Banking Back-Office Processing

Transcription

1 Banking Back-Office Processing Guide to Setting Up the Retail System Copyright 2002, Unisys Corporation. All rights reserved Unisys is a trademark of Unisys Corporation Release October 2003 Printed in the UK

2 The names, places, and/or events used in this publication are not intended to correspond to any individual, group, or association existing, living or otherwise. Any similarity or likeness of the names, places and/or events with the names of any individual, living or otherwise, or that of any group or association is purely coincidental and unintentional. NO WARRANTIES OF ANY NATURE ARE EXTENDED BY THIS DOCUMENT. Any product and related material disclosed herein are only furnished pursuant and subject to the terms and conditions of a duly executed Program Product License or Agreement to purchase or lease equipment. The only warranties made by Unisys, if any, with respect to the products described in this document are set forth in such License or Agreement. Unisys cannot accept any financial or other responsibility that may be the result of your use of the information in this document or software material, including direct, indirect, special or consequential damages. You should be very careful to ensure that the use of this information and/or software material complies with the laws, rules, and regulations of the jurisdictions with respect to which it is used. The information contained herein is subject to change without notice. Revisions may be issued to advise of such changes and/or additions. Correspondence regarding this publication should be forwarded to Unisys UK, Bakers Court, Bakers Road, Uxbridge, Middlesex, UB8 1RG, United Kingdom. All registered trademarks are acknowledged.

3 About This Guide Purpose This guide describes the screens used to set up the Unisys Banking Back-Office Processing product. This covers activity that follows the installation process, described in the Primary Release Letter. Scope This guide describes how to implement the system, including the procedures for setting up access security and the operational tables. Guidelines are also provided on how to set up blueprint parameters. Audience This document is for all personnel who are involved in implementing and maintaining the system. Prerequisites Any person using this guide should have read the Product Overview and be familiar with the user documentation. Users of this guide should have read the Starters Guide to Retail that provides instruction in the use of the screens. How to Use This Guide Use this guide in conjunction with the Release Letter, particularly when dealing with the following aspects: Blueprint Parameters Planning of Workflows and setting up data iii

4 About This Guide About Urbis The usage of the product name Urbis is due to be phased out as part of the Unisys re-branding exercise. The replacement will be the generic term "Banking Back-Office Processing" solution or "Banking Back-Office" for short. To provide continuity with existing product documentation, the name Urbis is used within this document, but is synonymous with Banking Back-Office Processing. Organisation This guide consists of the following sections and appendices: Section 1. Access Security This section gives an overview of security. This is followed by descriptions of the screens used to set up security. Section 2. Country and Currency This section describes the screens used to set up the data associated with countries and their currencies. Section 3. Accounting Centre and Dates Maintenance This section describes the screens used to set up the data associated with accounting centres and the dates used to drive the system. Section 4. Blueprint Parameters This section contains a brief description of the process for setting blueprint parameters including the screen that is used. Section 5. Operational Data This section describes the screens used to maintain the operational data containing details of the system. Section 6. Definition of Field Names This section provides definitions of all the field names on the screens in this guide. The fields are listed alphabetically. iv

5 About This Guide Appendix A. Retail Blueprint Parameters This section contains lists of the parameters that apply across the Urbis system, and describes each of them. Appendix B. Frequency Codes This appendix lists the frequency codes used by the system. The frequency codes define when and on which days certain events take place, for example, interest settlement. These codes cannot be changed. Appendix C. Deleting Business and Operational Tables This appendix describes the affects of deleting key information, entered using the business and operational tables, once installation is complete. Appendix D. Euro Related Information This appendix describes the main changes brought about by Economic and Monetary Union, and the preparation necessary when converting to the euro. Appendix E. Narrative Types and Retention Times This appendix contains information on the General Purpose Narrative (GNARR) table types. It also contains information on the retention times for the deletion of old data, including default values for all retention times v

6 About This Guide Related Product Information Product Overview ( ) This document describes the capabilities and benefits of the system. It consists of an overview and description of each of the modules and interfaces available. It is intended for use by senior management. Retail Operations Reference Card ( ) This document is a single card that provides a list of screen names and their mnemonics. The list is organised according to the menu structure of the Graphical User Interface. The card also describes how to log on and off, enter data, make inquiries and print reports. These instructions are relevant to the Graphical User Interface only. Starter s Guide to Retail ( ) This guide describes how to enter data and make online inquiries. It includes a description and example of commonly used data entry and inquiry screens. It also describes how to add a client and use a workflow with examples. This guide is intended for all new and inexperienced personnel who need to enter data and make inquiries. Core Retail Functions and Inquiries Guide ( ) This guide describes the kernel functions that are used regularly for the maintenance of information utilised by a number of Urbis modules. It describes the procedures for setting up and maintaining data, such as exchange rates. It also describes the vault management facilities. It should be used by all users. Retail Lending Administration Guide ( ) This guide is only relevant to the retail loans module. It describes how to set up and maintain retail loan product templates. It also details the screens needed to enter an application for a loan and administer any loan granted as a result of an application. The screens used to record details of collateral used to back a loan are described also. An appendix gives the calculations used by retail loans. This guide should be used by personnel involved in loan administration. Retail Clients and Accounts Administration Guide ( ) This guide describes the data entry and inquiry screens associated with setting up and maintaining client details. This guide also describes the set up and maintenance of client accounts, client account templates and automatic payments, such as standing orders. An appendix covers the calculations used by client accounts. This should be used by personnel preparing information for data entry. vi

