4. External System Maintenance

Integration of different applications and solutions is a key area in today’s systems. A variety of specialized applications deployed on disparate platforms and using different infrastructure need to be able to communicate and integrate seamlessly with FCIS, in order to exchange data. FCIS facilitates maintenance of such integration in the following screens:

This chapter contains the following sections:

4.1 External System

This section contains the following topics:

4.1.1 Maintaining External System

You need to maintain an external system that will communicate with FCIS. You can maintain and modify these parameters ‘External System Maintenance’ screen. You can invoke this screen by typing ‘UTDEXSYS’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

 

The various parameters that can be maintained in this screen are described below.

External System

You can maintain the following parameters here:

External System

Alphanumeric; 15 Characters; Mandatory

Specify a name for the external system. This should be the same as the Source in an incoming message.

Description

Display

The system displays the description for the selected External System.

Correlation Pattern

You can maintain the following parameters here:

Request

Optional

Select a way in which the external system should correlate its request message with the response message, from the adjoining drop-down list. This list displays the following values:

Message Exchange Pattern

You can maintain the following parameters here:

Request Message

Optional

Select a pattern for the generated request message from the adjoining drop-down list. This list displays the following values:

Note

If you select ‘Full Screen’ as the request message, the response message will also display ‘Full Screen’.

Response Message

Optional

Select a pattern for the generated response message from the adjoining drop-down list. This list displays the following values:

XSD Validation Required

Optional

Check this box if you want to validate the request message against its corresponding XSD.

Queue

You can maintain the following parameters here:

Default Response Queue

Alphanumeric; 255 Characters; Optional

Specify a valid response queue name as the default response queue, for each of the ‘In Queue’ through which the External System will communicate with FCIS.

Dead Letter Queue

Alphanumeric; 255 Characters; Optional

Specify a valid queue as dead letter queue to direct the received messages which are non-readable.

Note

If the Dead Letter Queue is not defined, such messages will be redirected to a queue with the name of the request queue appended with ‘_E’.

Register Response Queue Message ID

Optional

Check this box if you want to log the message ID, which is provided by the Response Queue, when a response message is posted into the queue.

External System Queues

You can maintain the following parameters here:

In Queue

Alphanumeric; 255 Characters; Mandatory

Specify the name of the queue from which the messages were received. The name of the queue will help identify the external system.

Note

Response Queue

Alphanumeric; 255 Characters; Optional

Specify a valid response queue to display the queue name on posting a request message into the In Queue, when the External System fails. Response queue can be maintained for every In Queue.

4.2 External System Summary

This section contains the following topics:

4.2.1 Retrieving External System Details

You can view, modify, delete and authorize External system details in the ‘External System Summary’ screen. You can invoke this screen by typing ‘UTSEXSYS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can perform the following actions using this screen.

You can retrieve a previously entered stop code in the Summary screen, as follows:

You can also retrieve the stop code detail from the detail screen by doing query in the following manner:-

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

For example, you can search the record for External System by using the combination of % and alphanumeric value as follows:-

4.2.2 Viewing External System Details

You can view previously entered details of external system in the ‘External System Summary’ screen, as follows:

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

You can also search the record by using combination of % and alphanumeric value.

4.2.3 Deleting External System Details

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

4.2.4 Modifying External System Details

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

You can edit External System details as many times as necessary before you authorize it.

4.2.5 Authorizing External System Details

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

4.3 External System Functions

This section contains the following topics:

4.3.1 Maintaining External System Functions

You can define access rights to an external system using the ‘External System Functions’ screen. You can invoke this screen by typing ‘‘UTDEXFUN’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

You can specify the following details:

External System

Alphanumeric; 15 Characters; Mandatory

Specify an external system for which you wish to provide access rights from the adjoining option list. The adjoining option list displays all the external systems you have maintained at the ‘External Systems Maintenance’ level.

Description

Display

The system displays the description of the specified external system.

Function

Alphanumeric; 8 Characters; Mandatory

Specify a valid function from the adjoining option list. The function are invoked from Gateway Functions.

