’
7. A transaction will be posted against its reconciliation date. If it is received later
than it’s reconciliation date it will be shown as a ‘late’ transaction against this
reconciliation date on the day it is received.
8. Where an ‘Unconfirmed Txn’ (‘S’) is shown against a reconciliation date, when the
“Confirmed Txn’ (‘C4’) arrives, the ‘Unconfirmed Txn’ value will be deleted and
replaced by the C4 value within the ‘Late Confirmed Txn’ row. This concept flows
throughout the reports as transaction components are replaced during the course
of processing across a number of days.
9. For reporting purposes only:, ‘S’ type transactions in their appropriate system
states must always be exceptioned, i.e. states: 8-11
10. For reporting purposes only: ‘D’ type transactions in states 12, 13, 14, 15, 20, 21,
22, 23 will report ‘Amount_Authorised’
11. For exception reporting:
e For exception states E20 — E26, E32, E33 report the DIFFERENCE in the two
values
e Incomplete states 16 — 19 will report the value of the ‘C4’ if a difference exists
between the value of the ‘S’ and the ‘C4’
12. For exception state E39, always report against the reconciliation date.
wae
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RECONCILIATION REPORTING
ersion: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
1.3.2 NB101a: Report Layout
NB101a: Network Banking Settlement Statement <= 5 Client: Barclays ete Produced on: dd/mm/yyyy at hh: mm :ss
days
Run Date: _dd/mm/yyyy Transaction Type: Deposits etc ICL Pathway MSU
Reconciliation Date: Reconciliation Date: Reconciliation Date: Reconciliation Date:
dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy dd/mm/yyyy
Volume Value Volume Value Volume Value Volume Value Volume Value
1. Confirmed Txns (C4) 9999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I _999999999.99 I 9999999 999999999.99
2. Late Confirmed Txns (C4) 0 0.00 I 9999999 999999999.99 9999999 999999999.99 9999999 I _999999999.99 I 9999999 999999999.99
3._ Sub Total 99999999 I _9999999999.99 I 99999999 I _9999999999.99 I 99999999 I _9999999999.99 I 99999999 I 9999999999.99 I 99999999 I _9999999999.99
4. Unconfirmed Txns (S) 9999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I _999999999.99 I _9999999 999999999.99
5. Late Unconfirmed Txns (S) 0 0.00 I 9999999 999999999.99 9999999 999999999.99 9999999 I _999999999.99 I 9999999 999999999.99
6. Sub Total 99999999 I _9999999999.99 I 99999999 I 999999999999 I 99999999 I 9999999999.99 I 99999999 I 9999999999.99 I 99999999 I _9999999999.99
7. Total of Confirmed & 999999999 I 99999999999.99 I 999999999 I 99999999999.99 I 999999999 I 99999999999.99 I 999999999 I 99999999999.99 I 999999999 I 99999999999.99
Unconfirmed Txns
8. Exceptioned Txns (D) 19999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I 999999999.99 I 9999999 999999999.99
9. Late Exceptioned Txns (D) 0 0.00 I 9999999 999999999.99 9999999 999999999.99 9999999 I 999999999.99 I 9999999 999999999.99
10. TOTAL of Confirmed, 999999999 I 99999999999.99 I 999999999 I 99999999999.99 I” 999999999 I —99999999999.99 I 999999999 I ~99999999999.99 I 999999999 I 99999999999.99
Unconfirmed &
Exceptioned Txns
11. NBE / DRS exceptions O/S 9999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I _999999999.99 I 9999999 999999999.99
12. TIP / DRS exceptions O/S 9999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I 999999999.99 I 9999999 999999999.99
13. NBE/ DRS corruption’s 9999999 999999999.99 I 9999999 999999999.99 9999999 999999999.99 9999999 I 999999999.99 I 9999999 999999999.99
O/S
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1.3.3
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COMMERCIAL IN CONFIDENCE
Version: 1.0
Date: 19/12/01
NB101a: Data Definition
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NB101a: Network Banking Reconciliation Statement < 5 days
Client (Derived from Routing Gateway.)
Produced on: (Date / time of report production)
Run Date: (The period for which the report refers)
Transaction Type: (Derived from Txn_Type)
ICL Pathway MSU
Data Description
Reconciliation Date /Column Date = Run Date
Reconciliation Date /Column Date = Run Date- N
(N=1 to 4)
For each Reconciliation Date / Column Date report Absolute Volume and Net Value
1, Total of all today’s CCT processed by the DRS
2-4, 7, 16-19
, Reconciliation Date = Run Date
System States: 2-4, 7, 16-19
Received = Old, Reconciliation Date = Column Date
2. Total of late CCT processed by the DRS
Zero Volume and Values
System Stat 4, 7, 16-19
Received = New, Reconciliation date = Column Date
3. Sub Total
Total rows 1 & 2
Total rows 1 & 2
4. Total of all today’s ACTAC processed by the DRS
System States: 8-11
Received = New. Reconciliation Date = Run Date
System States: 8-11
Received = Old, Reconciliation Date = Column Date
5. Total of all late ACTAC processed by the DRS
Zero Volume and Values
System States: 8-11
Received = New, Reconciliation date = Column Date
6. Sub Total
Total rows 4 & 5
Total rows 4 & 5
7. Total of all CCT and ACTAC processed by the DRS
Total rows 3 & 6
Total rows 3 & 6
8. Total of all today’s ECT processed by the DRS
System States: 12-15, 20-23
Received = New, Reconciliation Date = Run Date
System States: 12-15, 20-23
Received = Old, Reconciliation Date = Column Date
9. Total of late ECT processed by the DRS
Zero Volume and Values
System States: 12-15, 20-23
Received = New, Reconciliation date = Column Date
10. Total of all CCT, ACTAC & ECT processed by the
DRS
Total rows 7, 8 & 9
Total rows 7, 8 & 9
11. Total of all NBE / DRS exceptions O/S
1, 4, 6-14, 15-17, 20-22,
El 1-14, E21-24, E26, E32-39
Received = New, Reconciliation Date = Run Date
02-09,
System States: 1, 4, 6-14, 15-17, 20-23, E02-09, E1l-14,
21-24, E26, E32-33, E35-39
Received = New +Old, Reconciliation Date = Column Date
12. Total of all TIP / DRS exceptions O/S
System States: 1-2, 5, 7, 9-10, 13-14, 17-18,
21-22, E01-02, E10-11, E20-22, E25, E27-28,
E34-35
Received = New, Reconciliation Date = Run Date
System States: 1-2, 5, 7, 9-10, 13-14, 17-18, 21-22,
E01-02, E10-11, E20-22, E25, E27-28, E34-35
Received = New +Old, Reconciliation Date = Column Date
13. Total of all NBE / DRS corruption’s O/S
System States: E28 —31
Received = New, Reconciliation Date = Run Date