7 About This Guide Arrears Management Administration Guide ( ) This guide describes the data entry screens associated with the Arrears Management functionality. This allows the user to recognise when an account is in arrears, create an arrears case, and manage the arrears case. General Ledger Administration Guide ( ) This guide describes the data entry screens associated with General Ledger transactions. This should be used by personnel preparing information for data entry. Financial Transactions Reference Guide ( ) This guide is only relevant to the retail payments module. It describes the screens used to capture data from a retail delivery system. Also covered are the back office batch entry screens and how to set up accounting centre accounts and suspense accounts. This guide should be used by personnel who need to identify the data items that are captured by financial transactions and for those preparing information for data entry. Core On-Demand Reports Guide ( ) This guide describes how to run online reports that are relevant to retail and wholesale banking functions. Any options available when producing a report are detailed as well as any specific calculations. Retail On-Demand Reports Guide ( ) This guide describes retail on-demand reports in alphabetical order. Any options available when producing a report are detailed as well as any specific calculations. Overnight Reports Guide ( ) This guide describes how to run offline reports. This includes an overview of overnight processing. Instructions on how to initiate reports are given. This guide should be used by all personnel who need to understand the reports and the overnight process. Data Dictionary ( ) This document provides details of data fields within every dataset on the database. This document should be used by staff preparing the accounting models and writing SQL reports to inquire on the database vii

8 About This Guide viii

9 Contents About This Guide... iii Section 1 Access Security Access Security Screen Flow Access Security Prerequisites User Codes and Passwords Access Groups Setting up Printers and Stations Terminal Printer Address (PRNTR) Stations Maintenance (STNS) Setting up Access Groups Access Groups Maintenance (ACGRP) Access Group Authorisation (ACCES) Setting up Users User Details Users Maintenance (USERS) Users Maintenance and Authorisation (USERM) User Authorisation Queue (USERA) Password Maintenance (PWORD) Access Security Inquiries Audit Inquiries Audit Inquiry by Screen (AUDSQ) Audit Inquiry by User (AUDUQ) Audit Details Inquiry (AUDIQ) Error Message Audit Inquiry (AUEMQ) Access Security Reports ix

10 Contents Section 2 Country and Currency Introduction to Country and Currency Country and Currency Screen Flow Country and Currency Prerequisites Country and Currency Screens Countries (CNTRY) Country Diary (CYDR) Country Standard Holidays (CTRYH) Country Group Maintenance (CNTGR) Postal Areas by Country (CTPA) Postal Area Maintenance (CTPAM) Postal Group Maintenance (PSTGR) Currencies (CCYS) Country and Currency Reports Section 3 Accounting Centre and Dates Maintenance Introduction to Accounting Centres and Dates Maintenance System Structure System Parameters Accounting Centre and Dates Screen Flow Accounting Centre and Dates Prerequisites Accounting Centre and Dates Screens System Dates (DATES) Location Maintenance (LOCTM) Accounting Centres Maintenance (ACNTM) Profit Period Dates (PPDAT) Cross Accounting Centre Rules (ACRLM) System Parameters (SPMTR) Indirect Costs Maintenance (PCICM) Accounting Centre and Dates Maintenance Inquiries Accounting Centre and Dates Maintenance Reports Section 4 Blueprint Parameters Introduction Changing Blueprint Parameters x

11 Contents Section 5 Operational Data Introduction to Operational Data Operational Data Screen Flow Operational Data Prerequisites Operational Data Screens Narrative Types (TNARR) General Purpose Narratives (GNARR) Retention Table Maintenance (RETTM) Retention Table Inquiry (RETTI) Screens Maintenance (SCRNS) Setting Up Operations (OPERS) Reports Maintenance (REPS) Report Options Details (RPOPM) Report Recipients (REPRC) Report Distribution (COPYA) Report Distribution Maintenance (COPYM) Error Messages (EMSGM) Process Definition (CATDM) Report Headers Maintenance (RHEAD) Report Text Maintenance (RTEXT) Screen Text Maintenance (STEXT) Operational Data Inquiries Operational Data Reports Section 6 Definition of Field Names Introduction Appendix A Retail Blueprint Parameters Blueprints for Processing Control... A 1 Processing Blueprints - Access Security... A 1 Processing Blueprints - Client and Client Accounts... A 3 Processing Blueprints - Dates... A 5 Processing Blueprints - Financial Transactions... A 6 Processing Blueprints - Retail Loans... A 8 Processing Blueprints - Report Controls... A 9 Blueprints for Record Retention... A 11 Blueprints for Nationalisation... A 13 Nationalisation Blueprint Parameters - General... A 13 Nationalisation Blueprint Parameters - Client and Accounts... A 15 Nationalisation Blueprint Parameters - Financial Transactions... A 26 Nationalisation Blueprint Parameters - Retail Loans... A 27 Nationalisation Blueprint Parameters - Rates... A 30 Nationalisation Blueprint Parameters - Urbis Text Based... A xi

