2. Administration

The Fund Manager component is equipped to manage administrative activities, which include the purging of data, maintenance of extraction information for extraction of data from the FIC application. This chapter explains these functions.

This chapter also explains the Query Builder, which can be used to construct user defined query statements to obtain information from the database.

This chapter contains the following sections:

2.1 Purge Frequency Maintenance

This section contains the following topics:

2.1.1 Invoking Purge Frequency Maintenance Detail Screen

You can use this screen to maintain the frequency of purging for the tables in the system. According to the frequency specified here, the tables are purged during the End of Day processes.

Invoke the ‘Purge Frequency Maintenance Detail’ screen by typing ‘UTDPURGS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button. The ‘Purge Frequency Maintenance Detail’ screen is displayed. Select ‘New’ from the Actions menu in the Application tool bar or click new icon to enter the details.

Basic Information Section

Purge Key

Purge key is the purge name that you need to maintain.

Table Name

Display Only

The name of the table for which a purge frequency must be set up is displayed here.

Purge Frequency

Alphanumeric, Mandatory

Specify the frequency at which the selected table must be purged as part of the End of Day processes. You can use the drop-down list to make your choice. Following are the options available in the drop-down list:

If purge frequency is maintained as not scheduled, the system will ignore this purge activity from execution during EOD.

Last Purge Date

Display Only

The most recent date on which the purge was performed is displayed in this field.

Retention Period

Display Only

The system will compute retention period in days based on retention period and frequency maintained.

Retention Frequency

Select the retention frequency from the drop-down. Following are the options available in the drop-down list:

Retention Period in Days

Display

The system will calculate the days based on the Retention Period Value and Frequency, system will calculate the days and is displayed here. For instance, If Retention Period is 1, and Retention Frequency is selected as weekly then 7 will be displayed in this field (1*7days in a week=7)

Additional Information Section

Archive Required?

Select ‘Yes’ if you want backup to be taken before purge. Else select ‘No’.

If you select ‘Yes’, the system will copy the existing data into corresponding purge tables specified in the grid.

Note

Actual Table and corresponding purge table should be in same number of columns and order of columns. If there is mismatch, dynamic procedure creation will fail and mainte­nance cannot be authorized.

If you select ‘No’, the system will delete the data from the table.

Column referred for Retention

Displays the Column in the table which will be referred before processing purge. If purge is already processed, then process will start from the last purge date.

Installation Criteria

Enter the installation criteria based on which the purge will be maintained.

If any new purge activity is maintained, the same can be provided during first time maintenance only. Subsequent amendment of this value is restricted.

User defined Criteria

You can amend the purge details before process and enter the user defined criteria.

User defined Criteria is an additional criteria which will be appended to installation criteria to filter parent table data to be archived.

Dynamic Procedure Creation Related

Dynamic Procedure Name

Specify the name of the dynamic procedure to be created.

The system will create dynamic procedure during authorization. The system will validate the parameters provided for purging. If the specified procedure name already exists, then the system displays an override message.

Authorization will fail if dynamic procedure cannot be created without errors.

Pre Purge Procedure Related

You can execute a pre-defined procedure before the purging activity. Following are the options available:

If you select ‘Yes’, then the system will capture Pre Purge Procedure Name.

If you select ‘No’, then Pre Purge Procedure Name is not required.

Commit Counter

Specify commit frequency for archival/purging activity. If maintained, it should be greater than zero. If you do not provide commit frequency, then the system will consider static maintenance available. In the absence of static data, system will default 10000 as commit counter.

Archived Table Information

Table Name

Specify the archived table name.

Archived Table Name

The archived table name will be displayed.

The system performs the following validations for Purge Order:

2.2 Purge Frequency Summary Screen

This section contains the following topics:

2.2.1 Retrieving Record in Purge Frequency Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Purge Frequency Maintenance Summary’ screen by typing ‘UTSPURGS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button. Specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual record detail from the detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

Example

You can search the record for Purge Key by using the combination of % and alphanumeric value as follows:-

 

2.2.2 Editing Purge Frequency Maintenance

You can modify the details of Purge Frequency Maintenance that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

2.2.3 Viewing Purge Frequency Maintenance record

To view a record that you have previously input, you must retrieve the same in the Purge Frequency Summary screen as follows:

2.2.4 Deleting Purge Frequency Maintenance record

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

2.2.5 Authorizing Purge Frequency Maintenance

An unauthorized Purge Frequency must be authorized in the system for it to be processed. To authorize a record:

When a checker authorizes a record, details of validation, if any, that were overridden by the maker of the record during the Save operation are displayed. If any of these overrides results in an error, the checker must reject the record.

