Transaction Exception Trends
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1. radio button Option to allow the User to select all Exceptions for the Financial Institution for a selected Employee between the dates specified in the Start and Thru Date fields This option will bring up an additional Employee field where the User can select the Employee from a drop down list By Overriding Employee radio button Option to allow the User to select all Exceptions for the Financial Institution for a selected Overriding Employee between the dates specified in the Start and Thru Date fields This option will bring up an additional Employee field where the User can select the Overriding Employee from a drop down list Transaction Exception Trends 20 08012013 Transaction Exception Trends Fiserv Field Description Start Date A date field that allows the User to enter the Query period beginning date entered in the format MM DD YYYY or by using the provided calendar icon to the right of the field and selecting the desired date from this calendar The Start Date will default to the current system Post Date minus the value of the Number of Back Date Query Days TEQD calculation variable The Start Date has a restriction in that the value cannot be less than the current Post Date minus the value of the Number of Back Date Query Days TEQD variable Even if a User selects a Thru Date that is less than the current Post Date the restriction in the Start Date will not change it will not move2. Post Date value minus the value of the Number of Back Query Days TEQD variable Example System Post Date is 02 27 2013 Thru Date is 02 27 2013 and the Number of Back Query Days TEQD is Null or 0 making the minimum Start Date value 02 27 2013 If the User selects a date less than 02 27 2013 for the Start Date such as 02 25 2013 the following message is raised SEN PE If the User attempts to select a Start Date value of a date greater than the Thru Date and the Thru Date is equal to the Post Date the system will display a pop up exception message The Start Date must be equal or less than MM DD YYYY where MM DD YYYY is the Post Date Example System Post Date is 08 02 2013 Thru Date is 08 02 2013 and the User selects a date of 08 15 2013 for the Start Date The following message is raised Transaction Exception Trends 16 08012013 Transaction Exception Trends Fiserv e f the User attempts to select a Start Date value of a date greater than the Thru Date and the Thru Date is less than the Post Date but both Date values are within the allowed Calculated Date timeframe the system will display a pop up exception message The Start Date must be equal or less than MM DD YYYY where MM DD YYYY is the Thru Date Example System Post Date is 08 02 2013 the TEQD variable days are set at 180 and the User selects a Start Date of 05 23 2013 and a Thru Date of 03 05 2013 The following message is
3. and Overriding Employee over a period of time designated by the User Key Benefits Current standard reporting for exception tracking EM SUPR is done via an application that typically is run at the end of day and has a single day s reporting data available the next business day This application helps the User go beyond daily report review to explore trends that help point to both audit alerts and daily processing changes required The application helps the User by e Presenting a historical look at the exceptions that occur over a period of time For example an employee may only process a certain exception once or twice a day but over a month or longer period if this same exception is occurring this may point to a need to review that exception and why is occurring so much for that employee or their role e Breaking down the exceptions processed by a branch employee or overriding employee for instant review of a branch or employee s exception trends e Providing real time data and analysis of exception trends e Listing the exceptions per filter by most frequent to less frequent so the most prevalent exceptions are shown at the top of the query return grid e Showing the User both a count and percentage view of the frequency of exceptions per each of the filters e Offering the internal audit team an on demand method to review what is happening across the Financial Institution without having to request special report runs to be
4. exception count per exception Authorizations Employee System Security x Contin Coro Corega Comes Enpeye ab stat bate 2 RE HABERSTU lay CASELLA AMY PAGE Wagons Transaction Exception Trends 8 08012013 Transaction Exception Trends Fiserv An Employee is selected vende Results for that employee are then displayed Open Solutions Transaction Exception Trends Search cite we e saw ens 3 moe oo si ERE Transaction Exception Trends 9 08012013 Transaction Exception Trends Fiserv 4 If a user selects Search Criteria By Overriding Employee the application will count the transaction exceptions occurring between the dates specified in the Start Date through Thru Date criteria options that a selected employee performed the override on An additional field Employee with a dropdown list of the Financial Institution s employees will become available on the screen and the User will select from this list to choose the overriding employee they wish to query on Upon selecting the Query button the resulting results grid will display grouping by transaction exception number provide a summary in the top row and then list the exceptions by highest to lowest frequency in the subsequent rows along with the percentage of the total exception count per exception 3 searcher C nsten C eveen Cavenobses BY Sinaia Erp stat bale Tra