System States: E28 —31
Received = New +Old, Reconciliation Date = Column Date
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COMMERCIAL IN CONFIDENCE
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1.3.4 NB101a: Worked Example showing reconciliation date allocation
41 Day 1: Run Date 01/01/2001
[NB101a: Network Banking Settlement Statement <= 5 days (Client: Barclays [Produced on: 02/01/2001 03:15:22
[Run Date: 01/01/2001 [Transaction Type: Deposits ICL Pathway MSU
Reconciliation Date: Reconciliation Date: Reconciliation Date:
01/01/2001 31/12/2000 30/12/2000 Transactions r
Volume Value Volume Value Volume Value Txn ‘AA’ ‘C4? £100.00 reconciliation date
01/01/2001, received run date 01/01/2001
1. Confirmed Txns (C4) 1 I (AA) £100.00 0 £0.00 0 £0.00 I Txn ‘BB’ ‘C4’ £50.00 reconciliation date
2. Late Confirmed Txns (C4) 0 £0.00 1 I (BB) £50.00 1 I (CO) £25.00 I 31/12/2000, received run date 01/01/2001
3. Sub Total 1 I (AA) £100.00 1 I (BB) £50.00 1 I (CO) £25.00 I Txn ‘CC’ “C4” £25.00 reconciliation date
4. Unconfirmed Txns (S) 1I WD) £34.00 0 £0.00 0 £0.00 I 30/12/2000, received run date 01/01/2001
3,_Late Unconfirmed Txns (S) 0 £0.00 1 I (EE) £45.00 0 £0.00 I Tx ‘DD* S’ £34.00 reconciliation date
Sub Total 1 I (Db) £34.00 1) (EE) £45.00 0 £0.00 I 01/01/2001, received run date 01/01/2001
. ; Ei “99 I Pxn ‘EE’ ‘S’ £45.00. reconciliation date
7. Total of Confirmed & g (AA DD) 2 (BB EE 1I (CC) £25.00
Wacoafiraed' ‘tas K £134. Hey ‘ £95, ip cS 31/12/2000, received run date 01/01/2001
8. Exceptioned Txns (D) 1 I (HA) £200.00 0 £0.00 0 £0.00 nm i , an ae qeconeitiation date
9. La i 2 3 , received fe 01/01/
9. Late Exceptioned Txns (D) 0 £0.00 0 £0.00 0 £0.00 Txn ‘GG “E01 £65.00 reconciliation date
10. Total of Confirmed, 3I (AA DD HA) 2 (BB EE) 1 I (CG £25.00 I 37/12/2000, received run date 01/01/2001
Unconfirmed & £334.00 £95.00 Txn ‘HH; ‘D’ £200.00 reconciliation date
Exceptioned Txns 01/01/2001, received run date 01/01/2001
11. NBE / DRS exceptions O/S 0 £0.00 1I (FF) £10.00 0 £0.00 NS creeptions / corruption’s have been set to F99 by
12. TIP/ DRS exceptions O/S 0 £0.00 1 I (GG) £65.00 0 £0.00 I No exceptions corruption’s have been auto matched by
the DRS
13, NBE/ DRS corruption’s 0 £0.00 0 £0.00 0 £0.00
os
NB: In reality this report would run for five reconciliation dates.
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COMMERCIAL IN CONFIDENCE Date: 19/12/01
Day 2: Run date 02/01/2001
INB101a: Network Banking Settlement Statement <= 5 days IClient: Barclays [Produced on: 03/01/2001 02:17:15
[Run Date: 02/01/2001 [Transaction Type: Deposits [ICL Pathway MSU
Reconciliation Date: Reconciliation Date: Reconciliation Date: Notes for example
02/01/2001 01/01/2001 31/12/2000
Volume Value Volume Value Volume Value Transactions received:
Txn ‘J ‘C4? £90.00 reconciliation date
1. Confirmed Txns (C4) 1 (JJ) £90.00 I 1 (AA) £100.00 I 1 (BB) £50.00 I 02/01/2001, received run date 02/01/2001
2. Late Confirmed Txns (C4)_I 0 £0.00 1 (DD) £34.00 I 2 (KK) £80.00 I Txn “KK” “C4 £80.00 reconciliation date
3. Sub Total 1 (JJ) £90.00 I 2 (AA DD) 2 (BB KK) 31/12/2000, received run date 02/01/2001
£134.00 £130,00 Txn ‘EE’ ‘C4’ £45.00 reconciliation date
4. Unconfirmed Txns (S) 0 £0.00. 0 £0.00 0 £0.00 01/01/2001, received run date 02/01/2001 (replaces ‘S’
5._Late Unconfirmed Txns (S) I 0 £0.00 0 £0.00 0 £0.00 and is exceptioned due to timing error)
6. Sub Total 0 £0.00 0 £0.00 0 £0.00 Txn ‘DD’ ‘C4’ £34.00 reconciliation date
= = 5 = 01/01/2001, received run date 02/01/2001 (replaces ‘S’)
7. Total of Confirmed & 1 (JJ) £90.00 3 AA DD) 2 BB KK)
Unconfirmed Tine ay a oe OF 00 ) Txn ‘FF’ ‘E04’ £10.00 reconciliation date 31/12/2000
8._ Exceptioned Txns (D) 0 £0.00 1 (HH £200.00 I 0 £0.00 set to state F99 by MSU on 02/01/2001
9. Late Exceptioned Txns D) I 0 £0.00 0 £0.00 0 £0.00 Txn ‘GG’ ‘E01) £65.00 reconciliation date
: : : : 31/12/2001 set to state F99 by MSU on 02/01/2001
10. Total of Confirmed, 1 (JJ) £90.00 3 (AA DD HH) I 2 (BB KK)
Unconfirmed & £334.00 £130.00
Exceptioned Txns
11. NBE/ DRS exceptions O/S I 0 £0.00 1 (EE) £45.00 I 0 £0.00
12. TIP / DRS exceptions O/S 0 £0.00 0 £0.00 0 £0.00
13. NBE / DRS corruption’s 0 £0.00 0 £0.00 0 £0.00
O/S
NB: In reality this report would run for five reconciliation dates.
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Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB101b: Network Banking Settlement Statement > 5 days
This report identifies CCT, ACTAC, & ECT transactions received against each
reconciliation date more than 5 days older than the run date of the report. The report
flows across by reconciliation date with the latest reconciliation date, i.e. the next
reconciliation date required following the cessation of NB10la.
For example:
The final reconciliation date listed on NB101a, report date 05/01/2001 would be
01/01/2001.
For the report date 06/01/2001, if the reconciliation date of 01/01/2001 has exceptions
outstanding, this reconciliation date would disappear.
3.1.4.1 NB101b: Rules
weYNr
no
12
13
14.
NB1O1b is run daily
NB1OIb is repeated for each Routing_Gateway
NB1O0Ib is repeated for each transaction type within Routing_Gateway
Where there is no data to report, produce a file with report headers only
Where there are more than 5 reconciliation dates being reported, the text within the file to
be repeated indefinitely to the right.
For reconciliation dates less than 5 days old, use report NB101la
. A reconciliation date entry must always be shown across report NB101a or NB101b if
exceptions remain.
Within this report, for clarity within the row titles, the following definitions will be used:
e Confirmed Client Transactions (CCT) are defined as ‘Confirmed Txns’
e Authorised Client Transactions Awaiting Confirmation (ACTAC) are defined as
“Unconfirmed Txns’
e Exceptioned Client Transactions (ECT) are defined as ‘Exceptioned Txns’
Where an ‘Unconfirmed Txn’ (‘S’) is shown against a reconciliation date, when the
“Confirmed Txn’ (‘C4’) arrives, the ‘Unconfirmed Txn’ value will be deleted and replaced
by the C4 value within the ‘Late Confirmed Txn’ row. This concept flows throughout the
reports as transaction components are replaced during the course of processing across a
number of days.