2.2.6 Amending Purge Frequency Maintenance

After a Purge Frequency Maintenance is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

2.2.7 Authorizing Amended Purge Frequency Maintenance

An amended Purge Frequency Maintenance must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

The process of subsequent authorization is the same as that for normal transactions.

2.2.8 Copying Attributes

If you want to create a new Purge Frequency Maintenance with the same attributes of an existing maintenance, you can copy the attributes of an existing Purge Frequency Maintenance to a new one.

To copy the attributes:

Indicate the ID for the new Purge Frequency Maintenance. You can, however, change the details of the new maintenance.

2.3 Copying Parameterization Data

This section contains the following topics:

2.3.1 Copying Parameterization Data

You can copy parameterization data from Oracle FLEXCUBE Investor Servicing environment to any other environment and vice versa. The data from Oracle FLEXCUBE Investor Servicing can be exported into an excel sheet or an XML format.

If ‘Excel Export Required’ option is checked for a function id in the ‘Function Description Maintenance’ screen then an ‘Export’ button is enabled in the summary screen of that function id. In the Summary screen you can query records based on the query parameters available and then select the required records to be exported and click ‘Export’ button. On clicking ‘Export’ button, system would export the data into an excel sheet and opens the excel sheet with data populated. You can then save the excel sheet.

Note

The records can be exported either in .XLS or .XLSX format. The format of the export file must be maintained in ‘CSTB_PARAM’ against the parameter ‘EXCEL_FORMAT’.

You can also import data into Oracle FLEXCUBE Investor Servicing environment using the ‘Excel Import’ screen. You can invoke this screen by typing the function id ‘CSDXLUPD‘ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

The following details are captured here:

File Name

Select the excel file to be imported by clicking ‘Browse’ button.

Total No of Records

The total number of records to be uploaded is displayed here.

Function Identification

The function id mentioned in the excel file chosen is displayed here.

Batch Reference

The unique reference number generated for an upload is displayed here.

Post Upload Status

Select the status to be set for the file post upload, from the drop-down list. The following statuses are available in the drop-down list:

Override Action

Select the action to be taken if an override message is encountered, from the drop-down list. The following options are available:

Action

The action is displayed here.

No of failed records

The total number of records which failed to get uploaded is displayed here.

Generate or Upload

Select the action to be taken for importing the file, from the drop-down list. The following options are available for selection:

Note

To start the upload process click ‘Upload’ button. Once you click this button system starts importing the data from the excel file.

Source

Specify the source code of the file to be used for generating the XML file. You need to specify the source if you have chosen ‘Generate’ option in the ‘Generate or Upload’ field.

Excel File Upload Details

The following details are captured here:

Record Id

The unique number of the record uploaded is displayed here.

Record Key

The record key is displayed here.

Status

The upload status of the record is displayed here.

Excel Upload Errors

Record Id

The unique number of the record, which encountered error while uploading, is displayed here.

Error Code

The error code corresponding to the error encountered during upload is displayed here.

Error Message

The error message corresponding to the error code displayed is defaulted here.

2.4 Purge Use Case Maintenance

This section contains the following topics:

2.4.1 Invoking Purge Use Case Maintenance Screen

You can provide the purge fund data along with relevant audit/ history information using ‘Purge Use Case Maintenance’ screen. All tables from which data will be archived/purged will be available as factory shipped maintenance. You can purge or archive fund data based on predefined criteria. You can also purge or archive fund information along with associated maintenances, transaction data and audit trail information.

There will be a pre purge procedure which will populate the identified records for authorization. The screen will also identify records which cannot be purged for business reasons.

On authorization of the pre purged record, the system will actual archive/ purge process based on the maintained schedule. The system will log the detail of records which could not be purged along with reasons.

The system will purge/ archive all fund data including the following information:

Note

Only the data which is not interlinked to any other record will be purged/archived. Inter­linked data which will lead to system inconsistency will not be archived/purged. Data once archived cannot be restored back to main tables.

You can invoke the ‘Purge Use Case Maintenance’ screen by typing ‘UTDFNPUR’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

You can specify the following details:

Basic Information

Purge Function

Alphanumeric; 16 Characters; Mandatory

Specify the purge function details.

Purge Frequency

Mandatory

Select the purge frequency from the drop-down list. The list displays the following values:

Last Purge Date

Display

The system displays the last purge date.

Pre Purge Mode

Mandatory

Select the pre purge model from the drop-down list. The list displays the following values:

Commit Counter

Numeric; 8 Characters; Mandatory

Specify the commit counter.