5. raised Variables Calculation Type A calculation type under the calculation category TRXP is required to associate the variables to the application This calculation type is set at the system institution level only with no product or account level functionality MjMiYN Calculation Type Code Description how used Transaction Exception TEXC This Calculation Type will be used for associating N Trends the calculation variable Number of Back Date Query Days TEQD Transaction Exception Trends 17 08012013 Transaction Exception Trends Fiserv The following Calculation Variable stores the number of days and is used to set a limit on how far back a query may go from the current Post Date Data Variable Code Description how used Type Default Number of Back TEQD Maximum number of days allowed for NUM 180 Date Query historical search criteria backdated from Days the current Post Date This is a system institution level variable that sets a historical date limit on how long the search period can be for a query This is so a User does not inadvertently select a long reporting period such as several years that will result in a long query run time possible timeout The Variable Number of Back Date Query Days TEQD is associated at the system institution level with Calculation Type TEXC Transaction Exception Trends Navigation for inquiry and maintenance of
6. this variable s value is shown below Services gt System gt Institution gt Variables gt Transaction Exception Trends System x Variables Cabalsen Type E show story Transaction Exception Trends 18 08012013 Transaction Exception Trends Institution Business Tabios GL Printing Operations Product and Pricing Manage My Forms Sa Table maintenance System Tabios Variables Selection Criteria caeulatin Type System Variables EN show ristery Tr System Variable Maintonanco Type beseraton Screens Navigation Fiserv Systom Logout System x Security Module gt System gt Transaction Exception Trends Screen Appearance Saron Ga German Cermmen Carne Ceyowrongengose side ET 8 morae se Transaction Exception Trends 08012013 19 Transaction Exception Trends Fiserv Field Listing Field Description Search Criteria By Institution radio button Option to allow the User to select all Exceptions for the Financial Institution between the dates specified in the Start and Thru Date fields By Branch radio button Option to allow the User to select all Exceptions for a selected Branch between the dates specified in the Start and Thru Date fields This option will bring up an additional Location field where the User can select the Branch from a drop down list By Employee
7. Date value of the current Post Date minus the value of the Number of Back Date Query Days TEQD calculation variable in MM DD YYYY format and a Thru Date value of the current Post Date in MM DD YYYY format EE mos pomem ME Transaction Exception Trends 5 08012013 Transaction Exception Trends Fiserv 1 If the User selects Search Criteria By Institution the application will count the transaction exceptions occurring between the dates specified in the Start Date through Thru Date criteria options Upon selecting the Query button the resulting results grid will display grouping by transaction exception number provide a summary in the top row and then list the exceptions by highest to lowest frequency in the subsequent rows along with the percentage of the total exception count per exception Transaction Exception Trends Search Criteria Search Criteria amp By inttution C By Branch C By Employes By Overrting Employee Statue ojos SE thubate operant E ESSEN Authorizations Employee System MyForms Logout Oe menter Caim Owa Oe Gap amo FEE moe em EE ENE Search Rosut Transaction Exception Trends 6 08012013 Transaction Exception Trends Fiserv 2 Ifthe User selects Search Criteria By Branch the application will count the transaction exceptions occurring between the dates specified in the Start Date through Thru Date criteria options for a selected bran
8. back to accommodate the earlier date request Thru Date A date field that allows the User to enter the Query period ending date entered in the format MM DD YYYY or be using the provided calendar icon to the right of the field and selecting the desired date from this calendar The Thru Date will default to the current system Post Date Location When the Branch radio button is selected this field will become available and the Financial Institution s branches will be available for selection in the dropdown menu The branches will be listed in name order with lt All gt as the starting option in the selection Employee When the Employee radio button is selected this field will become available and the Financial Institution s employees will be available for selection in the dropdown menu The employees will be listed by First Name Last Name with lt All gt as the starting option in the selection Employee When the Overriding Employee radio button is selected this field will become available and the Financial Institution s employees will be available for selection in the dropdown menu The employees will be listed by First Name Last Name with lt All gt as the starting option in the selection There is an additional selection value immediately below the lt All gt starting option lt No Overriding Employee gt This value will isolate Exceptions that were raised but only required the User to click through w