For reporting purposes only:, ‘S’ type transactions in their appropriate system states must
always be exceptioned, i.e. states: 8-11
. For reporting purposes only: ‘D’ type transactions in states 12, 13, 14, 15, 20, 21, 22, 23
will report ‘Amount_Authorised’
. For exception reporting:
. For exception states E20 — E26, , E32, E33 report the DIFFERENCE in the two values
. Incomplete states 16 — 19 will report the value of the ‘C4’ if a difference exists between
the value of the “S’ and the ‘C4’
. For exception state E39, always report against the reconciliation date.
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3.1.4.2 NB101b: Report layout & Data Definition
NB101b report layout follows report NB101a. However it commences on
Reconciliation Date / Column Date = Run Date — N where N = 5. There is no
maximum number of days within report NB101b. NB101b reports as many
Reconciliation Dates / Column Dates as necessary subject to the rules identified within
section 3.1.4.1
For example, if on 06/01/2001 subject to the rules identified within section 3.1.3.1 for
NB101a, either an exception remains or a new transaction is received for reconciliation
date 01/01/2001 or earlier, the appropriate reconciliation date would be included
within NB101b until no exceptions remained. In effect NB101b could run for an
indefinite number of Reconciliation Dates / Column Dates if exceptions remained or
late transaction components were received.
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3.1.5
3.1.5.1
NB102: Exception Summary
This report is divided into twelve sections:
Section 1: Uncleared Confirmed, Unconfirmed & TIP exceptions <24 hours
Section 2: Uncleared Exceptioned Client Transactions
Section 3: Uncleared NBE / DRS corruption’s
Section 4: Uncleared Timing Differences
Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Section 6: Uncleared Future Dated Transactions by Client
Section 7: Cleared Confirmed, Unconfirmed & TIP exceptions <24 hours
Section 8: Cleared Exceptioned Client Transactions
Section 9: Cleared NBE / DRS corruption’s
Section 10: Cleared Timing Differences
Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions >24 hours
Section 12: Cleared Future Dated Transactions by Client
Liability issues are not covered within this document, nor are the business
processes involved in the resolution of any exception.
NB102: Rules
NB102 is run daily
2. NB102 is repeated for each Routing Gateway.
3. For each report section, the column ‘Values’ will be partitioned into 8 sub columns
to contain the values for: ‘C12’, ‘S’, ‘C4’, ‘C112’ & the four values from a ‘D’
which are: Amount Requested, Amount Authorised, Amount Confirmed, Amount
Discrepancy. The reports will populate all values that are available.
4. For reporting purposes within NB102 sections 2,3,4,5,8,9,10,11, the column
headed ‘Discrepancy Type’ will report the ‘D’ discrepancy type and be populated
with the following codes:
© 01 - [E2] not received by maximum number of retries or at close of next
business day - Business Rule BR — 054
e (02 - Mismatch of value between [R2] and [C2] BR - 021
© 03 - [C2] approve for [A1] Decline BR -033
© 04 - [C2] approve with no R or A messages i.e. orphan [C2] - BR - 026
NB: “BR-nnn” refers to a business rule in the NBE Business Rules Catalogue,
reference [12].
5. Where an exception is set to F99 by ICL Pathway, clearance of this exception
within the appropriate NB102 section, (e.g. section 2 exceptions shown as cleared
within section 8), will always refer to the previously reported state regardless of
any change of state which may have occurred within the DRS.
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10.
1
14.
15.
16
17.
18.
20.
2
1
Within this report, for clarity within the row titles, the following definitions will be
used:
¢ Confirmed Client Transactions (CCT) are defined as ‘Confirmed Txns”
e Authorised Client Transactions Awaiting Confirmation (ACTAC) are defined
as ‘Unconfirmed Txns’
e Exceptioned Client Transactions (ECT) are defined as ‘Exceptioned Txns’
Uncleared Confirmed, Unconfirmed & TIP exceptions <24 hours are reported as
summary totals by exception type - (NB102 section 1)
Uncleared Exceptioned Client Transactions are listed individually - (NB102
section 2)
Uncleared NBE/ DRS corruption’s exceptions are listed individually - (NB102
section 3)
Uncleared Timing Differences are listed individually — (NB102 section 4)
Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours are listed
individually — (NB102 section 5)
. Uncleared Future Dated Transactions are reported as summary totals by Client
identified by Routing_Gateway — (Section 6)
. Cleared Confirmed, Unconfirmed & TIP exceptions <24 hours are reported as
summary totals by exception type - (NBE102 section 7)
Cleared Exceptioned Client Transactions are listed individually — (NB102 section
8)
Cleared NBE / DRS corruption’s are listed individually — (NB102 section 9)
Cleared Timing differences are listed individually — (NB102 section 10)
Cleared Confirmed, Unconfirmed & TIP exceptions >24 hours are listed
individually — (NB102 section 11)
Cleared Future Dated Transactions are reported as summary totals by Client
identified by Routing_Gateway — (Section 12)
. Where both volume and value are zero within sections 3 and 9, the appropriate line
is suppressed
Within each section, exception summary totals / individual transactions are to be
grouped and sub totalled by reconciliation date with a total provided for the entire
section.
. For reporting purposes:
¢ Timing Differences: relate to differences in the reconciliation date / settlement
date allocated where a settlement date on a transaction element is not the same
as the reconciliation date first reported on that transaction.
¢ Future Dated Transactions: relate to those transactions that have a
Reconciliation Date ahead of the Run Date of the report. For example, most
Clients will settle Friday, Saturday and Sunday transactions on the following
Monday. This means that each transaction completed on these days will have a
Reconciliation Date ahead of the Run Date of the report. These transactions
are expected to clear naturally once the Reconciliation Date and the Run Date
are in sync, however in the rare eventuality that a Reconciliation Date is
considerably ahead of the Run Date, POL may wish to clear the exception
manually. In this case, ICL Pathway will set the transaction to ‘F99’.
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22. For reporting purposes, within NB102 sections 2,3,4,5,8,9,10.11, the column
headed ‘Transaction Type’ will be populated by the following codes:
© 03 — Withdrawal (With PIN)
04 — Withdrawal with balance (With PIN)
05 — Withdraw all (With PIN)
13 — Withdrawal (With signature)
14 — Withdrawal with balance (With signature)
15 — Withdraw all (With signature)
22 — Deposit (No verification)
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Version: 1.0
Date: 19/12/01
3.1.5.2 NB102: Section 1: Uncleared Confirmed, Unconfirmed & TIP exceptions <24
hours
NB102: Section 1 - Report Layout
NB102 Section 1: Confirmed,
Unconfirmed & TIP exceptions <
24 hours
Client: Barclays ete
Produced on:
dd/mm/yyyy at hh:mm:ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
ICL Pathway MSU
Exception Reconciliation Volume Values ( 8 sub columns)
Type Date
State 1 ete dd/mm/yyyy 99999999 99999999.99
State 2 ete dd/mm/yyy: 99999999 99999999.99.
Sub total 999999999 999999999.99.
State E02 ete dd/mm/yyyy 99999999 99999999.99.
Sub total 999999999 999999999.99.
Total Section 1 9999999999, 9999999999.99.