Action

Display

The system displays an action based on the specified function ID.

Service Name

Display

The system displays the service name based on the specified Function ID and Action.

Operation Code

Display

The system displays Operation Code based on the specified Function ID and Action.

4.4 External System Functions Summary

This section contains the following topics:

4.4.1 Retrieving External System Functions Details

You can view, modify, delete and authorize external system function details in the ‘External System Functions Summary’ screen. You can invoke this screen by typing ‘UTSEXFUN’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

4.4.2 Viewing External System Functions Details

You can view previously entered details of external system in the ‘External System Functions Summary’ screen, as follows:

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

You can also search the record by using combination of % and alphanumeric value.

4.4.3 Deleting External System Functions Details

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

4.4.4 Modifying External System Function Details

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

You can edit External System details as many times as necessary before you authorize it.

4.4.5 Authorizing External System Function Details

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

4.5 Message Media

This section contains the following topics:

4.5.1 Maintaining Message Media

FCIS facilitates maintenance of different media through which advices and messages can be generated. At your bank, you can only receive or route messages through a media that you have maintained in this screen. These specifications can be made only at the main branch and will be applicable to all the branches of your bank.

You can maintain standard media like Mail, Telex and SWIFT and also other media like CHIPS or any other country or customer specific media from which the messages will be routed. You can invoke the ‘Message Media Maintenance’ screen by typing ‘UTDMEDIA’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button

In this screen, you can maintain the following:

Media Code

Alphanumeric; 60 Characters; Mandatory

Specify a unique code to identify the media.

When you want to transit a message through a particular media type, you just have to specify the code assigned to the media type. The message will be routed automatically through the media.

Media Number

Numeric; 1 Character; Mandatory

Specify a unique number with which you want to represent the media.

Description

Alphanumeric; 420 Characters; Mandatory

Specify description for the specified media code. The description will help you identify the code that it represents.

Message Suffix

Alphanumeric; 400 Characters; Optional

Specify padding characters which you want to add to the end of every outgoing message, automatically. The specified padding characters will be inserted, automatically, at the end of every outgoing message in the media.

Message Terminator

Alphanumeric; 400 characters; Optional

Specify padded characters that mark the end of the incoming messages in a media. The system identifies the end of an incoming message, in a file containing several messages, when it encounters the padding characters that you have specified for a media type.

Number of Characters

Numeric; 3 Characters; Optional

Specify the number of times you want to repeat the set of specified padding characters, if you opted to suffix an outgoing message with a set of padding characters.

The padding characters will be suffixed to every outgoing message in the media as many times as you specify.

Media Priority

Numeric; 2 Characters; Mandatory

Specify usage priority for each media type that you maintain. When dispatching messages to customers, the media type used for sending the message will be the one that is higher on the priority rating.

Test Word Required

Optional

Check this option if you want to insert the test word to the telex message manually before it is generated from your branch.

Stop Processing

Optional

Check this box if you want to stop the processing for the incoming and outgoing messages.

Padding Required

Optional

Check this box if you want to add the suffix to the outgoing messages.

XML Message

Optional

Check this box if XML message is required.

4.6 Message Media Details

This section contains the following topics:

4.6.1 Retrieving Message Media Details

You can view, modify, delete and authorize external system function details in the ‘Message Media Summary’ screen. You can invoke this screen by typing ‘UTSMEDIA’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can perform the following actions using this screen

4.6.2 Viewing Message Media Details

You can view previously entered details of external system in the ‘Message Media Summary’ screen, as follows:

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

You can also search the record by using combination of % and alphanumeric value.

4.6.3 Deleting Message Media Details

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

4.6.4 Modifying Message Media Details

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

You can edit External System details as many times as necessary before you authorize it.

4.6.5 Authorizing Message Media Details

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

4.7 Media Control System

This section contains the following topics:

4.7.1 Maintaining Media Control System

The messages that are sent from and delivered to your bank are transmitted and received over sources that are external to FCIS. We shall call these external sources Media Control Systems (MCS).