12 Contents Appendix B Frequency Codes Introduction... B 1 Frequency Codes Table... B 1 Appendix C Deleting Business and Operational Tables Introduction... C 1 Appendix D Euro Related Information Introduction... D 1 Preparations for Conversion Weekend... D 3 Conversion Weekend... D 3 Introduction of Notes and Coins... D 3 Withdrawal of National Notes and Coins... D 4 Subsequent Waves on EMU... D 4 Testing the Conversion Weekend Procedures... D 5 Contingency Planning... D 5 Data Preparation... D 6 Setting Up Europe as a Country... D 6 Setting Up the Euro as a Currency... D 6 Update System Parameters... D 7 Setting up an Exchange Rate Group... D 7 Setting Up New Base Rates... D 7 Appendix E Narrative Types and Retention Times Narrative Types... E 1 Retention Dates... E 6 Index... Index 1 xii

13 Figures 1 1 Flow of Access Security Screens Terminal Printer Addresses screen Stations Maintenance screen Access Groups Maintenance screen Access Group Authorisation screen Users Maintenance screen Users Maintenance and Authorisation screen Users Authorisation Queue screen Password Maintenance screen Audit Inquiry by Screen screen Audit Inquiry by User screen Audit Details Inquiry screen Error Message Audit Inquiry screen Screen Flow for Countries and Currencies Countries screen Country Diary screen Country Standard Holidays screen Country Group Maintenance screen Postal Areas by Country screen Postal Area Maintenance screen Postal Group Maintenance screen Structure of Urbis Screen Flow for Accounting Centre and Dates System Dates screen Location Maintenance Screen Accounting Centres Maintenance screen Profit Period Dates screen Cross Accounting Centre Rules screen System Parameters screen Indirect Costs Maintenance screen Blueprint Maintenance screen xiii

14 Figures 5 1 Screen Flow for Operational Data (Part 1) Screen Flow for Operational Data (Part 2) Narrative Types screen General Purpose Narratives screen Retention Table Maintenance screen Retention Table Inquiry screen Screens Maintenance screen Setting Up Operations screen Reports Maintenance screen Report Option Details screen Report Recipients screen Report Distribution screen Report Distribution Maintenance screen Error Messages Table screen Process Definition screen Report Headers Maintenance screen Report Text Maintenance screen Screen Text Maintenance screen D 1 Phases of Conversion to the EMU... D 2 xiv

15 Tables 1 1 The Access Matrix Definition of Field Names A 1 Blueprint Parameters Used for Access Security Processing... A 1 A 2 Blueprint Parameters Used for Clients and Accounts Processing... A 3 A 3 Blueprint Parameters Used for Dates Processing... A 4 A 4 Blueprint Parameters Used for Financial Transaction Processing... A 5 A 5 Blueprint Parameters Used for Retail Loan Processing... A 7 A 6 Blueprint Parameters Used for Report Control Processing... A 8 A 7 Blueprint Parameters Used for Sleeping Report Control Processing... A 9 A 8 Urbis Retention Dates... A 10 A 9 Blueprint Parameters Used for General Nationalisation... A 12 A 10 Blueprint Parameters Used for Client and Accounts Nationalisation... A 14 A 11 Blueprint Parameters Used for Financial Transactions Nationalisation... A 25 A 12 Blueprint Parameters Used for Retail Loans Nationalisation... A 26 A 13 Blueprint Parameters Used for Rates Nationalisation... A 29 A 14 Blueprint Parameters Used for Urbis Text Based Nationalisation... A 29 B 1 Frequency Codes... B 1 C 1 Deleting Business and Operational Tables... C 1 D 1 Phases of Conversion to the Euro... D 6 E 1 Retention Dates... E xv

16 Tables xvi

17 Section 1 Access Security Access Security Screen Flow The data entry screens used to set up and maintain access security are illustrated below: Define the printers in the network Terminal Printer Address (PRNTR) Define the user of terminals (stations) in the network Stations (STNS) Define access groups and operations allowed to members of each access group Access Group Parameters (ACGRP) Access Groups (ACCES) Define attributes for users of the system (see "Setting Up Users") for more information Users (USERS) Users Maintenance/ Authorisation (USERM) Dealers and Officers (DEALR) Update the user passwords Passwords (PWORD) Figure 1-1. Flow of Access Security Screens Note: Usage of access security screens shown in the above diagram should be restricted so that changes may only be performed by authorised users. Each of the screens additionally allows you to make inquiries and delete records