NB102: Section 1 - Data Definition
NB102 Section 1: Confirmed, Client: (Derived from Produced on:
Unconfirmed & TIP exceptions < I Routing_Gateway.) (Date and time of report
24 hours production)
Run Date: (The period for which Transaction Type: (Derived ICL Pathway MSU
the report refers)
from Txn_ Type)
Exception Type / Reconciliation
Date
Volume
Values (8 sub columns)
Value of each transaction
component
One row for each system state
where exceptions are being
reported grouped within
reconciliation date with a sub total
for each reconciliation date and a
grand total for the section. Where
no data is being reported against
and exception state, the row for
that exception state is to be
suppressed. Where dates are shown
for the same exception type, list in
descending order
‘System State: 1-2, 4-11, 16-18.
E20-24, E32, E34 -E36, E38
Received = New + Old
Reconciliation date: <= Run Date
E01-02 E04-06, E10-12, E14,
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 28 of I
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
1.5.3 NB102: Section 2: Uncleared Exceptioned Client Transactions
3.1 NB102: Section 2 — Report Layout
INB102 Section 2: Uncleared lient: — Barclays ete Produced on:
IExceptioned Client Transactions \dd/mm/yyyy_at_hh : mm : ss
[Run Date: dd/mm/yyyy [Transaction Type: Deposit & ICL Pathway MSU
Withdrawal
Exception Type Horizon Txn Id ITransaction Type} Bank Txn Id Receipt Date Receipt Time [Discrepancy Type] Values ( 8 sub
columns)
E13 kid/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
E13 kid/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99]
State 12 dd/mmi/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99I
E13 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99)
Total Section 2 9999999999,99)
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 29 of 1
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
3.2 NB102: Section 2 — Data Definition
INB102 Section 2: Uncleared lient: (Derived from Produced on:
Exceptioned Client Transactions Routing Gateway.) Date and time of production)
[Run Date: (The period for which the Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Id I Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type Type columns)
One row for each exception, with specific [Horizon_Txn_Nu ITxn_Type [Bank_Transactio \Receipt_TransactiIReceipt_Transacti[Discrepancy_ReasIValue of each
system states listed in order, grouped within jm n_Id n_Date n_Time n_Codes ransaction component
reconciliation date with a sub total for each
reconciliation date and a grand total for the
section. Where dates are shown for the same perstem State: 12°15 107% B08, BOT B09, E13, £25 ~ £26, E33, B37
exception type, list in descending order. IReconciliation date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 30 of 1
1.5.4
41
ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB102: Section 3: Uncleared NBE / DRS Corruption’s
NB102: Section 3 — Report Layout
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INB102 Section 3: Uncleared NBE / (Client: Barclays etc [Produced on:
IDRS Corruption’s \dd/mm/yyyy at hh: mm : ss
[Run Date: dd/mm/yyyy [Transaction Type: Deposit & ICL Pathway MSU
(Withdrawal
Exception Type Reconciliation I Horizon Txn Id ITransaction Type! Bank Txn Id Receipt Date Receipt Time IDiscrepancy Type] Values ( 8 sub
Date columns)
[E28 kid/mm/yyyy Char G2) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
[E29 kid/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
(Total Section 3 9999999999.99I
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 31 of 1
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
4,2 NB102: Section 3 — Data Definition
INB102 Section 3: Uncleared NBE / (Client: (Derived from Produced on:
IDRS corruption’s [Routing Gateway.) Date and time of production)
[Run Date: (The period for which the Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Id Transaction Type) Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type columns)
One row for each corruption, with specific IHorizon_Txn_Nu [Txn_Type [Bank_Transaction IReceipt_Transacti IReceipt_Transacti IDiscrepancy_Reas Value of each
system states listed in order, grouped within jm [Id n_Date n_Time n_Codes ransaction
reconciliation date with a sub total for each omponent
reconciliation date and a grand total for the
section. Where dates are shown for the same S¥stem State: E27
exception type, list in descending order. IReconciliation date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 32 of 1
15.5
5.1
ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB102: Section 4: Uncleared Timing Differences
NB102: Section 4 - Report Layout
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INB102 Section 4: Uncleared \Client: Barclays ete [Produced on:
ITiming Differences \dd/mm/yyyy at hh: mm : ss
[Run Date: dd/mm/yyyy [Transaction Type: Deposit & ICL Pathway MSU
(Withdrawal
Exception Type Reconciliation I Horizon Txn Id ITransaction Type! Bank Txn Id Receipt Date Receipt Time IDiscrepancy Type] Values ( 8 sub
Date columns)
[E39 kid/mm/yyyy Char G2) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
[E39 kid/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
(Total Section 4 9999999999.99I
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 33 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
5.2 NB102: Section 4 — Data Definition
INB102 Section 4: Uncleared lient: (Derived from Produced on:
[Timing Differences [Routing Gateway.) Date and time of production)
[Run Date: (The period for which the Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date / Horizon Txn Id I Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Settlement Date Type Type columns)
One row for each timing difference, grouped —_IHorizon_Txn_Nu IT'xn_Type IBank_TransactionIReceipt_Transacti IReceipt_Transacti IDiscrepancy_ReasIValue of each
within reconciliation date with a sub total form [Id n_Date n_Time n_Codes ransaction
each reconciliation date and a grand total for {component
the section. Where dates are shown for the System State. E39
same exception type, list in descending order. Revcived = N, d= New +Old
Reconciliation date: < = Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 34 of 1
ICL Pathway Ltd
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
CS/SPE/011
Version: 1.0
Date:
19/12/01
1.5.6 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
6.1 NB102: Section 5 — Report Layout
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lexceptions >24 hours
INB102 Section 5: Uncleared
\Confirmed, Unconfirmed & TIP
\Client: Barclays ete
Produced on:
\dd/mm/yyyy at hh : mm: ss
[Run Date: dd/mm/yyyy
[Transaction Type: Deposit &
ICL Pathway MSU
(Withdrawal
Exception Type I Reconciliation I Horizon Txn Id [Transaction Type] Bank Txn Id Receipt Date I Receipt Time [Discrepancy Type] Values ( 8 sub
Date columns)
State 1 \dd/mmi/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
State 2 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
State 6 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99)
State 6 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999}
(Total Section 5 9999999999.99I
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 35 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
6.2 NB102: Section 5 — Data Definition
INB102 Section 5: Uncleared lient: (Derived from Produced on:
‘onfirmed, Unconfirmed & TIP — [Routing_Gateway.) Date and time of production)
lexceptions >24 hours
[Run Date: (The period for which the [Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Ixn_Type)
Exception Type / Reconciliation Date Horizon Txn Id I Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type Type columns)
One row for each critical exception, with lHorizon_Txn_Nu ITxn_Type Bank_TransactionIReceipt_Transacti[Receipt_Transacti IDiscrepancy_ReasIValue of each
specific system states listed in order, grouped Im [Id n_Date n_Codes ransaction component
within reconciliation date with a sub total for
each reconciliation date and a grand total for
the section. Note: an extra constraint for
system state 18 is that the outlet must have
harvested (TPS) successfully. Should an outlet
be confirmed as non-polling, system states 2
&18 for that outlet on the date(s) in question
should not be included on this report. Where
dates are shown for the same exception type,
list in descending orders
System State: 1, 2,4, 5, 6, 7, 8, 9, 10, 11, 16, 17, 18, E01-02 E04-06, E10-12, El4, E20-24, E32, E34 -E36, E38
Received = Old
Reconciliation date: < Run Date
i.e. where transaction components have remained in the above incomplete states for >24 hours)
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 36 of 1
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB102: Section 6: Uncleared Future Dated Transactions by Client
15.7.1 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 & ICL Pathway MSU
Withdrawal
Client Reconciliation Date Volume Values ( 8 sub
columns)
Barclays dd/mm/yyy: 99999999 99999999.99
Lloyds dd/mm/yyyy 99999999 99999999.99
Total Section 11 9999999999 9999999999.99.