In a distributed environment, the database of a branch is located in a node or server. The MCS of the messages are also installed in a node. Thus, while defining an MCS, you also need to indicate the node in which it is installed.

An MCS can handle only one media, hence you need to set up several media control systems for the various media types maintained for your bank. Apart from indicating the media type for an MCS, you can also indicate separate directories from which FCIS should read and write incoming and outgoing messages, for a given media.

You can invoke ‘Media Control System Maintenance’ screen by typing ‘UTDMCS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can maintain the following parameters here:

Node

Alphanumeric; 420 Characters; Mandatory

Specify a node or server at which the MCS is located, from the adjoining option list. A node is the Database instance on which FCIS is installed. A branch’s database is located in a node and an MCS is also installed in a node.

Media Control System

Alphanumeric; 60 Characters; Mandatory

Specify a unique code for MCS to identify the external source. You can follow your own convention for devising this code.

Media

Alphanumeric; 60 Characters; Mandatory

Specify the media for which your bank is using the MCS, from the adjoining option list. The option-list displays the media codes maintained at the ‘Message Media Maintenance’ level.

Status

Optional

Select a valid status of an MCS from the adjoining drop-down list. This list displays the following values:

Delivery Type

Optional

Select a valid type of delivery from the options. The following options are available for selection:

In Directory

Alphanumeric; 512 Characters; Optional

Specify the full path of the directory from which FCIS should read and write incoming message, if you have maintained the Delivery Type as ‘Folder' and the SWIFT server as Windows server.

Out Directory

Alphanumeric; 512 Characters; Optional

Specify the full path of the directory from which FCIS should read and write outgoing message, if you have maintained the Delivery Type as ‘Folder' and the SWIFT server as Windows server.

File Prefix

Alphanumeric; 1 Character; Optional

Specify a unique identifier for the specified MCS to identify the outgoing message files generated in a different media.

Unix-In-Directory

Alphanumeric; 512 Characters; Optional

Specify the full path of the directory on the SWIFT server where you would like to store incoming SWIFT message hand-off files. The system will pickup and process all incoming SWIFT message files from this directory.

Unix-Out-Directory

Alphanumeric; 512 Characters; Optional

Specify the full path of the directory on the SWIFT server where you would like to store outgoing SWIFT message hand-off files.

In Queue

Alphanumeric; 1020 Characters; Optional

Specify the full path of the queue in the node or server into which the MCS should store the incoming message hand-off file, if the Delivery type is Queue. The system will pickup and read all incoming messages transmitted through the specified media from this queue, by default

Out Queue

Alphanumeric; 1020 Characters; Optional

Specify the full path of the queue in the node or server into which the message hand-off file from the system, for the specified media, should be stored. The MCS, which is also located on the same node, will store the outgoing messages in this queue by default.

Unix Swift Server

Optional

Check this box if the SWIFT server at your Bank is on UNIX.

Microsoft Message Queue

Optional

Check this option to select microsoft message queue.

WebSphere Messaging

Optional

Check this option to select websphere messaging.

4.8 Media Control System Details

This section contains the following topics:

4.8.1 Retrieving Media Control System Details

You can view, modify, delete and authorize external system function details in the ‘Media Control System Summary’ screen. You can invoke this screen by typing ‘UTSMCS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can perform the following actions using this screen.

4.8.2 Viewing Media Control System Details

You can view previously entered details of external system in the ‘Media Control System Summary’ screen, as follows:

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

You can also search the record by using combination of % and alphanumeric value.

4.8.3 Deleting Media Control System Details

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

4.8.4 Modifying Media Control System Details

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

You can edit External System details as many times as necessary before you authorize it.

4.8.5 Authorizing Media Control System Details

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

4.9 Amendment Details

This section contains the following topics:

4.9.1 Maintaining Amendment Details

FCIS facilitates maintenance of nodes and fields which are amended through external system. You can invoke this screen by typing ‘UTDAMDMT’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

You can maintain the following parameters here:

External System

Alphanumeric; 15 Characters; Mandatory

Select an external system for which amendable maintenance is done, from the adjoining option list.

