ICL Pathway
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NETWORK BANKING END TO
RECONCILIATION REPORTING
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Version: 2.0
Date: 21/01/2002
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Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Reviewed By:
Comments By:
Comments To:
Distribution:
Network Banking End to End Reconciliation Reporting
Reconciliation Report Specification (AIS)
N/A
This document specifies the reconciliation report output to
satisfy the end to end reconciliation of the Network Banking
Stream
APPROVED
Richard Brunskill: [CL Pathway Management Support
Richard Hicks: ICL Pathway, Linda Austin: PON
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
Reviewers & PVCS
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0.0 Document Control
0.1 Document History
Version No. I Date Reason for Issue Associated
CP/PinICL
0.1 06/06/01 First draft for review
0.2 20/06/01 Second draft for review following POL
discussion workshop and other comments from
reviewers.
0.3 02/08/01 Third draft for review following POL discussion
workshop and other comments from reviewers.
0.4 27/09/01 Fourth draft for review following POL
discussion workshop and other comments from
reviewers.
0.5 03/12/01 Fifth draft for review following POL discussion
workshop and other comments from reviewers.
1.0 19/12/01 Fifth draft for approval following POL
discussion workshop and other comments from
reviewers.
2.0 21/01/02 Final for approval inclusion of new section 5
0.2 Approval Authorities
Name Position Signature Date
John Pope ICL Pathway
Sue Harding PON / BDA
Clive Reed PON / TDA
0.3 Associated Documents
Reference Version I Date Title Source
NB/SPE/002 Network Banking DRS On- I ICL Pathway
line Workstation PVCS
Specification
NB/SDS/004 System Design Specification I ICL Pathway
for Network Banking PVCS
Reconciliation
CR/SPE/028 Network Banking — ICL Pathway
Transaction States and Data I PVCS
Flows
NB/PRO/002 Network Banking ICL Pathway
Reconciliation & Incident
Management
PVCS
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
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0.4 Abbreviations/Definitions
Abbreviation
Definition
Authorised Client
Transaction Awaiting
Confirmation (ACTAC)
From a ‘Client’ perspective, a transaction that has been authorised
but 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’
transaction.
Column Date
For Reports NB101a and NB101b the Reconciliation Date
applicable to 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’ transaction.
Counter Confirmations
From an outlet / PON perspective, a successfully completed
transaction at the counter. From a system perspective, a ‘C12’
transaction.
Exceptioned Client
Transaction (ECT)
From a Client perspective, a transaction reconciliation difference
highlighted within the NBE and notified to Horizon. From a
system perspective, a ‘D’ transaction.
Exception Types
Within all reports the ‘Exceptions’ category will include:
e ‘Incomplete States’, i.e. those transactions where one or more
transaction component is missing — a C4 without a C12 etc
e Genuine exceptions where transaction components belonging
to the same high level transaction have been exceptioned, i.e.
C12 (amount) not = to C4 (amount) ete.
e NBE/ DRS corruption’s
‘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 NBO12 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.
Reconciliation Date
The 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
& D) that make up a Network Banking transaction. If no Bank
Settlement date is available, the Reconciliation Date will be set to
the processing date that the Data Reconciliation Service first
recorded any element of the transaction being received. Ifa
Settlement date subsequently becomes available, the first available
Bank Settlement date will replace the processing date. However,
once a transaction has been accounted for on the reconciliation
reports, the Reconciliation Date will never change.
Routing_Gateway
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.
all transaction components processed by the DRS on System
Processing Date dd/mmi/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
preceding Friday, Saturday and Sunday.
TIP Transactions From an outlet / POL perspective, a transaction that has been sent
from TPS to POL TIP. From a system perspective, a ‘C112’
transaction.
CAP. Cash Account Period
CBDB Counters Business Data Base (POL)
cs Customer Service (ICL Pathway)
DRS Data Reconciliation Service
EPOSS Electronic Point Of Sale Service
MSU Management 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 © Clarification provided following review comments from POL.
Major revision of NB101a data definition to explain both in a
business and technical sense the progression of transaction
components throughout the reporting cycle. The final
reconciliation and settlement in accordance with the
requirements has not been amended.
e Inclusion of Incomplete State and Exception state matrices to
identify report population for specific error types. Section
3.1.4.14/ 15.
C2 transaction components have now been renamed C12.
