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Managing Operations

Managing Operations. Intuit Financial Services University Business Financial Solutions Certification. Section Objectives. By the end of this section, you will know how to utilize the following services BAI File Creation File Loader File Download Balance Reporting Batch Manager

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Managing Operations

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  1. Managing Operations Intuit Financial Services University Business Financial Solutions Certification

  2. Section Objectives • By the end of this section, you will know how to • utilize the following services • BAI File Creation • File Loader • File Download • Balance Reporting Batch Manager • emulate a Corporate Customer • utilize the following reports • Audit Report • Password Report • Dual Verify Report • Emulation Report • Billing Report • Login Report • Management Report • Status Reports • Book Transfers • Stop Payments • Wires (Money Transfers) • ACH • ACH Pass Thru • IAT

  3. BR Admin – BAI File Creation BAI File Creation – Bank Users use the BAI File Creation service to manually add balance reporting transactions, generate a BAI file, and send the file to the File Director for loading via the standard BAI file load process. Each BAI file creation session is either current day or previous day. NOTE: The BAI file cannot contain both current day and previous day data. Step 1: Select the type of file: Current/Same Day vs. Previous Day. Step 2: Select the entry type for the current load session: Status or Summary vs. Detail Credit or Debit.

  4. BR Admin – BAI File Creation (cont’d) • If Same Day “Status or Summary” was selected: • Step 3: Fill out the following information: • Bank - select the bank for which you are creating the BAI file. • Account Number - enter the account number for which you are creating the BAI file. • As of Date - enter the date for the BAI file (user may also click on the calendar icon). • Type Code - select the code for the type of BAI file you are creating. • Amount - enter the total amount of the transactions in the BAI file • Item Count (optional) – enter the number of transactions in the BAI file

  5. BR Admin – BAI File Creation (cont’d) • If Same Day “Detail Credit or Debit” was selected: • Step 3: Fill out the following information: • Bank - select the bank for which you are creating the BAI file. • Account Number - enter the account number for which you are creating the BAI file. • As of Date - enter the date for the BAI file (user may also click on the calendar icon). • Type Code - select the code for the type of BAI file you are creating. • Amount - enter the total amount of the transactions in the BAI file. • Availability – enter days for which the BAI file is available • Bank Reference Number (optional) - enter reference umber assigned by the bank and associated with the BAI file • Customer Reference Number (optional) – enter the reference number assigned by the customer and associated with the BAI file.

  6. BR Admin – BAI File Creation (cont’d) Step 4: Click Create and Load File. NOTE: Users can cancel the session via the Cancel Load Session button. They may also edit or delete individual entries via the Edit Selected Item button or the Delete Selected Item button.

  7. File Load Admin – File Loader File Loader – Bank Users use the File Loader service to manually load files to the system. Use this screen to select the file to be loaded to the system. Step 1: Click Browse to select the file to be loaded. Step 2: Click Load File. NOTE: If the file to be loaded is a duplicate file, bank users can elect to overwrite duplicate files. To overwrite a duplicate file, place a check in the box ‘Overwrite Duplicate?’ prior to clicking Load File.

  8. File Load Admin - File Download File Download - Bank Users use the File Download service to view a list all of the files that exist in the back-end file directory on the server and allow the user to download them as needed. NOTE: Bank Users of a multiple-Leadbank financial institution will be able to view and access files for all Leadbanks from any of their Bank User logins. There is no way to limit access between the leadbanks. Step 1: Select the file name to save the file.Step 2: Click Save and browse to the location to which the file will be saved. • Do NOT right-click and select ‘Save target as’ as this is not a valid method to save the files. • Do NOT save file or folder locations as ‘Bookmarks’ or ‘Favorites’ as these will not be valid links.

