BANKING AND CASH MANAGEMENT APPENDICES TABLE OF CONTENTS

Transcription

1 BANKING AND CASH MANAGEMENT APPENDICES TABLE OF CONTENTS APPENDIX CODE APPENDIX A APPENDIX B APPENDIX TITLE Translation Matrix from Provincial Treasury ORCS (Schedule ) to Banking and Cash Management ORCS (Schedule ) Summary of Changes to Banking and Cash Management ORCS (Schedule ) 2014/04/10 Schedule BACM ORCS APPENDICES - 1

2 APPENDIX A Translation Matrix from Provincial Treasury ORCS (Schedule ) to Banking and Cash Management ORCS (Schedule ) ORCS PRIMARY or Secondary Title from ORCS Schedule Explanation ORCS ACCOUNTING GENERAL Capitalization of assets Issues Management function Financial instrument exposure draft Issues Management function ACCOUNTING DEBT GENERAL Debt Management Branch ACCOUNTING DEBT CAPITAL FINANCING Debt Management Branch. AUTHORITIES (CFA) ACCOUNTING DEBT MONTHLY AND YEAR-END Debt Management Branch. RECONCILIATIONS ACCOUNTING INVESTMENTS GENERAL B.C. endowment fund Function no longer performed Investment accounting clients ACCOUNTING INVESTMENTS MANAGEMENT FEES --- BILLINGS Management fee billing case files Function no longer performed ACCOUNTING INVESTMENTS MONTHLY AND YEAR- --- END RECONCILIATIONS Accounting bank investment reconciliations Function no longer performed B.C. Hydro managed trust accounting Function no longer performed Central account investment reconciliations Function no longer performed Defeasances/maturities/called issues Function no longer performed Year-end client investment audit confirmations Function no longer performed Year-end investment accounting requirements case files Function no longer performed ACCOUNTING INVESTMENTS OFFSET INTEREST Offset interest accounting case files ACCOUNTING INVESTMENTS POOLED FUNDS Group of Funds report Function no longer performed Pooled funds bond Pooled funds - equity Pooled funds illiquid investment Pooled funds money market Pooled funds mortgages Pooled funds private placement Pooled funds real estate ACCOUNTING INVESTMENTS SECURITY LENDING Bond lending revenue allocation Function no longer performed Security lending accounting reports Function no longer performed Security lending receipts Function no longer performed BANK BILLINGS - GENERAL Bank Billing System quarterly working reports Invoices for banking services by ministry Visa merchant discount rate invoice details DRAFT secondary Volume capture reports from the Treasury Deposit Information (TDI) system and Journal Voucher System (JVS) BANK BILLINGS - ENTERPRISE MODEL Analysis to prepare enterprise model Bank fees - Minister and client approvals Enterprise model working papers /04/10 Schedule BACM ORCS APPENDICES - 2

3 62000 BANKING - GENERAL General (includes information on private banking, as well as Issues Management function industry-wide banking standards and rules) Banking strategy Policies & Procedures Financial institution evaluations Fraud and defalcation warnings Guarantees and indemnities Money laundering and tax evasion Issues Management function Electronic cash transaction reporting Issues Management function Disaster recovery in banking Issues Management function Banking operational reviews BANKING - CENTRAL BANK ACCOUNT REGISTRY --- (CBAR) Elections B.C. imprest accounts Senior financial officers/delegates authorized to instruct Provincial Treasury to open, close and change bank accounts Standard cheque signing matrix Standard cheque signing lists Central bank account registry (CBAR) confirmations Provincial Treasury response to Auditor General's bank account confirmations Ministry bank accounts Special bank account projects Templates - Bank of Montreal Terminal Initiated Payment Service (TIPS) Templates - Canadian Imperial Bank of Commerce (CIBC) Third Party Payment System (TPPS) Templates - Royal Trust Swiftwire BANKING - ADJUSTMENTS AND COMPENSATION Banking adjustments and compensation case files BANKING - AGREEMENTS AND AMENDMENTS Non-tendered general banking service charge agreements Original bank legal agreements and amendments Working legal agreements and amendments BANKING - CLIENTS Banking clients case files BANKING - COMMUNITY Banking projects for community groups Function no longer performed Community banking in other jurisdictions Community banking issues BANKING FOREIGN EXCHANGE BANKING - REVENUE RECORDING Returned cheques correspondence Cash cage closure Function no longer performed Canadian Imperial Bank of Commerce (CIBC) credit advices CIBC daily credit advice journal vouchers CIBC daily debit journal vouchers CIBC reconciliation of Consolidated Revenue Fund (CRF), bank errors, and returned cheques CRF transactions - all banks except CIBC Returned cheque debit advices created by the CIBC's Returned Item Chargeback System (RICS) Returned cheque journal vouchers TDI12 deposit reports and JVS journal vouchers U.S. exchange entries related to CIBC revenue BANKING - SERVICE AND INTEREST CHARGES /04/10 Schedule BACM ORCS APPENDICES - 3

