Approval rules

This function enables the bank administrator to set up conditions for approval as per the corporate requirements. Rule can be set up for financial transactions, non financial transactions and/ or for maintenances. Flexibility exists to define approval rules with conditions stating that ‘specific transaction’ if initiated by a ‘specific user/ user group’ has to be approved by a ‘specific approver/approver group’ along with other attributes like amount range etc.

Prerequisites:

• Transaction access is provided to bank administrator
• Party preference is maintained
• Multiple corporate and administrator users are maintained
• Approval rule set up for bank administrator to perform the actions
• Necessary user groups and approval workflows are maintained

Features supported in application

The Approval Rule maintenances allow the bank administrator to:

• Create Approval Rules
• View Approval Rules
• Edit Approval Rules
• Delete Approval Rules

How to reach here:

Dashboard > Toggle Menu > Approvals > Rule Management > Approval Rules

Approval Rules – Select User Type

Bank administrator logs into the system and navigates to the Rule Management screen. On accessing the ‘Approval Rules Management’ menu, bank administrator has to select the user type for whom the rules are to be maintained.

Approval Rules – Select User Type

• Click Admin User to access the workflow management of bank administrator users. The Admin Approval Rules screen appears.
• Click Corporate User to access the workflow management of bank administrator users. The Approval Rules screen appears.

Approval Rules - Admin User - Admin Approval Rules

Field Description

Field Name	Description
Rule Code	Search rules with a rules code of the already maintained approval rule.
Rule Description	Search rules with a rule description of the already maintained approval rule.

• Click Create to create new admin workflow. The Admin Approval Rules – Createscreen appears.
  OR
  Click Cancel to cancel the operation and navigate the user back to ‘Dashboard’.
  OR
  Enter the search parameters and click Search to search the matching records.
  OR
  Click on ‘Clear’ to clear the input search parameters.
  

Admin Approval Rules – Create

Approval rules can be setup based on the following parameters.

• Transactions
• Initiator
• Specific User
• User Group

Bank administrator can create multiple approval rules for administrator users. In a scenario when a transaction is initiated and multiple rules are applicable as per set conditions, then the complex rule amongst all the applicable rules is applied for approval.

User can further define if for a condition, the transaction should be auto approved (which means there is no approval workflow and the transaction gets approved as soon as initiator submits it) or should follow a set approval workflow and should get approved by the defined set of approvers. The same is achieved by attaching a workflow maintained for the corporate party.

To create an approval rule:

1. In the Admin Approval Rules screen, click Create. The Admin Approval Rules - Create screen appears.

Field Description

Field Name	Description
Rule Code	To specify approval rule code.
Rule Description	To specify approval rule description.
Initiator
Initiator Type	Initiator type who initiates the transaction. This has options as ‘User’ and ‘User Group’.
User Name / User Groups	Name of the user or user group as initiator. If initiator is selected as User, then all the users belongs to the party will be listed for selection. If initiator is selected as User Group, then all the user groups belongs to the party will be listed for selection.
Transactions	All transactions to set the approval rules are listed. User can select specific transaction or all admin transactions.
Workflow Details
Approval Required	Option to decide whether approval is required or not for the set condition.
Workflow	Field has description of the approval workflow. All workflows maintained for the party are listed here along with the defined approval level for each of them. This field appears if you select Yes in the Approval Required field.

2. In the Rule Code field, enter the code.
3. In the Rule Description field, enter the rule name.
4. From the Initiator Type field, click appropriate user / user group and select the user/ user group.
5. From the Transaction list, select the transactions to be mapped to the rule.
6. In the Amount Range section, enter the appropriate amount.
7. In the Workflow Details section, select whether approval is required for the mapped transactions.
1. If you select Yes option, select the appropriate Workflow.
8. Click Save to save the approval rule.
   OR
   Click Back to go back to previous screen.
   OR
   Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
9. The Approval Rule - Create Review screen appears. Verify the details, and click Confirm.
   OR
   Click Edit to make the changes if any.
   The Approval Rule - Create screen with values in editable form appears.
   OR
   Click Cancel to cancel the operation and navigate back to the ‘Dashboard’.
10. The success message of saving the created approval rule appears along with the transaction reference number and status.
    Click OK to complete the transaction and navigate back to ‘Dashboard’.