  9. File Load Admin – Balance Reporting Batch Manager • Balance Reporting Batch Manager – Bank Users use the Balance Reporting Batch Manager Service to: • display summary and detailed information for Balance Reporting batch files that were loaded to the system • determine the status of loaded files • back out or remove an incorrect file load • recover a file that the system only partially loaded • restore a file that was backed out of a file load • Balance Reporting Batch Statuses: • Successful – The information for all accounts in the batch loaded successfully. • Loading – The Balance Reporting Loader is in the process of running the batch. • Backed Out – Any information that was loaded on the system for viewing has been backed out and no longer displays on Balance Reporting reports. • Recoverable – At least one account in the batch did not load successfully. However, the error is recoverable and can be corrected. • Unrecoverable - At least one account in the batch did not load successfully due to a fatal error that cannot be corrected on the system. • Failed – None of the accounts in the batch loaded successfully.

  10. File Load Admin – Balance Reporting Batch Manager (cont’d) • To monitor the progress of the file load: • Step 1: Using the dropdowns, select batches to view and/or the day(s) batches were loaded. • Step 2:Click Find/Refresh. • Step 3: Choose one of the following options: • Backout – removes an incorrect file load and information previously loaded for viewing will no longer appear on Balance Reports • Restore – restores a previously “Backed Out” file load and the information will now be viewable on Balance Reports • Recover – reloads a partially file load that has been corrected (can only be used with files that have a status of “Recoverable”) • Display – displays the details of the file load

  11. Corporate Users – Emulate Emulate – Bank Users use the Emulate service to see how the system functions from the viewpoint of a Corporate User. To emulate a Corporate User: Step 1: Click the Find/Refresh button to display a list of Corporate Customers. Step 2: Select a Corporate Customer from the Customers list. Step 3: Select a Corporate User from the Users list. Step 4 (optional): If you want to charge for this emulation session check the “Apply billing for this session” box. Step 5: Click Emulate Customer/User. Step 6: The system will notify you that you are about to enter an emulation session for a user. Click OK.

  12. Corporate Users – Emulate (cont’d) Step 7: An emulated version of the user’s system will launch in a new window and the Bank User is able to navigate as necessary. NOTE: Bank Users are not able to access any screens that involve money transactions except for the Book Input and Book Report services. However, no transactions are allowed in either service when in emulation mode. Step 8: Click Logout to end the emulation session. NOTE: Corporate Users are not able to see Bank Users emulating them.

  13. Reports

  14. Activity – Audit Report • Bank Users use the Audit Report service to review system usage (audit) information for Bank and Corporate Customers. There are two types of audit records: • Normal – created when an activity successfully completes • Exception – created when unsuccessful attempts are made to use the system and/or complete activities. • To run this report: • Step 1:Select the Customer(s) to report on. • Step 2:Select the Service(s) to report on. • Step 3:Select the Channel(s) to report on. • Step 4: Enter a date range, time of day, and an error to report on. • Step 5: Choose whether or not the results should be limited to only users that currently have an active session. • Step 6 (optional): Enter a specific IP Address or Description to refine the search.TIP: Run the report with the Description field blank to see a list of all possible Descriptions on the results screen. After seeing the results, rerun the report including an appropriate Description. • Step 7: Click the Submit button to view the information on screen or click the Export button to save the information.

  15. Activity – Audit Report (cont’d) The results of the query will appear in the desired layout. • NOTE: If the “Only display active user sessions” option was selected on the previous screen, the Bank User is able to terminate the user’s session which logs the user out of the system and locks out the user from any future logins (until the user is unlocked by their Corporate Administrator or the financial institution).

  16. Security Center – Password Report Bank Users use the Password Report service to review when Bank or Corporate Users set up their security questions and answers as well as the date and time of the Bank or Corporate User’s last login. Step 1: Select one or more Bank or Corporate Customers from the list. Step 2: Click the Run Enrollment Reportbutton. To print the displayed report, click the Print icon. To download the displayed report, click the Download icon.