NB102: Section 6 - Data Definition
NB102 Section 6: Uncleared All Clients Produced on:
Future Dated Transactions by (Date and time of report
Client production)
Run Date: (The period for which I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Client / Reconciliation Date Volume [L__Values (8 sub columns)
One row for each Client derived from System State: All States
Routing_Gateway where transactions have I 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.
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 37 of I
15.8.1
‘1.5.8.2
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
8 NB102: Section 7: Cleared Confirmed, Unconfirmed & TIP exceptions < 24
hours
NB102: Section 7 — Report Layout
NB102 Section 7: Cleared Client: Barclays etc Produced on:
Confirmed, Unconfirmed & TIP dd/mm/yyyy at hh : mm: ss
exceptions < 24 hours
Run Date: dd/mm/yyyy Transaction Type: Deposit & ICL Pathway MSU
Withdrawal
Exception Reconciliation Volume Values ( 8 sub columns)
Type Date
State 1 ete dd/mm/yyyy 99999999 99999999.99
State 2 ete dd/mm/yyy’ 99999999 99999999.99.
Sub total 999999999 999999999.99.
State E02 etc dd/mm/yyy’ 99999999 99999999.99.
Sub total 999999999. 999999999.99.
Total Section 1 9999999999, 9999999999.99.
NB102: Section 7 - Data Definition
NB102 Section 7: Cleared
Confirmed, Unconfirmed & TIP
exceptions < 24 hours
Client: (Derived from
Routing_Gateway.)
Produced on:
(Date and time of report
production)
Run Date: (The period for which__I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_ Type)
Exception Type / Reconciliation 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 E10-12, El4, E20-24, E32, E34 -36, E38
reported grouped within Set to F99: New
reconciliation date with a sub total I Reconciliation date: <= Run Date
for each reconciliation date and a
grand total for the section. Where
no data is being reported against
and exception state, the row for
that exception state is to be
suppressed. Where dates are shown
for the same exception type, list in
descending order.
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 38 of 1
1.5.9
91
ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB102: Section 8: Cleared Exceptioned Client Transactions
NB102: Section 8 — Report Layout
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INB102 Section 8: Cleared \Client: Barclays ete [Produced on:
IExceptioned Client Transactions \dd/mm/yyyy at hh: mm : ss
IRun Date: dd/mm/yyyy [Transaction Type: Deposit & ICL Pathway MSU
Withdrawal
Exception Type I Reconciliation I Horizon Txn Id [Transaction Type] Bank Txn Id Receipt Date I Receipt Time [Discrepancy TypeI Values ( 8 sub
Date columns)
E13 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 9999999999}
IE13 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
State 12 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99)
E13 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999 .99)
(Total Section 8 9999999999.99}
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 39 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
9.2, NB102: Section 8 — Data Definition
INB102 Section 8: Cleared (Client: (Derived from Produced on:
[Exceptioned Client Transa s__IRouting_Gateway.) Date and time of production)
IRun Date: (The period for which the Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date I Horizon Txn Id] Transaction I Bank Txn Id I Receipt Date I Receipt Time I Discrepancy Values ( 8 sub
Type Type columns)
One row for each exception, with specific [Horizon_Txn_NuITxn_Type Bank_Transactio IReceipt_Transacti[Receipt_Transacti[Discrepancy_ReasIValue of each
system states listed in order, grouped within jm n_Id jon_Date n_Time jon_Codes ransaction component
reconciliation date with a sub total for each
reconciliation date and a grand total for the - - ——
section, Where dates are shown for the same ear last reported System States: 12-15, 20-23, E03, E07 - E09, E13, E25 — E26, E33, E37
exception type, list in descending order. Reconciliation Date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 40 of 1
ICL Pathway Ltd NETWORK BANKING END TO END
RECONCILIATION REPORTING
Ref:
CS/SPE/011
Version: 1.0
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COMMERCIAL IN CONFIDENCE Date: 19/12/01
1.5.10 NB102: Section 9: Cleared NBE / DRS Corruption’s
10.1 NB102: Section 9 — Report Layout
INB102 Section 9: Cleared NBE/ (Client: — Barclays etc [Produced on:
IDRS Corruption’s \dd/mm/yyyy at hh: mm : ss
IRun Date: dd/mm/yyyy [Transaction Type: Deposit & ICL Pathway MSU
(Withdrawal
Exception Type Reconciliation I Horizon Txn Id ITransaction Type! Bank Txn Id Receipt Date Receipt Time IDiscrepancy Type) Values ( 8 sub
Date columns)
IE28 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
IE29 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99}
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999 .99)
(Total Section 9 9999999999.99}
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 41 of 1
FUJ00232486
FUJ00232486
ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
10.2 NB102: Section 9 — Data Definition
INB102 Section 9: Cleared NBE/ (Client: (Derived from Produced on:
IDRS corruption’s [Routing Gateway.) Date and time of production)
IRun Date: (The period for which the Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date I Horizon Txn Id [Transaction Type] Bank Txn Id I Receipt Date I Receipt Time I Discrepancy I Values ( 8 sub
Type columns)
One row for each corruption, with specific [Horizon_Txn_Nu ITxn_Type Bank_Transaction [Receipt_Transacti [Receipt_Transacti IDiscrepancy_Reas IValue of each
system states listed in order, grouped within jm I Id n_Date n_Time mn_Codes ransaction
reconciliation date with a sub total for each component
reconciliation date and a grand total for the - - ——
section. Where dates are shown for the same oF last reported System States: E27 —31
exception type, list in descending order Set to F99: New
. . Reconciliation Date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 42 of 1
ICL Pathway Ltd
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Ref:
CS/SPE/011
Version: 1.0
Date: 19/12/01
15.11 NB102: Section 10: Cleared Timing Differences
ALL NB102: Section 10 - Report Layout
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Differences
INB102 Section 10: Cleared Timing
lient: — Barclays ete
Produced on:
\dd/mm/yyyy _at_hh : mm: ss
[Run Date: dd/mm/yyyy
[Transaction Type: Deposit &
ICL Pathway MSU
[Withdrawal
Exception Type Reconciliation I Horizon Txn Id ITransaction Type! Bank Txn Id Receipt Date Receipt Time IDiscrepancy Type] Values ( 8 sub
Date columns)
[E39 kid/mm/yyyy Char G2) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
[E39 kid/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
(Total Section 10 9999999999.99I
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 43 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
11.2 NB102: Section 10 — Data Definition
INB102 Section 10: Cleared Timing IClient: (Derived from Produced on:
Differences Routing Gateway.) Date and time of production)
[Run Date: (The period for which the [Transaction Type: (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date/ I Horizon Txn Id I Transaction I Bank TxnId I Receipt Date I Receipt Time I Discrepancy I Values ( 8 sub
Settlement Date Type Type columns)
One row for each timing difference, grouped IHorizon_Txn_Nu ITxn_Type [Bank _TransactionIReceipt_Transacti Receipt_Transacti [Discrepancy_ReasIValue of each