Revised System State Table
0.5 Cl transaction components have now been renamed C112
Revised System State Table — now section 5
New sections, 11 & 12 added to NB102 to allow for Future
Dated Transactions
Transaction flow diagram removed from section I
New R.A.C diagram included as section 4
Definition of ‘Today’ removed from document
Definition of ‘New’, ‘Old’ and ‘Settlement Date’ included in
document.
¢ Removal of exception states E15 — E19 from all reports
following revision to State Table.
e New fields inserted into NB102 series reports & revision of
format of cleared reports (sections 7 — 10)
¢ Incomplete and Exception state amendments to some reports
where inconsistencies were evident.
eeelee
eeee
Re-ordering of NB102 sections
Review following detailed check of system states
New sub total lines included in NB100a and NB100b
Detailed rules added to NB103
Discrepancy reason codes added to NB102
ele eevee
New Section 5 included identifying reported values in
accordance with system states. Appropriate report rules point to
this new section
0.6 Changes Expected
Changes
No 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.
3.1.5.5 NB102: Section 4: Uncleared Timing Differences.
3.1.5.6 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions 324
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
3.1.5.9 NB102: Section 8: Cleared Exceptioned Client Transaction:
3.1.5.10 NB102: Section 9: Cleared NBE / DRS Corruption’s.
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
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 REPORTING VALUES ACCORDING TO SYSTEM STATE...
6.0 SYSTEM STATES...
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Date: 21/01/2002
1.0 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
2.0 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 Balance Enquiries
Transactions
NB100a Combined Report Separate Report
NB100b Combined Report Separate Report
NBIOla Y Y Not Required
NBIOIb Y Y Not Required
NB102 Combined Report Not Required
NB103 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
NB100a: NBE / DRS Reconciliation Statement
NB100b: TIP / DRS Reconciliation Statement
NB101la: Network Banking Settlement Statement <=5 days
NB101b: Network Banking Settlement Statement > 5 days
NB102: — Exception Summary
NB103: 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
6
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
4.
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)
See Section 5 for specific values to be reported against appropriate system states
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1.1.2 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
. 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. See Section 5 for specific values to be reported against appropriate system states
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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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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
days
System States: 1-2, 5, 7, 9-10,
35
Received = Old Reconciliation date: < Run Date
13-14, 17-18, 21-22, E01-02, E10-11, E20-22, E25, E27-28, E34-
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,
Received = New, Reconciliation date: <= Run Date
23
8. Total of all TIP / DRS exceptions still outstanding today
System States: 1-2, 5, 7, 9-10,
35
Received = New + Old, Reconciliation date: < = Run Date
13-14, 17-18, 21-22, E01-02, E10-11, E20-22, E25, E27-28, E34-
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Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
3.1.3 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.
3.1.3.1 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 exception state E39, always report against the reconciliation date.
11. See Section 5 for specific values to be reported against appropriate system states
wae
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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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Version: 2.0
Date: 21/01/2002
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, E32-33, E35-39
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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NB101a: Worked Example showing reconciliation date allocation
Day 1: Run Date 01/01/2001
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NB101a: Network Banking Settlement Statement <= 5 Client: Barclays Produced on: 02/01/2001 03:15:22
days
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 received:
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 3///2/2000, received run date 01/01/2001
3, Sub Total 1I (AA) £100.00 1I (BB) £50.00 1] (CO) £25.00 I Txn ‘CC’ “C4” £25.00 reconciliation date
4. Unconfirmed Txns (S) 1] (@D) £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 1I (EE) £45.00 0 £0.00 I Txn ‘DD’ *S’ £34.00 reconciliation date
6. Sub Total 1 I WD) £34.00 1 I (EE) £45.00 0 £0.00 I 21/01/2001, received run date 01/01/2001
. = “99 I Pxn ‘EE’ ‘S’ £45.00. reconciliation date
7. Total of Confirmed & 2 (AA DD) 2 (BB EE 1] (CO £25.00
Uachafirned: has { £134. » { £95, 0 ce 31/12/2000, received run date 01/01/2001
8.__Exceptioned Txns (D) 1 I (HA) £200.00 0 £0.00 0 £0.00 Mm 2000 och on dicen ation date
9. Late Exceptioned Txns (D) ° £0.00 ° £0.00 0 £0.00 I Tn ‘GG’ “EOI” £65.00 reconciliation date
10. Total of Confirmed, 3 (AA DD HH) 2 (BB EE) 1] (CO) £25.00 I 31/12/2000, 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 NG cqoeptions / corruption’s have been set to F99 by