Operation

Alphanumeric; 50 Characters; Mandatory

Specify the Gateway operation for which Amendable maintenance is done.

Service Name

Alphanumeric; 50 Characters; Optional

Select the service name for which amendable maintenance is done, from the adjoining option list.

Operation Code

Alphanumeric; 50 Characters; Optional

Select the operation code from the adjoining option list.

Amend Nodes

Node Name

Alphanumeric; 50 Characters; Mandatory

Specify the name of the node which can be amended through external system. The adjoining option list displays the list of nodes.

New Allowed

Optional

Select whether new records can be added in the node or not from the drop-down list. The list displays the following values:

Deleted Allowed

Optional

Select whether existing records can be deleted from the node or not from the drop-down list. The list displays the following values:

All Records

Optional

Select if all records had to be amended or not from the drop-down list. The list displays the following values:

Amend Fields

Field Name

Alphanumeric; 50 Characters; Optional

Specify the field name which can be amended through external system. The adjoining option list displays the list of the fields in the node.

4.10 Amendment Details Retrieval

This section contains the following topics:

4.10.1 Retrieving Amendment Details

You can view, modify, delete and authorize external system details in the ‘Amendment Maintenance Summary’ screen. You can invoke this screen by typing ‘UTSAMDMT’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

4.10.2 Viewing Amendment Details

You can view previously entered details of external system in the ‘Amendment Maintenance Summary’ screen, as follows:

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

You can also search the record by using combination of % and alphanumeric value.

4.10.3 Deleting Amendment Details

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

4.10.4 Modifying Amendment Details

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

You can edit External System details as many times as necessary before you authorize it.

4.10.5 Authorizing Amendment Details

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

4.11 Events Log

This section contains the following topics:

4.11.1 Invoking Events Log Screen

You can invoke ‘Events’ screen by typing ‘SMREVNLO/ UTREVNLO’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

User ID

Alphanumeric; 30 Characters; Optional

Specify the user ID. Alternatively, you can select user ID from the option list. The list displays valid user ID maintained in the system.

Start Date

Date Format; Mandatory

Select the start date from the adjoining calendar.

Format

Optional

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

Output

Optional

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

Print At

Optional

Select the printing location from the drop-down list. The list displays the following values:

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

The system will generate the event logs after specifying the mandatory details.

4.12 Events Log

This section contains the following topics:

4.12.1 Invoking Events Log Screen

You can invoke ‘Events’ screen by typing ‘SMRPEVLG/ UTRPEVLG’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

User ID

Alphanumeric; 30 Characters; Optional

Specify the user ID. Alternatively, you can select user ID from the option list. The list displays valid user ID maintained in the system.

Start Date

Date Format; Mandatory

Select the start date from the adjoining calendar.

Format

Optional

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

Output

Optional

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

Print At

Optional

Select the printing location from the drop-down list. The list displays the following values:

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

The system will generate the event logs after specifying the mandatory details.

4.13 Integration Parameter Maintenance Screen

This section contains the following topic:

4.13.1 Invoking Integration Parameter Maintenance Screen

You can invoke ‘Integration Parameter Maintenance’ screen by typing ‘IFDINPRM’ 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:

Branch Code

Alphanumeric; 3 Characters; Mandatory

Specify the branch code. Alternatively, you can select the branch code from the option list. The list display all valid branch code maintained in the system.

Param Text

Display

The system displays the description for the selected branch code.

External System

Alphanumeric; 50 Characters; Mandatory

Specify the external system details. Alternatively, you can select the external system details from the option list. The list display all valid external system details maintained in the system.

Param Text

Display

The system displays the description for the selected external system.

Amount Block Validation Required

Optional

Check this box if amount block validation is required.

Offset Required

Optional

Check this box if offset is required.

Offset Netting Required

Optional

Check this box if offset netting is required.