within reconciliation date with a sub total for jm IId n_Date n_Time jon_Codes transaction
each reconciliation date and a grand total for component
the section. Where dates are shown for the
py nan For last reported System States: E39
same exception type, list in descending order. ISet to F99: New
Reconciliation Date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 44 of 1
1.5.12
12.1
ICL Pathway Ltd
NETWORK BANKING END TO END Ref:
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
CS/SPE/011
Version: 1.0
Date: 19/12/01
NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions > 24 hours
NB102: Section 11 — Report Layout
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INB102 Section 11: Cleared
\Confirmed, Unconfirmed & TIP
xceptions > 24 hours
lient: — Barclays ete [Produced on:
Kdd/mm/yyyy at hh : mm: ss
[Run Date: dd/mm/yyyy
[Transaction Type: Deposit &
ICL Pathway MSU
[Withdrawal
Exception Type Reconciliation I Horizon Txn Id ITransaction Type} Bank Txn Id Receipt Date Receipt Time [Discrepancy Type] Values ( 8 sub
Date columns)
State 1 kid/mm/yy: Char (G2) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
State 2 \dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 9999999999}
State 6 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99I
State 6 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 99999999999)
{Total Section 11 9999999999.99I
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 45 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
12.2 NB102: Section 11 — Data Definition
INB102 Section 11: Cleared (Client: (Derived from Produced on:
\Confirmed, Unconfirmed & TIP IRouting_Gateway.) Date and time of production)
exceptions > 24 hours
[Run Date: (The period for which the Transaction Ty (Derived from [ICL Pathway MSU
report refers) [Txn_Type)
Exception Type / Reconciliation Date Horizon TxnId I Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type Type columns)
One row for each critical exception, with [Horizon_Txn_Nu ITxn_Type [Bank_TransactionIReceipt_TransactiIReceipt_Transacti IDiscrepancy_ReasIValue of each
specific system states listed in order, grouped jm I Id jon_Date n_Time jon_Codes (ransaction component
within reconciliation date with a sub total for
each reconciliation date and a grand total for
the section. Note: an extra constraint for
system state 18 is that the outlet must have
harvested (TPS) successfully. Should an outlet
be confirmed as non-polling, system state 2
& 18 for that outlet on the date(s) in question
should not be included on this report. Where
dates are shown for the same exception type,
list in descending orders
[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,
IE38
Set to F99: New
Reconciliation Date: <= Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 46 of 1
3.1.5.13
'1,5,13.1
',1,5.13.2
NB102: Section 12 - Data Definition
NB102 Section 12: Cleared All Clients Produced on:
Future Dated Transactions by (Date and time of report
Client production)
Run Date: (The period for which I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Client / Reconciliation Date Volume [Values (8 sub columns)
One row for each Client derived from System State: All States
Routing_Gateway where transactions have I All transactions that were included on report NB102 Section 6
been received with a reconciliation date on ‘yesterday’s’ reports and are not included in NB102 Section
ahead of the run date. Where dates are 6 on ‘today’s’ reports.
shown for the same exception type, list in
descending order.
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 47 of 1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB102: Section 12: Cleared Future Dated Transactions by Client
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 & ICL Pathway MSU
Withdrawal
Client Reconciliation Date Volume Values ( 8 sub
columns)
Barclays dd/mm/yyy: 99999999 99999999.99
Lloyds dd/mm/yyyy 99999999 99999999.99
Total Section 11 9999999999 9999999999.99.
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
Incomplete State: Report Matrix
This table identifies reports NB100a / b where an incomplete state is exceptioned and
the NB102 series report section where this is reported in detail.
Incomplete Transaction Components Report I Exception report NB102
State Number Section
C112 C12 C4 s D Uncleared I Cleared
1 Vv 100a/b 1&5 T&1
2 Vv v 100 1&5 T&1l
4 Vv 100a 1&5 7&ll
5 V 100b 1&5 7T&ll
6 Vv Vv 100a 1&5 7T&11
7 V Vv 100a/b 1&5 7T&ll
8 V 100a 1&5 7T&ll
9 v Vv 100a/b 1&5 T&I
10 V V 100a/b 1&5 7&1l
ul v v V 100a 1&5 T&11
12 V 100a 2 8
1B Vv Vv 100a/> 2 8
14 V V 100a/b 2 8
15 Vv Vv Vv 100a 2 8
16 Then V V 100a 1&5 T&11
17 Vv Then V V 100a/b 1&5 T&L
18 Vv Then V V 100b 1&5 T&M
20 Vv Then V 100a 2 8
21 Vv V Then V I 100a/b 2 8
22 V V Then V [I 100a/b 2 8
23 Vv Vv Vv Then ¥ 100a 2 8
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 48 of 1
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
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Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
3.15.15 Exception State: Report Matrix
This table identifies reports NB100a / b where a true exception appears and the NB102
series report section where this is reported in detail.
Exception Description Report Exception report NB102
State Number Section
Uncleared Cleared
E01 \Additional C112 100b 1&5 7T&ll
E02 (Additional C12 100a/b 1&5 7T&ll
E03 IAdditional D 100a 2 8
E04 \Additional C4 100a 1&5 7T&ll
E0S IAdditional S 100a 1&5 7&l
E06 S after C4 100a 1&5 7&ll
E07 S after D 100a 2 8
E08 (C4 after D 100a 2 8
E09 [D after C4 100a 2 8
E10 112 after final state 100b 1&5 7T&ll
Ell (C12 after final state 100a/b 1&5 7T&ll
E12 IC4 after final state 100a 1&5 7T&l
E13 ID after final state 100a 2 8
El4 S after final state 100a 1&5 7&ll
E15 lot Used.
E16 ot Used
E17. lot Used
EIs8 lot Used
E19 lot Used
E20 ‘Amount of C112#C12 100b 1&5 7T&ll
E21 [Amount of C112#C4 100a/b 1&5 7T&ll
E22 [Amount of C112#S & C1#0 100a/b 1&5 7&ll
E23 [Amount of C12#C4 100a 1&5 7T&ll
E24 [Amount of C12#S & C12#0. 100a 1&5 7T&ll
E25 IAmount of C112#D 100b 2 8
E26 IAmount of C12#D. 100a 2 8
E27 Incomplete/corrupt C112 100b 3 9
E28 [Incomplete/corrupt C12 100a/b 3 9
E29 IIncomplete/corrupt C4 100a 3 9
£30 IIncomplete/corrupt D 100a 3 9
E31 lIncomplete/corrupt S 100a 3 9
E32 ‘Amount of C4#S & C4#0 100a 1&5 7T&ll
E33 [Amount of D#S 100a 2 8
E34 (C112 arrived after state F99 100b 1&5 7T&ll
E35 (C12 arrived after state F99 100a/b 1&5 7&l
E36 (C4 arrived after state F99 100a 1&5 T&L
E37 D arrived after state F99 100a 2 8
E38 \S arrived after state F99 100a 1&5 T&L
E39 Settlement Date # Reconciliation Date N/A 4 10
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 49 of 1
3.1.6
3.1.6.1
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/O11
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
NB103: Settled transaction / Cash Account Reconciliation Statement
This report allows POL to reconcile the settlement stream against the Outlet Cash
Account stream. This reconciliation is required as settlement with the individual POL
clients is based upon the reconciliation date, i.e. the business day upon which the
transaction took place — this is carried right through the ‘C4’, ‘S’ & ‘D’, transaction
components. To complete a full reconciliation, it is important to know which Cash
Account the settled transaction was posted to, to enable a reconciliation of settlement
to be made with the outlet records. This report reconciles the transactions by
reconciliation date and Cash Account record.