Admin Approval Rules – Search

Approval rules maintained (if any) for administrator users are displayed on the screen after searching with valid input. User can opt to view the details of existing rule or can create new approval rule using this screen.

To search the approval rules for admin users:

1. In the Admin Approval Rules screen, enter the search parameters and click Search. The Admin Approval Rules screen with search results appears based on the searched criteria.

Field Description

Field Name	Description
Search Results
Rule Code	Code of the already maintained approval rule.
Rule Description	Code of the already maintained approval rule.
Transactions	Transaction/ s for which the rule is maintained.

• Click the Rule code link, to view details of the selected Approval Rule. The Approval Rules - View screen appears.
  OR
  Click Back to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
  OR
  Click Create to create new Approval Rules for admin users.

Admin Approval Rules – View

Further drill down is given on the each workflow to view the details of the users/ user groups who are the part of workflow.

To view the admin approval rules:

1. In the Admin Approval Rules screen, click the Rule Code link, for which you want to view the details. The Admin Approval Rules - View screen appears.

Field Description

Field Name	Description
View
Rule Code	Approval rule code.
Rule Description	Approval rule description.
Initiator
Initiator Type	Initiator type specified while creating a rule.
User Name / User Groups	Name of the user or user group defined as initiator for the rule condition.
Transactions	Transaction for which the rule is set up.
Workflow Details
Approval Required	Field displays whether approval is required or not for the set condition.
Workflow Details	Field displays the approval workflow details along with the defined approval levels. This field appears if you select Yes in the Approval Required field.

2. Click Edit to edit the approval rule. The Admin Approval Rule - Edit screen with values in editable form appears.
   OR
   Click Back to go back to previous screen.
   OR
   Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
   OR
   

Click Delete to delete the approval rule.
The application will prompt the administrator with a deletion message, Click Yes to confirm.
User is directed to Admin Approval Rule – Delete confirmation page.

Admin Approval Rules - Edit

To edit an approval workflow:

1. In the Admin Approval Rules screen, click the Rule Code link, for which you want to view the details. The Admin Approval Rules - View screen appears.
2. Click Edit. The Admin Approval Rules - Edit screen appears.

Field Description

Field Name	Description
Edit
Rule Code	Approval rule code provided by the user.
Rule Description	Approval rule description provided by the user in editable form.
Initiator
Initiator Type	Initiator type who initiates the transaction will be displayed in editable form.
User Name / User Groups	Name of the user or user group as initiator will be displayed in editable form. If initiator is selected as User, then all the users belonging to the party will be listed for selection. If initiator is selected as User Group, then all the user groups belonging to the party will be listed for selection.
Workflow Details
Approval Required	Whether approval is required will be displayed in editable form.
Workflow Details	Details of the approval workflow along with the defined approval levels for a condition will be displayed in editable form. This field appears if you select Yes in the Approval Required field.

• Edit the required details.
• Click Save to save the approval rule.
  OR
  Click Back to cancel the operation and to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
• The Admin Approval Rule - Edit Review screen appears post necessary validations. Verify the details, and click Confirm.
  OR

• Click Edit to make the changes if any.
  The Admin Approval Rule - Edit screen with values in editable form appears.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.

• The success message of saving the approval rule modification appears along with the transaction reference number and status.
  Click OK to complete the transaction and navigate back to ‘Dashboard’.

Approval Rules - Corporate User - Approval Rule

Approval Rules - Corporate User - Search

System displays a screen to enter the party information (party ID or party name) and search party for which the approval rules are to be maintained/ viewed.

User can enter the party ID (if known) or the party name with a minimum of 5 characters.

System matches the input provided by the user with the party name records and displays the matching party records.