4 Bank service fees - Canada and U.S Canadian account interest charges/earnings U.S. account interest charges/earnings BANKING - TENDERS AND PROPOSALS Bank tender schedules Proposals from financial institutions - successful Proposals from financial institutions - unsuccessful BORROWING - GENERAL Credit rating agencies Debt issues and borrowing programs Issues Management function BORROWING - CERTIFICATES OF APPROVAL (COA) GENERAL Closed COA accounts Debt corrections and fiscal agency fees Preauthorized payments for COA Function no longer performed Social capital review Function no longer performed COA client/financial institution case files COA daily funding, maturities and paydown details COA reports COA agreements and amendments working files COA monthly billing calculations Debt Management Branch BORROWING - CERTIFICATES OF APPROVAL (COA) CERTIFICATES COA transferred bank accounts Certificates for school districts Certificates for hospital districts Certificates for post-secondary institutions Certificates for universities COA certificate changes reports BRITISH COLUMBIA STUDENT LOAN PROGRAM Pre-1995 B.C. student loan funding negotiation case files Function no longer performed Pre-1995 original B.C. student loan agreements Function no longer performed Risk/share B.C. student loan funding negotiation case files CARDS - GENERAL Possibilities include CARDS - CORPORATE TRAVEL American Express charge card Applications for corporate travel cards Diners Club charge card CARDS - CREDIT Credit card case files CARDS - DEBIT Debit card case files CARDS - ELECTRONIC BENEFITS CARDS - GOVERNMENT IDENTIFICATION CARDS - OUTDOOR CARDS - PURCHASING Purchasing card client case files Purchasing card management reports CARDS - SMART CASH FLOW - GENERAL --- Contractual Agreements Issues Management General Projects Financial Institutions Relations But generally these functions are no longer performed CASH FLOW - BALANCE REPORTING AND PAYMENT --- SYSTEMS Balance reporting systems Balance reports Payment reports Function no longer performed Payment systems /04/10 Schedule BACM ORCS APPENDICES - 4