18 Access Security Access Security Prerequisites There are no prerequisites to setting up printers or stations. To set up access groups, operations and reports are supplied as standard. For systems that are customized, they must be set up, see the Setting Up Operations (OPERS) screen and the Reports Maintenance (REPS) screen. To set up usercodes, accounting centres must be set up. Accounting centres are set up on the Accounting Centres Maintenance (ACNTM) screen. User Codes and Passwords To use the system, each user must enter a User Code and password to log on to the system. Passwords should be regarded as highly confidential. They should be recorded in documents that are housed in a secure location and should be known only to supervisory staff and the user concerned. Usercodes and passwords are held on the Users (USERS) table. Specific rules for password expiry can be defined using the Users (USERS) screen. For example, these rules allow temporary users of the system to be set up by entering a password expiry date and preventing password update on expiry. General rules regarding password maintenance can be controlled using the following blueprint parameters: BP-PWRD-DAYS: The number of days for which a password is valid before the user must update it BP-PWRD-REMIND: The number of days prior to password expiry that the user will be prompted to update it BP-PWRD-MAX: The maximum number of characters allowed in a password BP-PWRD-MIN: The minimum number of characters allowed in a password BP-PWRD-MAXA: The maximum number of alphabetic characters that are allowed in a password BP-PWRD-MINA: The minimum number of alphabetic characters that are allowed in a password BP-PWRD-MAXN: The maximum number of numeric characters that are allowed in a password BP-PWRD-MINN: The minimum number of numeric characters that are allowed in a password BP-PWRD-CONCR: Indicates whether groups of three characters (such as abc) can be repeated in a password BP-PWRD-USRCON: Indicates whether the first three characters of the usercode can be used in a password BP-PWRD-READS: The amount of the user's previous passwords that will be stored so that they cannot be used again BP-PWRD-DEF: The password that must be used for a new user if you want the user to be prompted to enter a new password when they first attempt to logon to Urbis

19 Access Security Note: If BP-PWRD-MAXA, BP-PWRD-MINA, BP-PWRD-MAXN and BP-PWRD-MINN are all set to zero, then the number of alphabetic and numeric characters that make up the password is not controlled. User access can also be restricted to specific terminals through the use of station passwords. The user must enter this password to log on to the system at the station. A record must be set up on the Stations (STNS) table to enable a terminal to access the system. Access Groups Every user is assigned to an access group. Each access group defines a set of operations (or screens) and reports that users in the group can access (see Setting up Access Groups later in this section). A single access group code can be assigned to any number of users. Consequently, it is only necessary to define the scope of a particular access group once. When you add new users requiring the same access capabilities, they can be entered as members of an existing access group

20 Access Security Setting up Printers and Stations Terminal Printer Address (PRNTR) Each terminal used by the system can be linked to a printer for printing of, for example, confirmations and payments. The name (address) of each printer must be entered before the facility can be used. The Terminal Printer Address (PRNTR) screen is used to add, delete or inquire on the names of the printers. To delete a printer, leave the Starting Terminal Printer Address field blank, select the "Delete" field next to the 'Terminal Printer Address' you want to delete and click Delete The following figure shows an example of the Terminal Printer Address screen. Figure 1 2. Terminal Printer Addresses screen

21 Access Security Stations Maintenance (STNS) You must make an entry on the Stations table for each station (terminal) on which the system is used. Details of stations are entered and maintained on the Stations Maintenance (STNS) screen. For each station, the following items are defined on this table: The station name The name of an associated printer The names of the default printers used for confirmations and payments The station status The address The station password When users log on, they must enter the station password. It is, therefore, important that you keep a record of the station password for each station. Stations can also be enabled and disabled using this screen. Note: The printer names must have been set up on the Terminal Printer Address (PRNTR) screen. The following figure shows an example of the Stations Maintenance screen. Figure 1 3. Stations Maintenance screen

22 Access Security Setting up Access Groups It is important that you prepare details of the access security you want before you enter them into the system. The following procedures give one method of doing this: 1. Draw up a matrix for each department. List members of staff who will be using the system along the top of the matrix and list the operations and reports on the left hand side (see Table 1-1). 2. Place a cross against the operations and reports each member of staff can access (see Table 1-1). Table 1 1. The Access Matrix Operation or Report A. Smith B. Brown C. Jones D. Evans Add Client X X X X Change Client X X Add Client Account X Client Balance Report X X Create Product Template X 3. Compare the access requirements of each user and group those with the same requirements. These groups form the access groups you require for the department. The example in Table 1-1 suggests three access groups, one for A Smith, one for B Brown, and one for C. Jones and D. Evans. 4. Assign a usercode and password to each user. 5. Assign a station password to each terminal to be used to access the system. 6. Enter the information. Note: Before you begin entry of access groups you must ensure that all reports and all the operations (for example Add, Change) for each screen are defined. See Section 5 "Operational Data" for full details. Before inquiring on a report or operation number, you must identify the correct operation on the Setting Up Operations (OPERS) screen. There are two screens that you must complete to set up an access group: Access Groups Maintenance (ACGRP) Access Group Authorisation (ACCES)