  17. Security Center - Dual Verify Report Bank Users use the Dual Verification Enrollment Status Report (Dual Verify Report) service to review when Corporate Users enrolled in Dual Verify as well as the date and time of the Corporate User’s last login. Step 1: Select one or more Corporate Customers from the list. Step 2: Click the Run Reportbutton.

  18. Corporate Users – Emulation Report Emulation Report – Bank Users use the Emulation Report Service to view an audit trail of an emulation session including: date, time, service(s) emulated, Corporate User who was emulated, as well as the Bank User who was responsible for emulating the service. Step 1: Select the Corporate Customer to report on in the Customer box. Step 2: Enter a date range and time period. Click Submit. The system will pull up all matches to your query as a screen display.

  19. Activity – Billing Codes Bank Users use the Billing Codes service to associate Association for Financial Professionals (AFP) codes and descriptions with bank-defined codes and descriptions to assist in billing. The system uses these billing codes to identify activities for which customers can be billed. NOTE: A lead bank cannot view or change another lead bank’s billing codes. Step 1: Click Find/Refresh to display all billing codes for the lead bank.Step 2: Select the billing code to be changed and click Change. Step 3 (optional): Enter a Bank Code (to identify the billing transaction on the Billing report)and a Bank Description. Step 4: Set the Extract setting. (If set to Yes, the system will include this billing code on the billing report.) Step 5 : Click Change. NOTE: TMA (Treasury Management Association) is now the Association for Financial Professionals (AFP).

  20. Activity – Billing Report Bank Users use the Billing Report service to review/export billing report information for Corporate/Bank Customers and/or services for specific date and time ranges. When a Corporate and/or Bank User performs tasks within the system, the system captures these tasks in the audit log. Some of the audit log items have a corresponding Billing Code. The Billing Report lists all of the billable events (the extract setting must be set to yes via the Activity  Billing Codes service) that take place within the system. NOTE: Each lead bank is responsible for managing its own billing records. To run this report: Step 1: Select the Customer(s) to report on. NOTE: Although the system continues to store information for deleted customers, deleted customers are not included on the Billing report. Step 2: Select the Service(s) to report on. Step 3: Enter a date range and time of day to report on. Step 4: Click Submit.

  21. Activity – Login Report Bank Users use the Login Report service to review login audit information for specific Corporate Customers during a specific time period. The system updates this information each time a user accesses the system. To run this report: Step 1: Select a Customer Group. Step 2 (optional): If “Selected Customers” was selected in Step 1, select the Customer(s) to report on from the Customers box. NOTE: The Customers box only displays if “Selected Customers” was selected. Step 2: Enter the date range and report type to report on. Step 3: Determine how the report will be sorted and filtered. Step 4: Click Submit.

  22. Activity – Login Report (cont’d) The results of the query will appear in the desired layout. • NOTE: If the “Only display customers with current active sessions” option was selected on the previous screen, the Bank User is able to terminate the user’s session which logs the user out of the system and locks out the user from any future logins (until the user is unlocked by their Corporate Administrator or the financial institution).

  23. Activity – Management Reports • The Management Reports service includes two report tabs for Bank Users: • Entitlement Reports • Entitlement Report - allows Bank Users to view the accounts and services to which each Bank or Corporate User within a Bank or Corporate Customer is permitted • ACH Companies –allows Bank Users to view each Corporate Customer‘s Overall ACH limits as well as the offset account(s) and transaction type(s) for each of the ACH Companies that have been permitted to each Corporate Customer • ACH Limits – allows Bank Users to view each Corporate Customer s Overall ACH limits as well as the User Overall ACH limits and limits per transaction type for each of the ACH companies that have been permitted to each Corporate User • Book Transfer Limits – allows Bank Users to view the accounts (used for book transfers) and the associated limits for all Corporate Users within a Corporate Customer • Wire Transfer Limits – allows Bank Users to view the accounts (used for wire transfers) and the associated limits for all Corporate Users within a Corporate Customer • Segment Reports • Billing Report – Summary – allows Bank User to view the volume of transactions for each Corporate Customer in a market segment for a specific time period. The transactions appear numerically by TMA code, which is an identifier that the Association for Financial Professionals assigns to indicate a specific service for which the financial institution can assess a charge. • Segment Report - allows Bank Users to view how many Corporate Customers, Corporate Users, and accounts are in each market segment • Segment Billing Report - allows Bank Users to view the type and volume of billing events by Corporate Customer and Corporate User within each market segment