Accounting Netting Required

Optional

Check this box if accounting netting is required.

Allow Force Post

Optional

Check this box if force post is allowed.

Auto Auth

Optional

Check this box if auto authorization is required.

Service Name

Alphanumeric; 100 Characters; Mandatory

Specify the service name.

Communication Channel

Optional

Select the communication channel from the drop-down list. The list displays the following values:

Communication Mode

Optional

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

Communication Layer

Optional

Select the communication layer from the drop-down list. The list displays the following values:

WS Service Name

Alphanumeric; 250 Characters; Optional

Specify WS Service Name.

WS Port

Numeric; 250 Characters; Optional

Specify WS Port.

WS EndPoint URL

Alphanumeric; 500 Characters; Optional

Specify WS EndPoint URL.

WS User

Alphanumeric; 128 Characters; Optional

Specify WS User.

WS Password

Alphanumeric; 128 Characters; Optional

Specify WS Password.

Custom Classname

Alphanumeric; 255 Characters; Optional

Specify Custom Classname.

ATM Server IP

Numeric; 50 Characters; Optional

Specify the ATM server IP address.

ATM Server Port

Numeric; 50 Characters; Optional

Specify ATM Server Port.

MDB QCF

Alphanumeric; 255 Characters; Optional

Specify MDB QCF details.

MDB Out Queue

Alphanumeric; 255 Characters; Optional

Specify MDB out queue details

MDB Response Queue

Alphanumeric; 255 Characters; Optional

Specify MDB response queue details.

Audit Enabled

Alphanumeric; 2 Characters; Optional

Specify audit enabled details.

Source

Alphanumeric; 20 Characters; Optional

Specify source details.

External DataSource

Alphanumeric; 50 Characters; Optional

Specify external data source details.

Symmetric Key

Alphanumeric; 50 Characters; Optional

Specify symmetric key details.

4.14 Upload Source Maintenance

This section contains the following topic:

4.14.1 Invoking Upload Source Maintenance Screen

Oracle FLEXCUBE Investor Servicing facilitates upload of data from an external source. The details of the source from which data has to be uploaded need to be maintained in Oracle FLEXCUBE Investor Servicing using the ‘Upload Source Maintenance’ screen.

You can invoke the ‘Upload Source Maintenance’ screen by typing ‘SMDSORCE’ 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.

Source Code

Alphanumeric; 15 Characters; Mandatory

Specify a source code from which data has to be uploaded to Oracle FLEXCUBE Investor Servicing.

Description

Alphanumeric; 105 Characters; Mandatory

Specify the description for the source code specified.

Authentication Required

Optional

Check this box to indicate if base data has to be uploaded from Oracle FLEXCUBE Investor Servicing.

4.15 Upload Source Summary

This section contains the following topic:

4.15.1 Retrieving a Record in Upload Source Summary Screen

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

Invoke the ‘Upload Source Summary’ screen by typing ‘SMSSORCE’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details.

 

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

4.15.2 Editing Upload Source Record

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

Click Save to save your changes. The Upload Source Maintenance screen is closed and the changes made are reflected in the Upload Source Summary screen.

4.15.3 Viewing Upload Source Record

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

4.15.4 Deleting Upload Source Record

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

4.15.5 Authorizing Upload Source 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.

4.15.6 Amending Upload Source Record

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

4.15.7 Authorizing Amended Upload Source Record

An amended Upload Source record 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 subsequent process of authorization is the same as that for normal transactions.

4.16 Source Preferences Maintenance

This section contains the following topic:

4.16.1 Invoking Source Preferences Maintenance Screen

You can set preferences for upload of data from an external source in the ‘Source Preferences Maintenance’ screen. You can invoke the ‘Source Preferences Maintenance’ screen by typing ‘SMDUPLDM’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

 

The following details are captured here:

Source Code

Alphanumeric; 15 Characters; Mandatory

Select Source Code from the option list. Depending on the source code you select here data is uploaded from that source into Oracle FLEXCUBE IS.