23 Access Security Access Groups Maintenance (ACGRP) Each user is assigned to an access group. The access group defines the operations and reports that members of the group can use. The Access Groups Maintenance (ACGRP) screen is used to select the access group that you want to create or change. Enter the access group name, indicate whether the group is for Operations or Reports and enter the operation or report number from which you want the display to start. Click either the Add, Change, or Inquire button. The Access Group Authorisation (ACCES) screen is displayed. To delete an access group, you must first delete all users still associated with that access group. The following figure shows an example of the Access Groups Maintenance screen. Figure 1 4. Access Groups Maintenance screen

24 Access Security Access Group Authorisation (ACCES) The Access Group Authorisation screen is used to define the operations or reports that users linked to a particular access group can use. You link users to a group on the Users Maintenance (USERS) screen. This screen can only be accessed from the Access Groups Maintenance (ACGRP) screen. Each report and operation is assigned a number, during installation. All valid operations or reports are listed on the Access Group Authorisation screen (ACCES) in numerical order. Against each one is an authorisation indicator. To authorise a report or operation for a user group switch 'On' the New Authorised field adjacent to the report or operation and click the OK button. To stop a user group from using a report or operation, switch 'Off' the "New Authorised Field" adjacent to the report or operation and click the Ok button. The following figure shows an example of the Access Group Authorisation screen. Figure 1 5. Access Group Authorisation screen

25 Access Security Setting up Users There are two separate methods in Urbis that can be used to set-up and maintain user information. Only one of these methods can be in use at any given time. The following two methods are available: User Entry and Maintenance Without Authorisation. A user can add, change, or delete user details; the changes made are applied straight away, and do not have to be authorised. All changes are made on the Users Maintenance (USERS) screen. User Entry and Maintenance With Authorisation. A user can add, change, or delete user details; the changes made are not applied until authorised. All changes are made on the Users Maintenance and Authorisation (USERM) screen. When the information is transmitted from this screen, the change is sent to the users authorisation queue, where a user can authorise the changes. The users authorisation queue can be seen on the User Authorisation Queue (USERA) screen. The following blueprints control user authorisation: Blueprint BP-ATH-REQ-USERM if set to Y, makes the authorisation queue mandatory. The user cannot be used in the system unless authorised and cleared from the queue. Blueprint BP-SAME-USER-ATH if set to Y, enables the same user who entered/changed/deleted the user details to authorise the same. If set to N, another staff member who has been given authorisation permission in the system must authorise the client details. For more information on blueprint parameters, see Appendix A, 'Retail Blueprint Parameters'

26 Access Security User Details For each person who is to use the system, a single user must be entered which assigns a user name and the core information that defines a user. This includes the following: The usercode and password. To make the user change the password at initial logon, the password must be left blank The accounting centre to which the user belongs The number of minutes after which the user is logged off if the terminal is not used The access group to which the user belongs The maximum value of retail loans that the user is able to authorise The maximum amount of an overdraft that the user is able to authorise Whether the user is able to enter retail financial transactions and if so the level of authority they have to override errors that would prevent entry of financial transactions The language in which screen formats and error messages are to be displayed to the user - currently only English is available to users of the Graphical User Interface Whether the user can reinstate deleted records. Users with the reinstatement facility can inquire on, and make changes to, a deleted record. The following message is displayed 'INQUIRY REQUESTED - KEY DELETED'. This indicates that the record has been deleted. Changing a deleted record results in its reinstatement. Users without the reinstatement facility can inquire on, but not change, deleted records. The following list shows the deleted records that can be reinstated: Accounting Centres Maintenance (ACNTM) Narrative Types (TNARR) Dealers and Officers (DEALR) Users (USERS) Cost per Transaction Maintenance (TCDCM) Operations (OPERS) Currencies (CCYS) Report Recipients (REPRC) Client Types Maintenance (CICTM) Reports (REPS) Countries (CNTRY) Stations (STNS) General Ledger Master (GLMAM) For a temporary user of the system, set a password expiry date and do not permit password update on expiry

27 Access Security Users Maintenance (USERS) This screen allows you to enter details on a user, and maintain those details. This screen is only used for user details if the blueprint parameter BP-ATH-REQ-USERM is set to 'N'. For more information on this blueprint parameter, and when this screen is used, see 'Setting Up and Maintaining Users', earlier in this section. For more information on the information that must be entered for a user, see 'User Details' earlier in this section. The following figure shows an example of the Users Maintenance screen. Figure 1 6. Users Maintenance screen