  24. Activity – Management Reports • To run an Entitlement Report: • Step 1:  Select the Entitlement Reports tab. Step 2:  Choose a report. • Step 3: Choose either “Bank Users” or “Customers”. • Step 4: Select the desired User(s) or Customer(s). • Step 5: Click Submit. Entitlement Report results ACH Companies Report results

  25. Activity – Management Reports (cont’d) ACH Limits Report results Book Transfer Limits Report results Wire Transfer Limits Report results

  26. Activity – Management Reports (cont’d) To run a Segment Report: Step 1:  Select the Segment Reports tab. Step 2:  Enter the desired date range (for Segment Billing Report only).Step 3:Choose a report.Step 4:  Select the desired segment(s). Step 5:  Click Submit. Billing Report - Summary results

  27. Activity – Management Reports (cont’d) Segment Billing Report results Segment Report results

  28. Book Transfer – Online Report Bank Users use the Online Report service to request and display summary information and details for all book transfer requests by Corporate Customers. The Online Report service also provides tools, such as the ability to cancel or remove an item from the online posting queue (for financial institutions that use the online interface option to process book transfer transactions). To run this report: Step 1: Click Search to display a list of Corporate Customers. Step 2: Select the appropriate Corporate Customer(s) from the Customer box. Step 3: Enter a date range, amount and/or bank trace number. Step 4: Click Submit. The results of the query will appear in the desired layout.

  29. Book Transfer – Posting Report Bank Users use the Posting Report service to view a historical record of the book transfer transactions that were included in a posting file. NOTE: The Posting Report service is only for financial institutions that use the batch file communication method to process book transfer activity. To run this report: Step 1: Select the appropriate Corporate Customer(s). Step 2: Enter the date range. Step 3: Click Submit. Step 4: Click the Detail icon to display detailed information for the selected posting file.

  30. Stop Pay – Status Report • Bank Users use the Status Report service to display stop pay request activity for the following types of requests: • Inquiry - to inquire whether a check is paid • Stop - to stop payment on an unpaid check • Cancel Stop - to cancel a previous Stop request • Photocopy - to request a photocopy of a paid check • To run this report: • Step 1: Select the account and enter the parameters of the query. • Step 2: Determine the layout of the report. • Step 3: Click Submit. The results of the query will appear in the desired layout.

  31. Stop Pay – Posting Report Bank Users use the Posting Report service to view the stop pay activity information in the posting file. NOTE: The Posting Report service is only for financial institutions that use the batch file communication method to process stop pay activity. To run this report: Step 1: Select the appropriate Corporate Customer(s). Step 2: Enter the date range. Step 3: Click Submit. Step 4: Click the Detail icon to display detailed information for the selected posting file.

  32. MT Admin – Status Report • Bank Users use the Status Report to: • view summary and detailed information for a wire request • manually confirm or reject a wire request and sending supporting text (for financial institutions without a real-time interface to a wire payment system) • print or email the wire request for processing (for financial institutions without areal-time interface to a wire payment system) • NOTE: If the financial institution does not have a real-time interface to a wire payment system, wire requests will either be available for download via the File Load Admin  File Download service and/or can be pushed to (or pulled by) the financial institution via FTP. However, if the financial institution’s wire requests are not made available via one of the aforementioned methods, Bank Users can always find the wire request details via this Status Report. Once these wire requests have been downloaded out of BFS, obtained from FTP, or retrieved from this Status Report, the financial institution will need to follow it’s internal procedures to send the wire requests on to the Fed, SWIFT, or correspondent bank. • To run this report: • Step 1: Select the appropriate Corporate Customer(s). • Step 2: Select Payment Method(s). • Step 3: Enter query data and report characteristics. • Step 4: Click Submit.