In case of a party search by party ID, it is an exact match and system displays the rules maintained if any.

In case of a party search by name, system displays the matching party records. The records have parties listed with both Party ID and Party Name information. User can select the record by clicking on the Party ID from the list.

Field Description

Field Name	Description
Party Id	Party IDs as per search input.
Party Name	Party names of the party ID.

To search the approval rules for corporate users:

• In the Approval Rules screen, enter the party id in the In the Party Id field.
  OR
  In the Party Name field, enter the party name.
• Click Search to search the matching records. The Approval Rules screen with search results appears based on the searched criteria.
  OR
  Click Cancel to cancel the operation and navigate the user back to ‘Dashboard’.
  OR
  Click ‘Clear’ to clear the input search parameters.

Note: The Approval rule - Corporate User - Party Search Results screen appears only if no approval rule is created, else the search results displays the approval rules already created by the party.

Approval Rules - Corporate User - Party Search

Field Description

Field Name	Description
Search Results
Party Id	List of the Party IDs as per search input.
Party Name	List of the Party names of the party IDs as per search input.

• Click the Party ID link, to view details. The Approval Rule - Summary screen appears.
  OR
  Click Back to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
  

Approval Rule – Summary

• Click the Rule code link, to view details of the selected Approval Rule. The Approval Rules - View screen. appears.
  OR
  Click Back to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
  OR
  Click Create to create new Approval Rule for corporate users.

Approval Rule – Corporate User - Create

Bank Administrator can create approval rules for the corporate users. Administrator is allowed to create an approval rule only if the party preference is maintained and party is in active status.

Approval rules can be setup based on the following parameters.

• Type of Transaction
• Financial Transactions
  • Option is used to setup approval rules for the transactions, this involves exchange of money.
  • E.g. Money Transfer, Draft Issuance, Redeem Term Deposit etc
• Non Financial Transactions
  • Option is used to setup approval rules for the transaction which are for an account, but does not involve exchange of money.
  • E.g. Cheque Book Request, Statement Request, Stop Cheque etc
• Maintenance
  • Option is used to setup approval rules for the transaction which are not linked to any account.
  • E.g. Payee Maintenance, Biller Maintenance etc
• Administration
  • Option is used to setup approval rules for the transactions which corporate administrator can initiate
  • E.g. Account-Transaction mapping, Approval related maintenances etc
• Initiator
• Specific User
• User Group
• Accounts
• Transactions
• Amount Range

Administrator can create multiple approval rules for party users. In a scenario when a transaction is initiated and multiple rules are applicable as per set conditions, then the complex rule amongst all the applicable rules is applied for approval.

User can further define if for a condition, the transaction should be auto approved (which means there is no approval workflow and the transaction gets approved as soon as initiator submits it) or should follow a set approval workflow and should get approved by the defined set of approvers. The same is achieved by attaching a workflow maintained for the corporate party.

To create an approval rule for corporate user:

• In the Approval Rules screen, enter the search parameters and click Search. The Approval Rules screen with both Party ID and Party Name appears.
  
• Click the Party ID link, to view details. The Approval Rule - Summary screen appears.
• Click Create. The Approval Rules - Create screen appears.
  

Field Description

Field Name	Description
Party Id	Party ID for which an approval rule is to be maintained.
Party Name	Party name of Party ID for which an approval rule is to be maintained.
Rule Type	Transaction rule type for which the approval rule needs to be set up. The transaction rule types are: Financial Non Financial Maintenance Administration
Rule Code	To specify approval rule code.
Rule Description	To specify approval rule description.
Initiator
Initiator Type	Initiator type who initiates the transaction. This has options as ‘User’ and ‘User Group’.
User / User Group	Name of the user or user group as initiator. If initiator is selected as User, then all the users belongs to the party will be listed for selection. If initiator is selected as User Group, then all the user groups belongs to the party will be listed for selection.
Transactions	Type of transactions to set the approval rules. Type of transactions depends on the selection of rule type.
Accounts	Type of accounts. This field appears if you select Financial and Non Financial in the Rule Type field.
From Amount/ To Amount	Transactions allowed for the user between the amount range. This field appears if you select Financial in the Rule Type field.
Workflow Details
Approval Required	Option to decide whether approval is required or not for the set condition.
Workflow	Field has description of the approval workflow. All workflows maintained for the party are listed here along with the defined approval level for each of them. This field appears if you select Yes in the Approval Required field.