28 Access Security Users Maintenance and Authorisation (USERM) This screen allows you to enter details on a user, and maintain those details. This screen is only used for user details if the blueprint parameter BP-ATH-REQ-USERM is set to 'Y'. For more information on this blueprint parameter, and when this screen is used, see 'Setting Up and Maintaining Users', earlier in this section. When user details are entered or changed on this screen, then the database is not updated with the changes until the change has been authorised. The changes to be authorised can be viewed on the User Authorisation Queue (USERA) screen. When a change to be authorised is chosen from the authorisation queue, then the user is returned to this screen to view and authorise the change. To authorise the change, click the Authorise button. This button can only be clicked after linking to this screen from the authorisation queue. For more information on the information that must be entered for a user, see 'User Details' earlier in this section. The following figure shows an example of the Users Maintenance and Authorisation screen. Figure 1 7. Users Maintenance and Authorisation screen

29 Access Security User Authorisation Queue (USERA) This screen is allows you to authorise additions or changes to the information held on users of the system. This screen is only used if the blueprint parameter BP-ATH-REQ-USERM is set to 'Y'. For more information on this blueprint parameter, and when this screen is used, see 'Setting Up and Maintaining Users', earlier in this section. This screen provides a list of all the changes that have been made to user details. It is possible to limit the list by entering the User Code of a specific user, and by using the 'Authorisation Status' field to view just changes already authorised, or changes awaiting authorisation. To Authorise a Change To authorise a change to user information, select the change you want to authorise and click the Authorise button. The system will link to the Users Maintenance and Authorisation (USERM) screen to view the change and authorise the change. To Authorise the Deletion of a User To authorise the deletion of a user, select the deletion request to authorise and click the Authorise Delete button. The user will be deleted from the system. To Stop the Deletion of a User If a user has been incorrectly deleted, then stop the deletion process and reinstate the user details by selecting the deletion request and clicking the Remove Delete button

30 Access Security The following figure shows an example of the Users Authorisation Queue screen. Figure 1 8. Users Authorisation Queue screen

31 Access Security Password Maintenance (PWORD) User's passwords can be updated using the Password Maintenance (PWORD) screen under the security menu. For security reasons the new password is not displayed when it is entered; it is therefore necessary to enter the password twice to ensure that typing errors are not accepted by the system. The Usercode and User s Name are defaulted from the Users Maintenance (USERS) screen. The following figure shows an example of the Password Maintenance screen. Figure 1 9. Password Maintenance screen

32 Access Security Access Security Inquiries The following security screens have inquiry facilities, but there are no separate inquiry screens: Stations Maintenance (STNS) Access Groups Maintenance (ACGRP) Access Groups Authorisation (ACCES) Users Maintenance (USERS) Printers Maintenance (PRNTR)

33 Access Security Audit Inquiries The audit features contained in Urbis allow you to record details of how Urbis is being used. Every time a screen is used, Urbis will record what was done on the screen and by which user. The audit record also shows the machine time and date, not the on-line time and date. These records can then be accessed and displayed on various audit inquiry screens. The audit inquiry screens are shown below: Audit Inquiry by Screen (AUDSQ) Audit Inquiry by User (AUDUQ) Audit Details Inquiry (AUDIQ) Error Message Audit Inquiry (AUEMQ) Auditing in Urbis is controlled by the blueprint parameter BP-AUDIT-REQD, described in Appendix A, Retail Blueprint Parameters. This determines whether auditing takes place in your system. It can be set to: Yes (Y) - Allow all the auditing facilities to work in your system. This is the default value. No (N) - Do not allow any of the auditing facilities to work in your system

34 Access Security Audit Inquiry by Screen (AUDSQ) Use this screen to display audit records for a screen. Inquiring on a particular screen will recall all the records of the usage of that screen. To inquire enter the date and time you want to start your inquiry from in the Next Date and Next Time fields. Alternatively, you can enter the audit number you want to search from using the Next Number field. The following information is displayed for each screen: Error: An asterix will be shown in this field if the particular record of usage relates to an error. You can then link to the Error Message Audit Inquiry (AUEMQ) screen to see what the error was. Date and Time: This is the date and time the screen was called. Audit Number: The number given to the record. User and Username: The user who called the screen, and their username Function: A record of the action performed on the screen. This is a three letter mnemonic, for example INQ shows that an inquiry was performed on the screen. Audit Type: This field contains either Send (S) or Receive (R). Send is when an audited record involves sending information to Urbis. Receive is where information is being received from Urbis. If no information is displayed for a screen, then it has not been used since the audit records were last deleted. If you want further details on any particular usage record, these can be obtained by linking to one of the other screens containing audit information. To do this highlight the particular screen record you are interested in. Then click the Details or Error Message button. These take you to the Audit Details Inquiry (AUDIQ) screen or the Error Message Audit Inquiry (AUEMQ) screen respectively

35 Access Security The following figure shows an example of the Audit Inquiry by Screen screen Figure Audit Inquiry by Screen screen