  33. MT Admin – Status Report (cont’d) Step 5: Review the summary information for approved, pending, and rejected wires. Click on the icon under the Details column to view detailed information (see next page for screenshot).

  34. MT Admin – Status Report (cont’d) Step 6 (for financial institutions that manually process wires): Select either Confirm or Reject and click the Confirm/Reject button and enter any text to be sent to the Corporate Customer. Step 7 (for financial institutions that manually process wires): Click the Output via Print or Output via Email button to have the wire sent to a printer or to an email address. The recipient uses the printout or email to manually enter the wire into the financial institution’s wire system. NOTE: The email address that is used was provided to Intuit Financial Services during Implementations.

  35. ACH Admin – Status Bank Users use the Status service to review summary information for the ACH files that were created by the system for a specified date range as well as to review summary information for the batches within a selected ACH file or review detailed batch entry or payment request information within a selected ACH batch. To run this report: Step 1: Select the Corporate Customer. Step 2: Enter the query information. Step 3: Click Submit. Step 4: Click on the Details icon to see detailed information about the selected file.

  36. ACH Admin – Status (cont’d) Step 5: Click the Details icon to see detailed information for the selected batch or click the Recreate ACH File button to make a copy of the previously-built ACH file which is copied to the active directory for ACH files that are transmitted to the financial institution.

  37. ACH - ACH Report Bank Users use the ACH Report service to display summary and detailed information for ACH batches. Step 1: Search for a Corporate Customer or click the Search buttonto display a list of all Corporate Customers. Step 2: Select one or multiple Corporate Customers from the list. Step 3: Enter the query information. Step 4: Click Submit.

  38. ACH -ACH Report (cont’d) • Step 5: Review the batches, specifically each batches’ status: • Activated – the batch has been inputted into the system either manually by a user or automatically by BFS for recurring ACH batches • Approved – the activated batch has been approved • File Created – at the next cutoff time after a batch has been approved, the batch is included in the file that is created and sent to the financial institution • NOTE: If approval is not required, a batch’s status will be “Approved” initially and then change to “File Created” at the next cutoff time. • Step 6 (optional): Delete a batch if the batch is still in an “Activated” and/or “Approved” status. NOTE: The “Bank User Delete Batches” setting must be set to Yes via ACH Admin  ACH Settings in order to allow Bank Users to have the option to delete a batch.

  39. ACH – ACH PT Report Bank Users use the ACH PT Report to display all activity for ACH Pass Thru files processed through the ACH product. To run this report: Step 1: Select All Customers or select an individual customer by clicking Find/Refresh. Step 2: Enter the query information. Step 3: Click Submit. The results of the query will appear in the desired layout.

  40. ACH Admin – ACH Bank Review • Bank Users use the ACH Bank Review service to view IAT activity to ensure transactions meet OFAC requirements as well as allows Bank Users to: • Review the transactions within an IAT Batch (Details icon) - The details page displays batch details along with the transactions included in the batch.  • Complete the review and allow the IAT batch to continue through the cutoff and file creation process. (Complete icon) • Reject the IAT Batch (Reject icon) NOTE: This action stops any further processing.  The entire batch is rejected.  The FI must notify Corporate Customers when a batch is rejected.  No bulletins or emails are generated to notify customers.

  41. ACH Admin – ACH Bank Review (cont’d) Once the bank has completed the review, the Bank Review Confirmation page will display.  Once the confirmation has been generated, the IAT batch will continue through the cutoff and file creation process.

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