12. TIP/ DRS exceptions O/S 0 £0.00 1I (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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Day 2: Run date 02/01/2001
NB101a: Network Banking Settlement Statement <= 5 Client: Barclays Produced on: 03/01/2001 02:17:15
days
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 (SD) £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 (JD) £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 , I ; 01/01/2001, received run date 02/01/2001 (replaces ‘S’)
7. Total of Confirmed & 1 (JJ) £90.00 I 3 ‘AA DD) 2 BB KK)
‘Unconfirmed Tene a oe oP) OF we Txn ‘FF’ ‘E04’ £10.00 reconciliation date 31/12/2000
8._ Exceptioned Txns (D) 0 £0.00 1 (HH £200.00 [0 £0.00 eon or me ue Arne state
9. Late Exceptioned Txns(D) I 0 £0.00 ° £0.00 ° £0.00 31/12/2001 set to state F99 by MSU on 02/01/2001
10. Total of Confirmed, 1 (Id) £90.00 I 3 (AA DD HB) 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 I 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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COMMERCIAL IN CONFIDENCE Date: 21/01/2002
3.1.4 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 no
exceptions outstanding, this reconciliation date would disappear.
3.1.4.1 NB101b: Rules
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.
8. 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’
9. 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.
10. For reporting purposes only:, “S’ type transactions in their appropriate system states must
always be exceptioned, i.e. states: 8-11
11. For exception state E39, always report against the reconciliation date.
12. See Section 5 for specific values to be reported against appropriate system states
weYNr
no
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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.
11
15.
16.
17
19.
20.
21.
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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Ref: CS/SPE/011
Version: 2.0
Date: 21/01/2002
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,
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1.5.3 NB102: Section 2: Uncleared Exceptioned Client Transactions
3.1 NB102: Section 2 — Report Layout
NB102 Section 2: Uncleared Client: — Barclays etc Produced on:
Exceptioned 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 Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type Type columns)
E13 dd/mm/yyyy, Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E13 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 2 9999999999.99
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 29 of 56
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
3.2 NB102: Section 2 — Data Definition
NB102 Section 2: Uncleared (Derived from Produced on:
Exceptioned Client Transactions I Routing Gateway.)
(Date and time of production)
Run Date: (The period for which I Transaction Type: (Derived ICL Pathway MSU
reconciliation date and a grand total for the
section. Where dates are shown for the same
exception type, list in descending order.
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Id Type Type columns)
One row for each exception, with specific Horizon_Txn_ I Txn_Type Bank Transact I Receipt_Transa I Receipt_Transa I Discrepancy _R I Value of each
system states listed in order, grouped within I Num ion_Id ction_Date ction_Time eason_Codes transaction
reconciliation date with a sub total for each component
System State: 12-15, 20-23, E03, E07 — E09, E13, E25 — E26, E33, E37
Received = New + Old
Reconciliation date: < = Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE
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FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.4 NB102: Section 3: Uncleared NBE / DRS Corruption’s
4 NB102: Section 3 — Report Layout
NB102 Section 3: Uncleared Client: — Barclays etc Produced on:
NBE / DRS 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 Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Date Type Type columns)
E28 dd/mm/yyyy Char G2) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E29 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 9999999999
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
E31 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
Total Section 3 9999999999.99
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE
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FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
4,2 NB102: Section 3 — Data Definition
NB102 Section 3: Uncleared (Derived from Produced on:
NBE / DRS corruption’s Routing Gateway.) (Date and time of production)
Run Date: (The period for which I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Id Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Type Type columns)
One row for each corruption, with specific I Horizon_Txn_N I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I Discrepancy Re I Value of each
system states listed in order, grouped within I um on_Id ction_Date ction_Time ason_Codes transaction
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 I S¥stem State: E27 ~31
exception type, list in descending order. Received = New + Old
. Reconciliation date: < = Run Date
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 32 of 56
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.5 NB102: Section 4: Uncleared Timing Differences