36 Access Security Audit Inquiry by User (AUDUQ) Use this screen to display the audit records for a user. Inquiring on a particular user will recall the screens accessed by that user, and what was done on them. To inquire enter the date and time you want to start your inquiry in the Next Date and Next Time fields. Alternatively, if you know the number of the audit number you want to search from, use the Audit Number field. The following information is displayed for each user: Error: An asterix will be shown in this field if the particular usage record relates to an error. You can then link to the Error Message Audit Inquiry (AUEMQ) screen to see what the error was. Date and Time: This is the date and time the screen was called. Audit Number: The number given to the record. Screen and Screen Title: The screen and screen title accessed. Function: A record of the action performed on the screen. This is a three letter mnemonic, for example INQ shows that an inquiry was performed on the screen. Audit Type: This field contains either Send (S) or Receive (R). Send is when an audit number involves sending information to Urbis. Receive is where information is being received from Urbis. If no information is displayed for a screen, then it has not been used since the audit records were last deleted. If you want further details on any particular record, link to one of the other screens containing audit information. To do this highlight the particular screen record you are interested in. Then click the Details or Error Message button. These take you to the Audit Details Inquiry (AUDIQ) screen or the Error Message Audit Inquiry (AUEMQ) screen respectively

37 Access Security The following figure is an example of the Audit Inquiry by User (AUDUQ) screen. Figure Audit Inquiry by User screen

38 Access Security Audit Details Inquiry (AUDIQ) This screen can only be accessed by linking from either the Audit Inquiry by User (AUDUQ) screen or the Audit Inquiry by Screen (AUDSQ) screen, and is used to view individual audit records in greater detail. Use this screen to view what data was entered on the screen during any particular usage. The following information is displayed on this screen: User - The user who was logged on when the audit record was produced. Screen - The screen the audit record was produced on. Date and Time - The time and date that the audit record was produced. Audit Number - The number of the audit record, the Audit type is displayed adjacent to this field. Function - The maintenance action performed by the user. This is a three letter mnemonic, for example INQ shows that an inquiry was performed on the screen. The screen shows the audit records stored under each audit number. The following information is displayed: Line - This specifies which line of a multi-row information table (for example on the General Narrative Inquiry (GNARI) screen), was used during the audit record. Field - This lists all the fields on the screen. Value - This shows the values of all the fields after the user had exited the screen. Fields with no information entered in them will have no entry in the Value field. From this screen you can link to other audit screens: Click the Error Message button to link to the Error Message Audit Inquiry (AUEMQ) screen Click the Screen button to link to the Audit Inquiry by Screen (AUDSQ) screen Click the User button to link to the Audit Inquiry by User (AUDUQ) screen

39 Access Security The following figure shows an example of the Audit Details Inquiry (AUDIQ) screen. Figure Audit Details Inquiry screen

40 Access Security Error Message Audit Inquiry (AUEMQ) This screen can only be accessed by linking from either the Audit Inquiry by User (AUDUQ) screen, the Audit Inquiry by Screen (AUDSQ), or the Audit Details Inquiry (AUDIQ) screen. Use this screen to view the details of any audit record that contains an error message. The following information is displayed on this screen: User - The user who was logged on when the error was produced. Screen - The screen the error was produced on. Date and Time - The time and date that the error was produced. Audit Number - The number of the audit record. The table shows the error messages stored under each audit number. The following information is contained on the table: Copy Line - This specifies which line of a multi-row information table (for example on the General Narrative Inquiry (GNARI) screen), was used during the audit record. Error Number and Message - The error number and description of the error. Error Messages are set up on the Error Messages (EMSGM) screen, found in Section 5 - Operational Data, in this guide. From this screen you can link to other audit screens: Click the Detail button to link to the Audit Details Inquiry (AUDIQ) screen Click the Screen button to link to the Audit Inquiry by Screen (AUDSQ) screen Click the User button to link to the Audit Inquiry by User (AUDUQ) screen

41 Access Security The following figure is an example of the Error Message Audit Inquiry (AUEMQ) screen. Figure Error Message Audit Inquiry screen

42 Access Security Access Security Reports The following reports provide information related to access security: REPSLST - Reports Listing AUDITPURG - Purge Audit Records AUDLOG - Audit Report SCRNSLST - Screens Details These reports are described in the Core On-Demand Reports Guide

43 Section 2 Country and Currency Introduction to Country and Currency Before attempting to set up country and currency information, you must be familiar with 'How to Enter and Change Data' as described in the Starters Guide to Retail

44 Country and Currency Country and Currency Screen Flow The data entry screens used to enter and manage country and currency data are illustrated below: Set up countries Countries (CNTRY) Set up holidays for country Country Diary (CYDR) Country Standard Holidays (CTRYH) Group countries by geographic or political areas Country Group Maintenance (CNTGR) Set up an maintain postal areas for countries Postal Areas by Country (CTPA) Postal Area Maintenance (CTPAM) Group countries and postally Postal Group Maintenance (PSTGR) Set up currencies and limits Currencies (CCYS) Figure 2-1. Screen Flow for Countries and Currencies