4. In the Rule Type field, select the appropriate transaction rule type.
5. In the Rule Code field, enter the code.
6. In the Rule Description field, enter the rule name.
7. From the Initiator Type field, click appropriate user / user group and select the user/ user group.
8. From the Transaction list, select the transactions to be mapped to the rule.
9. From the Accounts list, select the appropriate account, if you have selected Financial option in the Rule Typefield.
10. In the Amount Range section, enter the appropriate amount if you have selected Financial and Non Financial option in the Rule Typefield.
11. In the Workflow Details section, select whether approval is required for the mapped transactions.
1. If you select Yes option, select the appropriate Workflow.
12. Click Create to save the approval rule.
    OR
    Click Back to go back to previous screen.
    OR
    Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
13. The Approval Rule - Create - Review screen appears. Verify the details, and click Confirm.
    OR
    Click Edit to make the changes if any.
    The Approval Rule - Create screen with values in editable form appears.
    OR
    Click Cancel to cancel the operation and navigate back to the ‘Dashboard’.
14. The success message of saving the created approval rule appears along with the transaction reference number and status.
    Click OK to complete the transaction and navigate back to ‘Dashboard’.

Approval Rules – Corporate User – Rule Summary

Bank administrator logs into the system and navigates to the Rules Management screen, and searches the party. On accessing the party ID, approval rules maintained (if any) for the party mapped to the user are displayed on the screen. User can opt to view the details of existing rules or can create new approval rule using this screen.

How to reach here:

Dashboard > Toggle Menu > Approvals > Rule Management > Approval Rules > Corporate User > Search Party > View Rule summary

Approval Rule – Summary

Field Description

Field Name	Description
Party Id	Party ID for which an approval rule is to be viewed.
Party Name	Party name of Party ID for which an approval rule is to be viewed.
Search Results
Rule Code	The approval rule code.
Maker	Initiator type (User ID or User Group Code) of the transaction. This field will be displayed only if existing approval rules are available under a party.
Approval Required	Whether approval is required for each rule maintained.
Workflow Code	The approval workflow code.

• Click the Rule code link, to view details of the selected Approval Rule. The Approval Rules - View screen appears.
  OR
  Click Back to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
  OR
  Click Create to create new Approval Rule for corporate users.

Approval Rules - View

On accessing ‘Rules Management’ menu option, and searching rules by providing party ID, summarized view of all the approval rules maintained (if any) for the party are displayed on the screen. Further drill down is given on the each rule to view the details of approval rule.

To view the approval rules for corporate users:

1. In the Approval Rules screen, enter the search parameters and click Search. The Approval Rules screen with both Party ID and Party Name appears.
   
2. Click the Party ID link, to view details. The Approval Rule - Summary screen appears.
3. Click the Rule Code link, for which you want to view the details. The Approval Rules - View screen appears.

Field Description

Field Name	Description
View
Party Id	Party ID for which an approval rule is to be viewed.
Party Name	Party name of Party ID for which an approval rule is to be viewed.
Rule Type	Transaction rule type for which the approval rule is set up. The transaction rule types are: Financial Non Financial Maintenance Administration
Rule Code	Approval rule code.
Rule Description	Approval rule description.
Initiator
Initiator Type	Initiator type specified while creating a rule.
User Name / User Groups	Name of the user or user group defined as initiator for the rule condition.
Transactions	Transaction for which the rule is set up.
Accounts	Field will display the account for which rule being viewed is set up. This field appears if you select Financial and Non Financial in the Rule Type field.
From Amount/ To Amount	Transactions allowed for the user between the amount range. This field appears if you select Financial in the Rule Type field.
Workflow Details
Approval Required	Field displays whether approval is required or not.
Workflow Details	Field displays the approval workflow details along with the defined approval levels. This field appears if you select Yes in the Approval Required field.