Module Code

Alphanumeric; 2 Characters; Mandatory

You can choose to upload data from a source directly onto a module in Oracle FLEXCUBE IS. Indicate the module into which you would like to upload data from a given source.

Error Handling

On Override

Mandatory

Oracle FLEXCUBE IS generates override messages in case it encounters any discrepancies during data upload. You can choose to do any of the following:

Exception

Mandatory

In case a serious error occurs during data upload, Oracle FLEXCUBE IS generates an error message. You can choose to put the record with the error on hold. If you would like to reject the record altogether, choose ‘Reject’ from the drop-down list.

Post Upload

Status

Mandatory

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

If you would like to automatically authorize the data that is uploaded into Oracle FLEXCUBE choose the ‘Authorize’ option here.

If you would like the record to be put on hold choose this option in this field.

If you would like the record to be unauthorized, choose the ‘Unauthorized’ option in this field. The record will not be authorized automatically on upload. You will have to manually authorize the data.

4.16.2 Function ID Preferences Button

Click ‘Function ID Preferences’ button in ‘Source Preferences Maintenance’ screen.

 

You can specify the following details:

Function

Alphanumeric; 8 Characters; Optional

Specify the function ID. Alternatively, you can also select function ID from the option list. The system displays all valid function IDs maintained in the system.

Status

Optional

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

On Exception

Optional

Select the on exception details from the drop-down list. The list displays the following values:

On Override

Optional

Select the on override details from the drop-down list. The list displays the following values:

Proceed With EOD

Optional

Check this box to proceed with EOD.

Deleted Allowed

Optional

Check this box if deletion of a record is allowed.

Reverse Allowed

Optional

Check this box if reversal of a record is allowed.

Amend Allowed

Optional

Check this box if amending a record is allowed.

Purge Days

Numeric; 4 Characters; Optional

Specify the number of days to be purged.

Allow Deffered Processing

Optional

Check this box to allow deferred processing.

Allow EOD With Deffered

Optional

Check this box to allow EOD with deferred record.

4.17 Source Preferences Summary

This section contains the following topics:

4.17.1 Retrieving a Record in Source Preferences Summary Screen

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

Invoke the ‘Source Preferences Summary’ screen by typing ‘SMSUPLDM’ in the field at the top right corner of the Application tool bar. Click on the adjoining arrow button and specify any or all of the following details in the corresponding details.

 

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

4.17.2 Editing Source Preference Record

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

Click Save to save your changes. The Source Preferences Maintenance screen is closed and the changes made are reflected in the Source Preferences Summary screen.

4.17.3 Viewing Source Preferences Record

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

4.17.4 Deleting Source Preferences Record

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

4.17.5 Authorizing Source Preferences 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.

4.17.6 Amending Source Preferences Record

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

4.17.7 Authorizing Amended Source Preferences Record

An amended Source Preferences record 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 subsequent process of authorization is the same as that for normal transactions.

4.18 Notification Enroute Maintenance

This section contains the following topics:

4.18.1 Invoking Notification Enroute Maintenance Screen

You can set up notification queue at module level using ‘Notification Enroute Maintenance’ screen. Notification job will look into the SMS data store for any pending activity and depending upon the module code call will be made to respective LOB to build response xml and place it in the maintained notification queue for that module.

You can invoke ‘Notification Enroute Maintenance’ screen by typing ‘UTDNTFEN’ 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:

Module ID

Alphanumeric; 30 Characters; Mandatory

Specify the module ID. Alternatively, you can select module ID from the option list. The list displays all valid module ID maintained in the system.

Description

Display

The system displays the description for the selected module ID.

Notification Code

Alphanumeric; 30 Characters; Mandatory

Specify the notification code. Alternatively, you can select modification code from the option list. The list displays all valid notification code maintained in the system.

Description

Display

The system displays the description for the selected notification code.

Destination Name

Alphanumeric; 100 Characters; Mandatory

Specify the destination name.