5.1 NB102: Section 4 - Report Layout
NB102 Section 4: Uncleared Client: — Barclays etc Produced on:
Timing 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 Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Date Type Type columns)
E39 dd/mm/yyyy Char G2) 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) 9999999999
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
Total Section 4 9999999999.99
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 33 of 56
FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
5.2 NB102: Section 4 — Data Definition
NB102 Section 4: Uncleared (Derived from Produced on:
Timing Differences Routing Gateway.) (Date and time of production)
Run Date: (The period for which I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date / Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Settlement Date Id Type Type columns)
One row for each timing difference, grouped I Horizon_Txn_ I Txn_Type Bank_Transacti I Receipt_Transa I Receipi_Transa I Discrepancy Re I Value of each
within reconciliation date with a sub total for I Num on_Id ction_Date ction_Time ason_Codes transaction
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. Rocked d= New + Old
Reconciliation date: <= Run Date
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ICL Pathway NETWORK BANKING END TO END CS/SPE/O11
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Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.6 NB102: Section 5: Uncleared Confirmed, Unconfirmed & TIP exceptions >24 hours
6.1 NB102: Section 5 — Report Layout
NB102 Section 5: Uncleared Client: — Barclays etc Produced on:
Confirmed, Unconfirmed & TIP
exceptions >24 hours
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 I Transaction Bank Txn Id Receipt Date I Receipt Time I Discrepancy I Values ( 8 sub
Date Type Type columns)
State I dd/mm/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 999999999.99
Total Section 5 9999999999.99
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
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FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
6.2 NB102: Section 5 — Data Definition
NB102 Section 5: Uncleared Client: (Derived from Produced on:
Confirmed, Unconfirmed & TIP I Routing_Gateway.) (Date and time of production)
exceptions >24 hours
Run Date: (The period for which_I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Id Type Type columns)
One row for each critical exception, with Horizon Txn_ I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I Discrepancy R I Value of each
specific system states listed in order, grouped I Num on_Id ction_Date ction_Time eason_Codes _I transaction
within reconciliation date with a sub total for component
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 56
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COMMERCIAL IN CONFIDENCE Date: 21/01/2002
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 56
15.8.1
‘1.5.8.2
ICL Pathway
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Ref: CS/SPE/011
Version: 2.0
Date: 21/01/2002
hours
NB102: Section 7 — Report Layout
8 NB102: Section 7: Cleared Confirmed, Unconfirmed & TIP exceptions < 24
NB102 Section 7: Cleared
Confirmed, Unconfirmed & TIP
exceptions < 24 hours
Client: Barclays etc
Produced on:
dd/mm/yyyy at hh: mm: ss
Run Date: dd/mm/yyyy
Transaction Type: Deposit &
Withdrawal
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/yyy’ 99999999 99999999.99
Sub total 999999999. 999999999.99.
Total Section 1 9999999999 9999999999.99.
NB102: Section 7 - Data Definition
NB102 Section 7: Cleared Client: (Derived from Produced on:
Confirmed, Unconfirmed & TIP I Routing_Gateway.) (Date and time of report
exceptions < 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.
For last reported System States: 1-2, 4-11, 16-18, E01-02,
E04-06,
E10-12, El4, E20-24, E32, E34 -36, E38
Set to F99: New
Reconciliation date: < = Run Date
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.9 NB102: Section 8: Cleared Exceptioned Client Transactions
91 NB102: Section 8 — Report Layout
NB102 Section 8: Cleared Client: Barclays etc Produced on:
Exceptioned Client Transactions 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 I Transaction Bank Txn Id Receipt Date I Receipt Time Discrepancy I Values ( 8 sub
Date Type Type columns)
E13 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E13 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
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9.2
ICL Pathway NETWORK BANKING END TO END
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Ref:
CS/SPE/O11
Version: 2.0
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COMMERCIAL IN CONFIDENCE Date: 21/01/2002
NB102: Section 8 — Data Definition
NB102 Section 8: Cleared Client: (Derived from Produced on:
Exceptioned Client Transactions I Routing Gateway.) (Date and time of production)
Run Date: (The period for which__I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn I Transaction I Bank TxnId I Receipt Date I Receipt Time I Discrepancy Values ( 8 sub
Id Type Type columns)
One row for each exception, with specific Horizon_Txn_ I Txn_Type Bank_Transact I Receipt_Transa I Receipt_Transa I Discrepancy_R I Value of each
system states listed in order, grouped within I Num ion_Id ction_Date ction_Time eason_Codes transaction
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
exception type, list in descending order.