NB103: Rules
1. NB103 is run weekly: In order to align with internal POL / TIP processing it is
required that this report is produced AFTER TPS processing on Friday and
BEFORE TPS processing on Saturday. The report should include all C4, S and D
transaction components where:
¢ reconciliation date = run date and,
e reconciliation date = run date — ‘N’ (where ‘N’ = I to 13).
2. Where a C112 is available and the CAP is known, the transaction will be posted
against the appropriate CBDB applicable to the reconciliation date — (see rules 8 &
9).
3. Where no C112 is available and therefore the CAP is unknown:
e the C4, S and D transaction components should be posted to “No Cash
Account Allocated’ (Column 7
e then, when the C112 becomes available, the entry should be deleted from ‘No _
Cash Account Allocated’ (Column 7) and posted to the appropriate CBDB
week applicable to the reconciliation date on the C112 (see rules 8 & 9)
e ifno C112 has been received after 14 days, the entry within ‘No Cash
Account Allocated’ (Column 7) should remain until the C112 becomes
available even if this exceeds 14 days
4. If a transaction is posted to the row ‘No C/A to TIP’ (according to it’s
reconciliation date):
¢ the transaction should remain in this row until the Cash Account has been
delivered to TIP and then move up into the row ‘C/A to TIP’
e ifno Cash Account has been delivered to TIP after 14 days, the entry within
‘No C/A to TIP’ should remain until the Cash Account is delivered to TIP
even if this exceeds 14 days
5. As the report is run each week, the transactions should move across the report
according to the CAP and the reconciliation date; for example, a transaction posted
to CBDB>=plus 2 in the first week, will move to CBDB plus 1 the second week
and then appear in CBDB the third week, until disappearing off the report after 14
days
6. NBI03 reports on VALUE only
7. Only system states for settled transaction types (C4, S & D) to appear on this
report
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 50 of I
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8. Five CAP’s will be shown, the ‘CBDB’, the ‘CBDB’ minus 1, the ‘CBDB’ <=
minus 2, the ‘CBDB’ plus I and the ‘CBDB’ >=plus 2. In addition, those settled
transactions which currently have not been allocated a Cash Account will be
shown.
9. The ‘CBDB’ Cash Account period (CAP) equates to TWO CAP’s prior to the
CAP applicable to the run date of the report. For example: If the report was run on
Saturday 20" January within CAP42 (CAP 42 commenced on Thursday 17"
January), the ‘CBDB’ CAP would be CAP40 (CAP40 commenced Thursday 3"
January, ended Wednesday 9" January)
10. Where the CAP in which the Outlet is trading is numerically more than 2 weeks
prior to the ‘CBDB’ CAP, if this takes the Outlet CAP into the previous year, this
will be reported as such. For example: The ‘CBDB’ CAP is CAP I and the Outlet
is trading in CAP 51, this is assumed to be CAP 51 of the previous year,
(therefore ‘CBDB’ <=minus 2) and not reported ahead in the current year.
. For exception reporting:
¢ For states: 16 — 19_use the ‘C4’ value
For states: 12 — 15, 20 - 23 use value on ‘D’ ‘Amount Confirmed’
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 51 of I
FUJ00232486
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ICL Pathway Ltd NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
COMMERCIAL IN CONFIDENCE Date: 19/12/01
1.6.2 NB103: Report Layout
INB103: Settled Transaction / Cash Account (Client: Barclays ete [Produced on: dd/mm/yyyy at hh:mm:ss
[Reconciliation Statement
[Run Date:_dd/mm/yyyy [Transaction Type: Deposits etc ICL Pathway MSU
Settled Transaction CAP ‘XX’ <=-2 CAP ‘XX? -1 CBDB CAP ‘XX? +1 CAP ‘XX’ >= +2 I No Cash Account I Total Value of
Reconciliation Date CAP ‘XX’ Allocated Confirmed /
Unconfirmed Txns
\dd/mmi/yyyy (C/A to TIP. 99999999.99} 99999999.99) 9999999999} 99999999.99} 999999999: 99999999 .99} 9999999999.99I
io C/A to TIP 99999999.99} 99999999,99) 9999999999} 99999999.99} 99999999.9' 99999999 99} 9999999999.99I
\dd/mm/yyy: V/A to TIP 99999999.99} 99999999.99I 9999999999} 99999999.99} 99999999.99 99999999 .99} 9999999999.99I
lo C/A to TIP 99999999.99} 99999999.99) 99999999.99} 99999999.99} 99999999.99 9999999999} 9999999999.99I
\dd/mmi/yyyy (C/A to TIP 99999999.99} 99999999.99) 9999999999} 99999999.99} 999999999) 9999999999} 9999999999.99I
lo C/A to TIP 99999999.99} 99999999.99) 9999999999} 99999999.99} 99999999.99 9999999999} 9999999999.99I
\dd/mm/yyyy (C/A to TIP 99999999.99} 99999999.99I 9999999999} 99999999.99} 99999999.99 9999999999} 9999999999.99I
lo C/A to TIP 99999999.99} 99999999.99I 9999999999} 99999999.99} 99999999.99) 9999999999} 9999999999.99I
[Repeat for 14 reconciliation dates + any reconciliation dates where there are settled transactions where the Cash Account has not been delivered to POL TIP or ‘No Cash
(Account Allocated’ (Column 7)
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page:
52 of 1
ICL Pathway Ltd
NETWORK BANKING END TO END Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 1.0
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COMMERCIAL IN CONFIDENCE Date: 19/12/01
113 NB103: Data Definition
INB103: Settled Transaction / Cash Account (Client: (Derived from Routing_Gateway) [Produced on: (Date and time of production)
[Reconciliation Statement
IRun Date: (The period for which the report refers — post {Transaction Type: (Derived from Txn_Type) ICL Pathway MSU
IFriday pre Saturday TPS processing)
Settled Transaction
Reconciliation Date
CAP ‘XX’ <=-2 CAP ‘XX? -1 CBDB CAP ‘XX? +1 CAP ‘XX’ >= +2 I No Cash Account
CAP ‘XX’ Allocated
Total Value of
Confirmed /
Unconfirmed Txns
\Unconfirmed
jtransactions
ompleted where
he Cash Account
lhas not been
(delivered to PON
(TIP
\dd/mm/yyyy (Confirmed & Total value of all settled transactions (C4, S & D), according to reconciliation date as allocated (or otherwise — column 7) to [Sum Columns
nconfirmed he appropriate CAP — where ‘Reported CAP? is as section 3.1.6.1: NB103 Rules. b,3.4,5,6,7 for this
ransactions reconciliation date
completed where [System State: 2-4, 7-23
ithe Cash Account [Reconciliation date = Run date & Run date—N (N= 1 to 13)
has been delivered and
io PON / TIP Reconciliation date = Run date — N (N = 14+) where ‘No Cash Account Allocated’ (Column 7) — See NB103 rule 3 bullet 3
\dd/mmi/yyyy ‘onfirmed and _ {Total value of all settled transactions (C4, S & D), according to reconciliation date as allocated (or otherwise — column 7) to [Sum Columns
fhe appropriate CAP — where ‘Reported CAP” is as section 3.1.6.1: NB103 Rules.