Archive Required?

Optional

Select if archive is required or not from the drop-down list. The list displays the following values:

Table Name

Alphanumeric; 50 Characters; Mandatory

Specify the table name.

Retention Period Basis

Mandatory

Select the retention period basis from the drop-down list. The list displays the following values:

Retention Period

Numeric; 8 Characters; Optional

Specify the retention period.

Column Referred For Retention

Alphanumeric; 50 Characters; Mandatory

Specify the column referred for retention.

Post Purge Mode

Mandatory

Select the post purge mode from the drop-down list. The list displays the following values:

User Criteria

Alphanumeric; 50 Characters; Mandatory

Specify the user criteria details.

Purge Key Details

Purge Key

Alphanumeric; 8 Characters; Mandatory

Specify the purge key. Alternatively, you can select purge key from the option list. The list displays all valid purge keys maintained in the system.

Purge Order

Numeric; 2 Characters; Mandatory

Specify the purge order.

Pre Purge Procedure Name

Alphanumeric; 50 Characters; Mandatory

Specify the pre purge procedure name.

Dependent Purge Key

Alphanumeric; 8 Characters; Mandatory

Specify the dependent purge key. Alternatively, you can select dependent purge key from the option list. The list displays all valid dependent purge keys maintained in the system.

2.5 Purge Use Case Maintenance Summary

This section contains the following topics:

2.5.1 Retrieving Record in Purge Use Case Record

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Purge Use Case Maintenance Summary’ screen by typing ‘UTSFNPUR’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button. Specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual record detail from the detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

Example

You can search the record for Purge Key by using the combination of % and alphanumeric value as follows:

 

2.5.2 Editing Purge Use Case Record

You can modify the details of Purge Use Case Maintenance that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

2.5.3 Viewing Purge Use Case Record

To view a record that you have previously input, you must retrieve the same in the Purge Use Case Maintenance Summary screen as follows:

2.5.4 Deleting Purge Use Case Record

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

2.5.5 Authorizing Purge Use Case Record

An unauthorized Purge Use Case Maintenance must be authorized in the system for it to be processed. To authorize a record:

When a checker authorizes a record, details of validation, if any, that were overridden by the maker of the record during the Save operation are displayed. If any of these overrides results in an error, the checker must reject the record.

2.5.6 Amending Purge Use Case Record

After a Purge Use Case Maintenance is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

2.5.7 Authorizing Amended Purge Use Case Record

An amended Purge Use Case Maintenance must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

The process of subsequent authorization is the same as that for normal transactions.

2.6 Purge View

This section contains the following topics:

2.6.1 Invoking Purge View Screen

You can authorize the pre-purge records. Once the record is authorized, the system will generate an interface file to verify the pre-purge records.

You can view the purge details using ‘Purge View’ screen. You can invoke this screen by typing ‘UTDPURVW’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

You can specify the following details:

Purge Use Case Key

Alphanumeric; 16 Characters; Mandatory

Specify the purge use case key. Alternatively, you can select purge use case key from the option list. The list displays all valid purge use case key maintained in the system.

Pre Purge Executed date

Display

The system displays the pre purge executed date based on the selected purge use case key..

Pre Purge Executed Appdate

Display

The system displays the pre purge executed app date based on the selected purge use case key.

Batch Ref Number

Display

The system displays the batch reference number.

Clicking authorize button, the system will authorize the records and will also extract a interface file in text format and will be placed in the export file path. You can use this extract to pre purge records to verify the data being purged. Once authorized, the system will purge/archive record where validations are successful as per purge schedule.

2.7 Purge Batch

This section contains the following topics:

2.7.1 Invoking Purge Batch Screen

You can execute the pre-purge and post-purge process using ‘Purge Batch’ screen. You can invoke this screen by typing ‘UTDPURBT’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

You can specify the following details:

Purge Use Case Key

Alphanumeric; 16 Characters; Mandatory

Specify the purge use case key. Alternatively, you can select purge use case key from the option list. The list displays all valid purge use case key maintained in the system.

Purge Selection

Mandatory

Select the purge status from the drop-down list. The list displays the following values:

Note

Purge keys with pre/post as manual only will be listed in the purge batch screen option list based on the purge selection.

Click ‘Execute’ button to execute the purge batch.

There will be a pre purge procedure which will populate the identified records for authorization. The screen will also identify records which cannot be purged for business reasons.

On authorization of the pre purged record, the system will archive/purge process based on the maintained schedule. The system will also log the detail of records which could not be purged along with reasons.

Once archived or purged, unitholder details will not be visible in any of the following screens