For last reported System States: 12-15, 20-23, E03, E07 - E09, E13, E25 — E26, E33, E37
Set to F99: New
Reconciliation Date: <= Run Date
© 2001 ICL Pathway Ltd
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.10 NB102: Section 9: Cleared NBE / DRS Corruption’s
10.1 NB102: Section 9 — Report Layout
NB102 Section 9: Cleared NBE/ I Client: — Barclays etc Produced on:
DRS 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 Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Date Type Type columns)
E28 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
E29 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 999999999.99
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 56
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: __ 21/01/2002
10.2 NB102: Section 9 — Data Definition
NB102 Section 9: Cleared NBE/ I Client: (Derived from Produced on:
DRS corruption’s Routing Gateway.) (Date and time of production)
Run Date: (The period for which__I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Id I Transaction Bank TxnId_ I Receipt Date I Receipt Time I Discrepancy I Values ( 8 sub
Type Type columns)
One row for each corruption, with specific I Horizon_Txn_N I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I Discrepancy_Re I Value of each
system states listed in order, grouped within I um on_Id ction_Date ction_Time ason_Codes transaction.
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 for laste ported System States: E27 -31
exception type, list in descending order. Reconciliation Date: <= Run Date
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
15.11 NB102: Section 10: Cleared Timing Differences
ALA NB102: Section 10 - Report Layout
NB102 Section 10: Cleared Client: — Barclays etc Produced on:
Timing 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 Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Date Type Type columns)
E39 dd/mm/yyyy Char G2) 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) 9999999999
E39 dd/mm/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
E39 dd/mmv/yyyy Char (32) Code (99) Char (12) dd/mm/yyyy hhmmss Code (99) 99999999.99
Sub Total 999999999.99
Total Section 10 9999999999.99
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11.2
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Ref:
CS/SPE/O11
Version: 2.0
Date:
21/01/2002
NB102: Section 10 — Data Definition
FUJ00232488
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NB102 Section 10: Cleared Client: (Derived from Produced on:
Timing Differences Routing Gateway.) (Date and time of production)
Run Date: (The period for which__I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date / Horizon Txn I Transaction I Bank TxnId I Receipt Date I Receipt Time I Discrepancy I Values ( 8 sub
Settlement Date Id Type Type columns)
One row for each timing difference, grouped I Horizon_Txn__ I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I Discrepancy_Re I Value of each
within reconciliation date with a sub total for I Num on_Id ction_Date ction_Time ason_Codes transaction
each reconciliation date and a grand total for component
the section. Where dates are shown for the
same exception type, list in descending order.
For last reported System States: E39
Set to F99: New
Reconciliation Date: <= Run Date
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
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Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
1.5.12 NB102: Section 11: Cleared Confirmed, Unconfirmed & TIP exceptions > 24 hours
12.1 NB102: Section 11 — Report Layout
NB102 Section 11: 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 Type Reconciliation I Horizon Txn Id Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Date Type Type columns)
State I dd/mm/yyyy 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) 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 11 9999999999.99
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 45 of 56
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ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
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Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
12.2 NB102: Section 11 — Data Definition
NB102 Section 11: Cleared Client: (Derived from Produced on:
Confirmed, Unconfirmed & TIP I Routing_Gateway.) (Date and time of production)
‘ions > 24 hours
(The period for which I Transaction Type: (Derived ICL Pathway MSU
the report refers) from Txn_Type)
Exception Type / Reconciliation Date Horizon Txn Transaction Bank Txn Id Receipt Date Receipt Time Discrepancy Values ( 8 sub
Id Type Type columns)
One row for each critical exception, with Horizon_Txn_ I Txn_Type Bank_Transacti I Receipt_Transa I Receipt_Transa I Discrepancy_R I Value of each
specific system states listed in order, grouped I Num on_Id ction_Date ction_Time eason_Codes transaction.
within reconciliation date with a sub total for component
each reconciliation date and a grand total for -
the section. Note: an extra constraint for 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-
system state 18 is that the outlet must have Set to F99: New
harvested (TPS) successfully. Should an outlet wee a
be confirmed as non-polling, system state 2 Reconciliation Date: <= Run Date
Pt 8» Sy:
& 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
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 46 of 56
3.1.5.13
'1,5,13.1
',1,5.13.2
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Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
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.
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.