5 63440 CASH FLOW - CASH FLOW FORECASTING --- PERFORMANCE Cash flow forecasting performance reports and statistics CASH FLOW - CASH FLOW REPORTING Cash flow reporting - monthly Cash flow reporting - weekly CASH FLOW - EXPENDITURE AND REVENUE ANALYSIS Expenditure analysis case files Revenue analysis case files DEFERRED SALARY LEAVE PROGRAM DONATIONS TO THE CROWN Government House Foundation Function no longer performed Payments towards public debt Issues Management function ECONOMIC FORECASTS AND STATISTICS Economic forecasts and financial market reports ELECTRONIC BANKING Applications for electronic banking services Electronic banking manuals and user guides Electronic banking product sheets Electronic banking project files Electronic banking research files FINANCIAL ASSOCIATIONS AND REGULATORY BODIES Financial association and regulatory body case files FINANCIAL INSTITUTIONS Newspaper clippings on the banking industry as a whole Issues Management function Financial institution case files BC BENEFITS PROGRAM BC Benefits electronic funds transfer implementation Function no longer performed Fraud incidents BC Benefits bank account agreement working files BC Benefits bulletins BC Benefits cheque cashing indemnity agreement INTEREST RATE NOTIFICATION Interest rate notification case files Function no longer performed Prime rate history INVESTMENTS - GENERAL Investment diversification issues Issues Management function Investment Branch policy issues Issues Management function Investment Branch research issues Issues Management function Investments automated systems case files INVESTMENTS CASH MANAGEMENT DRAFT primary Investment files DRAFT secondary Investment accounting DRAFT secondary INVESTMENTS - SECURITY LENDING REVENUE Security lending guarantees and adjustments Function no longer performed Security lending custodian case files Function no longer performed INVESTMENTS - SETTLEMENT AND SAFEKEEPING Safekeeping issues Issues Management function Trade settlement issues Issues Management function Provincial Treasury (PT) vault issues Issues Management function Settlement and safekeeping custodian case files Function no longer performed LINES OF CREDIT AND OVERDRAFT ARRANGEMENTS Operating lines of credit and deposit arrangements Syndicated lines of credit Standard and Poor liquidity report Function no longer performed OFFSET INTEREST PROGRAM /04/10 Schedule BACM ORCS APPENDICES - 5

6 amendment to offset interest terms Function no longer performed Offset interest clients case files PAYMENTS - GENERAL B.C. family bonus payments Function no longer performed PAYMENTS - CHEQUE MANAGEMENT Certified cheque issues Function no longer performed Cheque distribution issues Issues Management function Cheque Management System (CMS) online project Project Management function Laser printing of cheques Issues Management function Stale date cheque issues Issues Management function Cashed cheques Cashed cheque images Cash flow management cheques Function no longer performed Certificate of approval (COA) funds transfer cheques Function no longer performed Cheque envelope orders Function no longer performed Cheque management equipment Function no longer performed Cheque management statistics Cheque security issues and programs Issues Management function. Project Management function. Development of a Program Cheque stock agreements Cheque stock orders & Cheque stop payment requests Counterfoils Function no longer performed Debt settlement cheques and requisitions Function no longer performed Logbooks documenting issued cheques Function no longer performed Microexchange foreign exchange system cheque control Function no longer performed Payroll cheque records Function no longer performed Replacement cheque supporting documents Unclaimed cheque reconciliations Wire payments DRAFT secondary PAYMENTS - ELECTRONIC FUNDS TRANSFER (EFT) GENERAL Supplier EFT recall issues Issues Management function Supplier electronic payments returned EFT payments DRAFT secondary Supplier direct deposit reports Wire payments PAYMENTS - ELECTRONIC FUNDS TRANSFER (EFT) PAYROLL AND ADVICES Payroll advice issues Issues Management function Payroll direct deposit reports Function no longer performed Payroll recalls PERFORMANCE BONDING Performance bonding delegation matrices Risk Management Branch Performance bonding safekeeping agreement maintenance Risk Management Branch Updating performance bonding regulations, policies and Risk Management Branch. procedures TREASURY CALL PROGRAM Treasury call program design Function no longer performed Treasury call plans Function no longer performed UNCLAIMED MONEY Unclaimed money for companies in liquidation Unclaimed money from credit unions /04/10 Schedule BACM ORCS APPENDICES - 6

7 APPENDIX B Summary of Changes to Banking and Cash Management ORCS (Schedule ) Amendment Primary- Title Change Secondary BANKING AND CASH MANAGEMENT - GENERAL Reworded scope note to include new Payment Card Industry Compliance function Credit and debit card statement details case files Function no longer performed, so secondary is closed as of March 31, Recovery invoice case files Note to reflect change in process CERTIFICATES OF APPROVAL Title and scope note changed to encompass an expanded function. Now CERTIFICATES OF APPROVAL AND DEPOSIT , - 03, -20, -30 Various Secondary titles have and COD added to reflect the expanded Certificates of Deposit function CAP data files SO definition reworded to reflect the expanded COD function PAYMENT CARD INDUSTRY COMPLIANCE New primary for new function. 2014/04/10 Schedule BACM ORCS APPENDICES - 7