System State: 2-4, 7-23
Reconciliation date = Run date & Run date—N (N= 1 to 13)
jand
Reconciliation date = Run date — N (N = 14+) - See NB103 rule 4 bullet 2
2,3,4,5,6,7 for this
reconciliation date
[Repeat for 14 reconciliation dates + any reconciliation dates where there are settled transactions where the Cash Account has not been delivered to POL TIP or ‘No Cash
IAccount Allocated’ (Column 7)
4.0 Transaction Flow (R.A.C Diagram)
© 2001 ICL Pathw
Client
3 of 1
ICL Pathway Ltd NETWORK BANKING END TO END Ref:
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
CS/SPE/011
1.0
19/12/01
Lo Ae
mah
AIS UF 2 _ecers
ASE?
FUJ00232486
FUJ00232486
POCL
a cm TIP AIS
s c111
client ( (within normal
xc) TIP feed)
n
Agent
‘Authorisatio —
i
Vata Recon
Outle
A
¢
RipostéMessaging/& Desktop EOD
\ ¥ Process
(C2 message elem)
4. Logical And_Split (handled through multiple message harvesting into C11 & C12 And_Split
2. Logical ents are extracted from C12 as signed
3. Logical Or_Split. (explicit reporting, implicit reporting with error notification,
implicit reporting normal path without error; internal to NBE)
4, Logical And_Split (handled through TPS host table extract & transfer, separate
(Reconciliation Processing Tables) C112
Natian Garvi (inc. CAP)
Host C11 os
(within
Existing normal
TP Agent EOD harvest)
inc, CAP
Campus
Notes
subset for onward transfer to NBE via interface agent)
subsets transferred to DRSH as C112 and to TIP as C111)
© 2001 ICL Pathway Ltd
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NETWORK BANKING END TO END
RECONCILIATION REPORTING
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Ref: CS/SPE/O11
Version: 1.0
Date: 19/12/01
5.0 System States
Wen
crc ce Ds
Prewldtion Jarves, then prevaldte
(On compete/Corupt enor got: E27 £28 £29 £90 E31
Vaile on erry to State (#means not equal)
State_Conf Agent _N3E_TPS When vaid goto Ste_I _AmountActon AmountActin I AmountActon I _ Settement DateActon Raise let hen in State
sat bia a2 8 :
1 ct 6a 2 8 0 : : Vi repo NBY02 Seaton 5
2 ce oC 3. 02 E04 E02 E08] — craKcHEZD : CA Sete Dec OtE39 I Via epot NBIO2 Section 5
Find 3 C2 C4 cH E10 Ett E12 E13 EM) crtaAcrzE20 crrzacaeat A Sete DtRec Dt E39 No
4 a 7 2 E04 E02 E06 : A Sete Dec OtE39 Immediate i> 100
5 ona er 6 7 4 8 : : Immediate > 100,
6 CR org cot eu 3 15 11 I crraictaez0 : Via report NB102 Section 5
7 cA cite Eo 3 604 coo €06I — crratceezt - (A See Dec DEE39 Immediate > 100,
8 s 9 10 16 20 E06 : Sette DtRecDLES9 I Via report NBIO2 Seaton 5
9 s ci EO Ht 17 21 E05 I crams crraHM.Ez S Sette Dt#Rec DLES9 Immedate i> 100
cz $s tt 602 18 2 £05) crasacramen Sette DtRecDtEs9 I Via report NBI02 Seaton 5
tt cs cre Ent e02 19 23 605) ciiaici2e20 — crzasa cr2MDED Sette DtRecDLEG I Vierepart NBIO2 Seaton 5
2 D 14 13 €08 £03 E07 - Dette DtRec LES I Via report NBIO2 Secon 2
cD 15 02 08 E03 E0r I creADIC2}E26 Dette DtfRec LEGS I Via report NBI02 Seaton 2
“4 D cre Ent 15 e08 €03 E07 I crr2mYC12}€25 Dette DtRec LEIS I Via reprt NBI02 Section 2
% cD crt Ent E02 eos €03 E07 I criaici2é20 —crt2HNC12) 25, Delle DtRec LEG I Vie reprt NBIO2 Section 2
6 sic 17 18 £04 £09 £05] caHs a CHES? S orCé Sette Dec DtE39.} Via report NB102 Secon 5
7 ics crt Et 19 eos €02 £05] criamceer: cans a CHHDERD S orCt Sette Difec DCE39. I Vie report NB102 Secon 5
ec Slee 19 €02 E04 09 E05] © CICHEZS «CaS CHHLER S orC4 Sette Dec DLE39. I Vie report NB102 Secon 5
Fin 19 C12 Sica Cra E10 Ett E12 E13 EM) crtaicrzE20 Ci2HCHEZ3 CAH CHHDER2 IS or 4 Sete DsRec DERE No
Ey so 21 2 E06 E03 £05} — DAASERS SorD Sete DeRec OLE39 I Vie rept NBIO2 Section 2
a sD crt EDt 23 €08 €03 £05 Icr12Hs acr12HE22 —_DIAWSESS SorD Sette DiRec OLE39 I Vie report NBI02 Section 2
2 ce so 23 602 E08 E03 E05 I CIA ACIDE DAWES SorD Sete DtRec LE39 I Vie report NBI02 Section 2
2% cso ci Ent eu? coe 603 205] criaicizen _crimsacti2wer OIAWSES I SorDSette Dec OtE30 I Via report NBIO2 Seaton 2
jon sos
EO1 Additonal 112 ~ B Tmimediate> 100,
02 Additonal C12 : : : Immedate i> 100
£03 Additional - : - : Immedateit> 100,
604 Adtional : : : : Immediate i> 100
£05 Additonal S : : : : Immediate i> 100,
606 Sater Ct immedate > 100,
£07 Sater Immediate i> 100,
608 Cf afer : : : : Immedate i> 100,
£09 Dater C4 : : : : Immediate i> 100
E10 C12 ater al sate Tmmedateit> 100
Ett Cater finalsite Immediate > 100,
E12 Ch ater final state : : : : Immedate i> 100,
E13 Daler state : : : : immediate i> 100
E14 Sater Sina state : : : : Immediate i> 100
E15 Notused -
16 Notused - - - -
EIT Notused .
8 Notused : : : :
E19 Nolused : : : :
E20 Amount of CHACT2Z a immediate > 100,
E21 Amount of C1124CA Immedate i> 100,
E22 Amount of C1124 & C1120 : : : : Immedteit> 100,
£23 Amount of C1244 : : : : Immediate i> 100
E24 Amount of C1248 & C1280 : : : : Immediate > 100,
£25 Amountof C1124 : : - : Immedate i> 100
£26 Aunt of C1240 Immediate i> 100,
E2T Incomplete Compt C12 immedate t> 100
28 IncompletelCorupt C12 : : : : Immediate i> 100
£29 IncompleteCorupt C4 : : : : Immediate > 100,
£30 Incomplet!CoruptD Immediate > 100,
31_Incomplet/Corugt S : : : : Immedate i> 100
E32 Amount of CAS & C480 - - - - immediate i> 100
E33. Amount of DAS : : : : Immediate i> 100
E34 C112 arved afer sla FOS > immediate > 100,
£35 C2 anved ater slate F992 - - : - Immediate t> 100,
36 Ch arved ater state F99 : : Immediate i> 100,
E37 D anved ater sate 99 - - - : Immedate i> 100
£38 anived aftr state FOO : : : : Immediate i> 100
EW Setlement Dae # Recondition Date 5 5 3 Vi repo NBT02 Sesion
Final_F8S_ MSU escved Et 635 636 ESTEE 3 3 3 No
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 55 of 1