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FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/011
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
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 Exception report
State Number NB102 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 56
ICL Pathway
Ltd
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
FUJ00232488
FUJ00232488
Ref: CS/SPE/011
Version: 2.0
Date: 21/01/2002
3.1.5.15
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 Additional D 100a 2 8
E04 Additional C4 100a 1&5 7T&ll
E0S Additional 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 C112 after final state 100b 1&5 7T&ll
Ell C12 after final state 100a/b 1&5 7T&ll
E12 C4 after final state 100a 1&5 7T&l
E13 D after final state 100a 2 8
El4 S after final state 100a 1&5 7T&l
E15 Not Used
E16 Not Used
E17. Not Used
EIs8 Not Used
E19 Not 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 Amount of C112#D 100b 2 8
E26 Amount of C12#D 100a 2 8
E27 Incomplete/corrupt C112 100b 3 9
E28 Incomplete/corrupt C12 100a/b 3 9
E29 Incomplete/corrupt C4 100a 3 9
£30 Incomplete/corrupt D 100a 3 9
E31 Incomplete/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 afier state F99 100a 1&5 7&ll
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 56
3.1.6
3.1.6.1
ICL Pathway NETWORK BANKING END TO
Ltd
FUJ00232488
FUJ00232488
ND Ref: CS/SPE/011
RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
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 56
FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/011
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
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.
11. See Section 5 for specific values to be reported against appropriate system states
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 51 of 56
1.6.2
FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
NB103: Report Layout
ettled Transaction / Cash Account Client: Barclays etc Produced on: dd/mm/yyyy at hh:mm:ss
jation Statement
Run Date:_dd/mm/yyyy Transaction Type: Deposits ete 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/mm/yyyy C/A to TIP. 99999999.99 99999999 .99. 99999999.99 99999999.99 99999999 .99 99999999.99 9999999999 .99.
No C/A to TIP. 99999999.99 99999999 .99 99999999.99 99999999.99 99999999 .99. 99999999.99 9999999999.99.
dd/mm/yyy: C/A to TIP 99999999.99. 99999999.99 99999999.99. 99999999.99 9999999999. 99999999.99 9999999999.99
No C/A to TIP 99999999.99. 99999999.99 99999999.99 99999999.99 99999999.99 99999999.99 9999999999 .99.
dd/mm/yyy C/A to TIP 99999999.99 99999999.99. 99999999.99 99999999.99 99999999.99. 99999999.99 9999999999.99.
No C/A to TIP 99999999.99. 99999999 .99. 99999999.99. 99999999.99 99999999 .99 99999999.99 9999999999.99.
dd/mm/yyyy C/A to TIP 99999999.99 99999999 .99. 99999999.99 99999999.99 99999999 .99 99999999.99 999999999999
No C/A to TIP 99999999.99 99999999 .99 99999999.99 99999999.99 99999999 .99 99999999.99 999999999999.
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
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113
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
NB103: Data Definition
FUJ00232488
FUJ00232488
ation Statement
ettled Transaction / Cash Account Client: (Derived from Routing_Gateway) Produced on: (Date and time of production)
Run Date: (The period for which the report refers — post I Transaction Type: (Derived from Txn_Type) ICL Pathway MSU
Friday 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
dd/mm/yyyy I Confirmed &
Unconfirmed
transactions
completed
where the Cash
Account has
been delivered
to PON / TIP
Total value of all settled transactions (C4, S & D), according to reconciliation date as allocated (or otherwise — column 7)
to the 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= I to 13)
and
Reconciliation date = Run date — N (N = 14+) where ‘No Cash Account Allocated’ (Column 7) — See NB103 rule 3 bullet
3
Sum Columns
2,3,4,5,6,7 for
this reconciliation
date
dd/mm/yyyy I Confirmed and
Unconfirmed
transactions
completed
where the Cash
Account has not
been delivered
to PON TIP.
Total value of all settled transactions (C4, S & D), according to reconciliation date as allocated (or otherwise — column 7)
to the 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)
and
Reconciliation date = Run date — N (N = 14+) - See NB103 rule 4 bullet 2
Sum Columns
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
Account Allocated’ (Column 7)
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE Page: 53 of 56
FUJ00232488
FUJ00232488
ICL Pathway NETWORK BANKING END TO END Ref: CS/SPE/O11
Ltd RECONCILIATION REPORTING
Version: 2.0
COMMERCIAL IN CONFIDENCE Date: 21/01/2002
4.0 Transaction Flow (R.A.C Diagram)
Client
, POCL
3 o I] __AISUF 4 om ce TIP Als
Settlement Su; pert mre TP.