45 Country and Currency Country and Currency Prerequisites The following list shows the mandatory items and the screens that are used to create them. Area symbol, group symbol, postal group, postal region - General Purpose Narratives (GNARR) table types AS, GS, PG, PR respectively, see Section 5. Country and Currency Screens The following screens are described in this section: Countries (CNTRY) Country Diary (CYDR) Standard Default Holidays (CTRYH) Country Group Maintenance (CNTGR) Postal Areas by Country (CTPA) Postal Area Maintenance (CTPAM) Postal Group Maintenance (PSTGR) Currencies (CCYS)

46 Country and Currency Countries (CNTRY) Details of countries with which your bank deals, and of the countries of residence for clients, are held on the Countries table (CNTRY). On this table you define the following for each country: The code and name of the country The weekend days for the country (up to three) When you add a country, the system creates a country diary with weekends set up 2 years ahead and 2 years back. These values for forward weekends and back weekends are set as the blueprint parameters BP-HOL-MONTHSFWD and BP-HOLS-MONTHSBACK, described in Appendix A, Retail Blueprint Parameters. Once a country record has been created, the weekend days cannot be amended. Countries can be grouped into up to 15 geographic or political areas using the Country Group Maintenance (CNTGR) screen. Note: Once installation is complete you cannot delete a country from the system. From this screen you can link to the Country Standard Holidays (CTRYH) screen. To do this, click the Holidays button

47 Country and Currency The following figure shows an example of the Countries screen. Figure 2 2. Countries screen

48 Country and Currency Country Diary (CYDR) Details of the holiday dates that apply to each particular country are held in a country diary. On this table you enter the following: The country The number of the year The number of the month The days of the month which are holidays When you are adding a holiday date to the existing calendar, enter the holiday date in the first "Holidays" field on the screen and click Add. This may mean overwriting a value that is being displayed. However, overwriting an existing date in this manner will not cause the date to be deleted. To delete a holiday date, enter that date in the first "Holidays" field on the screen and click Delete. Diaries and currencies are linked by way of the Country that is used on the Currencies (CCYS), Country Standard Holidays (CTRYH), and the Country Diary (CYDR) screens. The following figure shows an example of the Country Diary screen. Figure 2 3. Country Diary screen

49 Country and Currency Country Standard Holidays (CTRYH) Details of the holiday dates that occur annually and apply to a particular country are held in a country diary. These holidays are entered and maintained on an annual basis in the Country Diary (CYDR) screen. This screen contains details of the standard holidays that apply to each country. On this screen you can set standard holidays indefinitely or until a particular year end. For example, Christmas Day in the United Kingdom is a holiday every year and can be added to the Country standard holidays (CTRYH) screen. Enter the following on this screen: The country Details of each holiday The date of the holiday The name of the holiday The final year for which the holiday applies When you are adding a holiday to the existing calendar, enter the holiday date in the "Date" field on the screen and click the Add button. To delete a holiday date select the Delete checkbox adjacent to the date and click Delete. Diaries and currencies are linked by way of the Country that is used on the Currencies (CCYS) and the Country Diary (CYDR) screens

50 Country and Currency The following figure shows an example of the Country Standard Holidays screen. Figure 2 4. Country Standard Holidays screen

51 Country and Currency Country Group Maintenance (CNTGR) This screen is used to group countries according to geographic or political areas. The area and group codes are defined on the General Purpose Narratives (GNARR) table, types AS and GS. To delete a country from a group switch on Delete next to relevant Country and click Delete. The following figure shows an example of the Country Group Maintenance screen. Figure 2 5. Country Group Maintenance screen

52 Country and Currency Postal Areas by Country (CTPA) This screen is used to add postal areas to, and inquire on details associated with, a country record. Note: The Postal Area Maintenance (CTPAM) screen is used to change, delete or inquire on postal areas that have already been defined on this screen. The following figure shows an example of the Postal Areas by Country screen Figure 2 6. Postal Areas by Country screen

53 Country and Currency Postal Area Maintenance (CTPAM) This screen is used to maintain (change, delete or inquire on) the details of postal areas which are associated with a country. Postal areas are set up on the General Purpose Narratives (GNARR) screen, table type AS, and must exist before they can be used on this screen. Note: The Postal Area Maintenance (CTPAM) screen is only used to change, delete or inquire on postal areas that have been set up on the Postal Areas by Country (CTPA) screen The following figure shows an example of the Postal Area Maintenance screen. Figure 2 7. Postal Area Maintenance screen

54 Country and Currency Postal Group Maintenance (PSTGR) This screen is used to categorise countries and postal areas according to postal groups (for example, geographic or economic) and regions within the groups. The postal group and region codes are defined on the General Purpose Narratives (GNARR) table, table types PG and PR. To delete a Country/Area from a group, select a line and click Delete. The following figure shows an example of the Postal Group Maintenance screen. Figure 2 8. Postal Group Maintenance screen