4. Click Edit to edit the approval rule. The Approval Rule - Edit screen with values in editable form appears.
   OR
   Click Back to go back to previous screen.
   OR
   Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
   OR
   Click Delete to delete the approval rule.
   The application will prompt the administrator with a deletion message, Click Yes to confirm.
   User is directed to Admin Approval Rule – Delete confirmation page.
   

Approval Rules - Edit

Bank administrator can edit the approval rules. An administrator is allowed to change the description of the rule and is also allowed to change the parameters associated with the specific approval rule.

Modifications in approval rule are allowed only if the party preference is in active status.

Edited rules are applicable for new transactions initiated post rule update. Previously initiated transactions which are pending approval will follow a rule which was applied at the time of transaction initiation.

To edit an approval workflow:

1. In the Approval Rules screen, enter the search parameters and click Search. The Approval Rules screen with both Party ID and Party Name appears.
   
2. Click the Party ID link, to view details. The Approval Rule - Summary screen appears.
3. Click the Rule Code link, for which you want to view the details. The Approval Rules - View screen appears.
4. Click Edit to edit the approval rule. The Approval Rule - Edit screen with values in editable form appears.

Field Description

Field Name	Description
Edit
Party Id	Party ID for which an approval rule is to be modified.
Party Name	Party name of Party ID for which an approval rule is to be modified.
Rule Type	Transaction rule type for which the approval rule is set up will be displayed. The transaction rule types are: Financial Non Financial Maintenance Administration
Rule Code	Approval rule code provided by the user.
Rule Description	Approval rule description provided by the user in editable form.
Initiator
Initiator Type	Initiator type who initiates the transaction will be displayed in editable form.
User Name / User Groups	Name of the user or user group as initiator will be displayed in editable form. If initiator is selected as User, then all the users belonging to the party will be listed for selection. If initiator is selected as User Group, then all the user groups belonging to the party will be listed for selection.
Transactions	Type of transactions to set the approval rules will be displayed in editable form. Type of transactions depends on the selection of rule type.
Accounts	Type of accounts will be displayed in editable form. This field appears if you select Financial and Non Financial in the Rule Type field.
From Amount/ To Amount	Transactions allowed for the user between the defined amounts ranges will be displayed in editable form. This field appears if you select Financial in the Rule Type field.
Workflow Details
Approval Required	Whether approval is required will be displayed in editable form.
Workflow Details	Details of the approval workflow along with the defined approval levels for a condition will be displayed in editable form. This field appears if you select Yes in the Approval Required field.

• Edit the required details.
• Click Save to save the approval rule.
  OR
  Click Back to cancel the operation and to go back to previous screen.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’.
• The Approval Rule - Edit Review screen appears post necessary validations. Verify the details, and click Confirm.
  OR
  Click Edit to make the changes if any.
  The Approval Rule - Edit screen with values in editable form appears.
  OR
  Click Cancel to cancel the operation and navigate back to ‘Dashboard’
• The success message of saving the approval rule modification appears along with the transaction reference number and status.
  Click OK to complete the transaction and navigate back to ‘Dashboard’.

FAQs

How many approval levels can I set up in the system?

Administrator can set up minimum one and maximum five levels of approvals as a part of approval workflow. Whereas, maximum levels of approvals that the user can set is configurable as Day0.

Which approval rule will get applied when multiple applicable approval rules are found for specific transaction?

In a scenario when a transaction is initiated and multiple rules are applicable as per set conditions, then the complex rule amongst all the applicable rules is applied for approval.

What happens to the approval process when approval rule gets edited and a transaction is pending with one of the approver for approval?

Edited rules are applicable for new transactions initiated post rule update. Previously initiated transactions which are pending approval will follow a rule which was applied at the time of transaction initiation.

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