I EoD s bY e111
+ 5 client ( (within normal
H XC) TIP feed)
&
ID except °
AIS I/F 1 — AIS I/F 2 ASV) ===
4 I (B) (Reconeilition Processing Tables) mt] 112
oo LBS 1a B. ation Garvi (inc. CAP)
Host C11 —
Authorisatio 1 (within
n EOD harvest)
Agent inc. CAP
Campus
= Notes
4. Logical And_Split (handled through multiple message harvesting into C11 & C12 And_Split
Outle A L (C2 message elem)
Riposté Messaging/& Desktop EOD 2. Logical ents are extracted from C12 as signed
t \ i Process subset for onward transfer to NBE via interface agent)
‘a 7 3. Logical Or_Split. (explicit reporting, implicit reporting with error notification,
Countér Applicat implicit reporting normal path without error; internal to NBE)
4, Logical And_Split (handled through TPS host table extract & transfer, separate
subsets transferred to DRSH as C112 and to TIP as C111)
© 2001 ICL Pathway Ltd COMMERCIAL IN CONFIDENCE Page: 54 of 56
ICL Pathway
Ltd
NETWORK BANKING END TO END
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Version:
Date:
Ref:
CS/SPE/011
2.0
21/01/2002
FUJ00232488
FUJ00232488
5.0 Reporting Values according to System State
State Valuetouse State Val
1 Giz 12 E01 Additonal C112 cHi2
2 C12 C4 ca £02 Additional C12. C12
3 cI2 ca Cte ca E03 Additional D D
4 ch ca E04 Addtlonal C4 ch
5 one cre E05 Additional § 8
6 ci2 cre 12 E06 Satter C4 Ch
7 ca cite ca E07 Sater D D
8 8 8 £0¢ Chater D oy
9 8 Cie cuz £09 __Dater C4 D
10 ci2 8 c12 E10 C112 ater final state cni2
MW ct2, 8 ona 12 E11 C12 afer final state ci2
12 D D E12 Cf after final state ch
13 Ci2,D oD E13___D after final state D
14 D cit Do E14 $ afer final state 8
16 C2, DCH D E15 Notused -
16 sic ca E16 Notused :
17 sia C112 C4 E17 Notused :
18 12. Sica ca E1g _Notused :
19 C12 SIC4 C112 ca E19 __Notused :
20 810 D £20. Amount of C112#C12 Ci2
a SD C112 D E21 Amountof C112#04 cit2-c4
2 C12, sD D £22 Amount of C112#8 & C112#0 C1128
2% C12 BD C12 D £23 Amount of C12#C4 C12-C4
E24 Amountof C12#S & C12#0 C128
£26 Amountof C1124 D
£26 Amount of C12#D- C12-D
E27 _Incomplete/Corrupt C112 See below
£28 __incomplete/Corrupt C12 See below
£29 Incomplete/Corrupt C4 See below
£30 _Incomplete/Corrupt D See below
E31_Incomplete/Corrupt $ See below
E52 Amount of C4#S & CAH C4
E33__ Amount of DS 0-8
E34 C112 arrived after state F99 C2
E35 C12 arrived after state F99 ci2
E36 C4 arrived ater state F99 ch
£37 _D arrived after state F99 D
E38 S arrived after state F99. Ss
£39 __Setlement Dale # Reconciliation Date See below
F99__MSU resolved See below
Rules for £27 to £31, £39 and F99
C4 is present, use C4 value else
1 Dis present, use Amount Authorised from D else
1 C12 is present, use C12 amount else
1C112 is present, use C112 amount
Use $ amount
Additional Notes
else
For states E27 to E31, use the frst non corrupt value. fall values are corrupt or missing, then use 0.00
‘Wherever D value is shown, use Amount_Authorised from D
© 2001 ICL Pathway Ltd
COMMERCIAL IN CONFIDENCE
Page: 55 of 56
ICL Pathway
Ltd
NETWORK BANKING END TO END
FUJ00232488
FUJ00232488
RECONCILIATION REPORTING
COMMERCIAL IN CONFIDENCE
Rel CS/SPE/011
Version: 2.0
Date: 21/01/2002
6.0 System States
Prewldtion
(On compete/Corupt enor got:
When
lcrrzcrz ca DS
larrves, then prelate
Eat £28 £29 £30 E31
Validate on ey to Stat (#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: 56 of 56