4.19 Notifications Installed Maintenance 

This section contains the following topics:

4.19.1 Invoking Notifications Installed Maintenance Screen

You can maintain installed notifications using ‘Notifications Installed Maintenance’ screen. You can invoke this screen by typing ‘UTDNTFIN’ in the field at the top right corner of the Application tool bar and click the adjoining arrow.

 

You can specify the following details:

Branch Code

Alphanumeric; 12 Characters; Mandatory

Specify the branch code. Alternatively, you can select the branch code from option list. The list displays all valid branch code maintained in the system.

Description

Display

The system displays the description for the selected branch code.

Notification Code

Alphanumeric; 120 Characters; Mandatory

Specify the notification code. Alternatively, you can select the notification code from option list. The list displays all valid notification code maintained in the system.

Description

Display

The system displays the description for the selected notification code.

4.20 PIPA Audit Log

This section contains the following topic:

4.20.1 Uploading PIPA Audit Log

As per Article 12 of Enforcement Rules of Personal Information Protection Act which is enacted according to Article 55 of the Personal Information Protection Act (‘the Act’), the government agency or the non-government agency will have to take technical or organizational measures for the purpose of preventing personal information from being stolen, altered, damaged, destroyed or disclosed. This includes but is not limited to establishing a mechanism of auditing information security and keeping records of the use, locus information and proof.

You can log audit information to access unit holder/ customer/ transaction and balance related information. The system will store the details of data accessed by the business user for the current day. The data access log covers the following data:

Audit of personnel accessing the above data will stored/ logged and the details are as follows:

The audit log process happens for the following New/ Modify/ Query/ Delete operations for a single record and fetch a single record from summary screen and view in detail screen. You can track actions in audit log in ‘View’ mode for a specific record for:

The system uses ‘PIPA Audit log’ as part of EOD activity to extract the data logged for the current day and for the module logged.

The multi record fetched through summary screen will not be logged; but a single record selected through the summary result will record the log.

You can fetch subscription records through summary screen by selecting a single record and view the record through detail screen.

Any data viewed via Detail screen by clicking Search/ Fetch button like List of values, find UH will not be logged by the system.

Note

All queries irrespective of success or unsuccessful output will be logged as part of audit requirement.

Following are the list of function IDs impacted in the system:

Function ID

Description

Audit against the Operations

UTDCUST

Customer Maintenance -> Detail

New/ Modify/ Query/ Delete/ Close/ Reopen

UTDCADD

CIF Address -> Detail

New/ Close/ Query/ Modify/ Reo­pen

UTDCFNMP

CIF Address Fund Map -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen

UTDCIFLG

Customer Log -> Customer Log

New/ Query

UTDUH

Unit holder -> Detail

New/ Copy/ Query/ Modify/ Reo­pen

UTDUHBAL

Unit Holder Balances -> Sum­mary

Enter Query

UTDUHCOE

Unit Holder Currency of Expres­sion -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHDEL

Unit holder Deal -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHIDS

UH IDS Setup -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHIOF

UH IRRF Preference -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHLOI

UH LOI -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHNPI

UH NPI Preference -> Detail

New/ Delete/ Close/ Authorize/Query/ Reopen/ Modify

UTDUHNTX

UH Non Tax Limits -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDUHPR

UH Portfolio Re Adjustment -> Detail

New/ Delete/ Close/ Authorize/Query/ Reopen/ Modify

UTDACCLS

UH Status Change -> Detail

New/ Delete/ Authorize/ Query/ Modify

UTDADJ02

Transaction -> Adjustment Sub­scription

New/ Delete/ Authorize/ Query/ Modify

UTDADJ03

Transaction -> Adjustment Redemption

New/ Delete/ Authorize/ Query/ Modify

UTDTXN01

Transaction -> IPO Subscription

New/ Delete/ Authorize/ Reverse Query/ Modify

UTDTXN02

Transaction -> Subscription

New/ Delete/ Authorize/ Reverse/ Query/ Modify

UTDTXN03

Transaction -> Redemption

New/ Delete/ Authorize/ Reverse/Query/ Modify

UTDTXN04

Transaction -> Switch

New/ Delete/ Authorize/ Reverse/Query/ Modify

UTDTXN05

Transaction -> Transfer

New/ Delete/ Authorize/ Reverse/Query/ Modify

UTDTXN06

Transaction -> Block

New/ Delete/ Authorize/ Query/ Modify

UTDTXN07

Transaction -> Un-Block

New/ Delete/ Authorize/ Query/ Modify

UTDTXN08

Transaction -> Consolidation

New/ Delete/ Authorize/ Query/ Modify

UTDTXN09

Transaction -> Split

New/ Delete/ Authorize/ Query/ Modify

UTDTXN10

Transaction -> Reissue

New/ Delete/ Authorize/ Query/ Modify

UTDTXNEE

Transaction -> Enrich Exchange Rate

Query

UTDTXNLT

Transaction -> Light Weight Transaction

New/ Authorize/ View/ Query

UTDCNVTX

Transaction -> Conversion

New/ Delete/ Authorize/ Query/ Modify

UTDAMT06

Amount Block -> Detail

New/ Delete/ Authorise/ Query/ Modify

UTDAMT07

Amount Un-Block -> Detail

New/ Delete/ Authorise/ Query/ Modify

UTDCOMCL

Tax Compliance -> Classification

New/ Delete/ Authorise/ Query/ Modify

UTDDCTRO

UH Dividend Component Over­ride -> Detail

New/ Delete/ Authorise/ Query/ Modify

UTDFATMT

FATCA -> Entity FATCA Classifi­cation

New/ Delete/ Authorize/ Query/ Modify

UTDFNBAL

Investor fund Balance -> Sum­mary

Query

UTDFNENT

Fund Entity -> Detail

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

UTDKYCCD

KYC Chasing Details -> Detail

New/ Delete/ Authorise/ Query/ Modify

UTDOLT

One Legged Transfer -> Detail

New/ Query

UTDPRQRY

Back Data Propagation -> Propa­gation Enquiry

Enter Query

UTDPRTXN

Back Data Propagation -> UT Transaction

New/ Delete/ Authorize/ Query/ Modify

UTDROPUT

Back Data Propagation -> UT Propagation

New/ Authorise/ Query

LEDPROSI

Back Data Propagation -> LEP Propagate SI

New/ Delete/ Authorize/ Query/ Modify

LEDPRTXN

Back Data Propagation -> LEP Transaction

New/ Delete/ Authorize/ Query/ Modify

UTDRTAIO

RTA Transfers -> Detail

New/ Query

UTDSCADH

Share Class Adhoc Conversion -> Detail

New/ Delete/ Close/ Authorise/Query/ Modify/ Reopen

UTSCOINQ

Queries -> Consolidated Enquiry

View

LEDPLAN

LEP Online -> Policy

New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify

LEDPLCES

LEP Maintenance -> Policy Ces­sion

New/ Delete/ Reverse/ Authorise/Query/ Modify

LEDPLREV

LEP Online -> Policy Reversal

New/ Delete/ Authorise/ Query/Modify

LEDPLSUR

LEP Online -> Policy Surrender

New/ Delete/ Reverse/ Authorise/Query/ Modify

LEDPLSWI

LEP Online -> Policy Switch

New/ Delete/ Reverse/ Authorise/Query/ Modify

LEDPLTOP

LEP Online -> Policy Top Up

New/ Delete/ Reverse/ Authorise/Query/ Modify

UTDATREP

Auth Rep Maintenance -> Detail

New/ Delete/ Authorise/ Query/ Modify

UTDENTMN

Single Entity Maintenance -> Detail

New/ Delete/ Authorise/ Query/ Modify

The SMTB_SMS_LOG and SMTBS_SMS_ACTION_LOG tables will log the audit information and hence the system will purge/ archive the data of these two data stores.

Note

After EOD, the system will store the audit logging details in PIPAAUDITPROCESSTBL. The purging will happen in PIPAAUDITPROCESSTBL table.