9. both the Start and Thru Date values are valid dates but outside the allowed calculated reporting period only one exception message will be displayed at a time The User will need to address the first exception message and if a valid value is entered to satisfy that exception upon selecting the Query button again the second exception message may be raised Selection of the Clear button after clicking OK on any exception message will always set the default values back as stated above and ensure there are no secondary exception messages Transaction Exception Trends 12 08012013 Transaction Exception Trends Fiserv e If the User clears either the Start or Thru Date values or both and attempts to run a query with either or both of these parameters with no value the application will display system error messages advising the User to provide a valid value An example is shown below for a missing Start Date value furans Employee System Myfonms Logout ashton formation Transaction Exception Trends 3 tonne Sec itera Fate Come Cremes Osdangenen auto 990 mo mem NESE Institution Business Tables System Tables GL Printing Operations Product and Pricing Manage MyForms System Logout SEa amp Transaction Exception Trends Search Criteria G Byinsituen C By Branch C ByEngloree By overiding Enployee Start Date af STEG muse gt o Transaction Exception Trends 13 08012013 Transaction Excep
10. ch An additional field Location with a dropdown list of the Financial Institution branches will become available on the screen and the User will select from this list to choose the branch they wish to query on Upon selecting the Query button the resulting results grid will display grouping by transaction exception number provide a summary in the top row and then list the exceptions by highest to lowest frequency in the subsequent rows along with the percentage of the total exception count per exception Authorizations Employee System NE G ByBanh C ByEmpioys C By Ovenisrgrelsyse anws pam sE mo poa 2 EE moe en E Uncoest Funds Transaction Exception Trends 7 08012013 Transaction Exception Trends Fiserv 3 If a user selects Search Criteria By Employee the application will count the transaction exceptions occurring between the dates specified in the Start Date through Thru Date criteria options for a selected employee An additional field Employee with a dropdown list of the Financial Institution employees will become available on the screen and the User will select from this list to choose the employee they wish to query on Upon selecting the Query button the resulting results grid will display grouping by transaction exception number provide a summary in the top row and then list the exceptions by highest to lowest frequency in the subsequent rows along with the percentage of the total
11. fiserv Transaction Exception Trends Transaction Exception Trends Fiserv 2013 2014 Fiserv Inc or its affiliates All rights reserved This work is confidential and its use is strictly limited Use is permitted only in accordance with the terms of the agreement under which it was furnished Any other use duplication or dissemination without the prior written consent of Fiserv Inc or its affiliates is strictly prohibited The information contained herein is subject to change without notice Except as specified by the agreement under which the materials are furnished Fiserv Inc and its affiliates do not accept any liabilities with respect to the information contained herein and is not responsible for any direct indirect special consequential or exemplary damages resulting from the use of this information No warranties either express or implied are granted or extended by this document http www fiserv com Fiserv is a registered trademark of Fiserv Inc Other brands and their products are trademarks or registered trademarks of their respective holders and should be noted as such Transaction Exception Trends 2 08012013 Transaction Exception Trends Fiserv Overview The Transaction Exception Trends application is an online application with a single new screen that allows the User to obtain an online snapshot of historical exception tracking with several filtering options including by Financial Institution Branch Employee
12. generated Processing The Transaction Exception Trends screen can be accessed from the Security module within DNA The application has four query choices by Institution by Branch by Employee and by Overriding Employee These four choices allow the User to look for overall Exceptions exceptions that are raised across the Financial Institution or to filter and drill down at the Branch Employee or Overriding Employee level to obtain exceptions data at more granular levels Once one of these four choices is selected the User will then select a date range using the Start Date and Thru Date selections to establish a query range The Thru Date will default to Transaction Exception Trends 3 08012013 Transaction Exception Trends Fiserv the current Post Date and the Start Date will default to the value of the current Post Date minus the value of the Number of Back Date Query Days TEQD calculation variable Note when setting dates for the query longer date ranges will result in longer query result times When processed the query will then return information in a four column grid The first row of this grid will act as a summary row and will list the total number of exceptions selected using the query based on the criteria selected The second and subsequent rows will list a count of each exception number in descending order of most frequent to least frequent Accompanying the count is a field for percentage to show the User what
13. hed by the Calculation Variable value the application will always check the logic on the Start Date value first to determine if there is an exception Example System Post Date is 08 02 2013 the TEQD variable has a value of 180 and a Start Date of 06 19 2013 is entered If the User selects a Thru Date of 01 02 2012 the following message is raised AN Tre sn om mtb eau or wae Man 0022012 If the User then adjusts the Start Date value to be 01 02 2012 per the exception message if Query is then selected the following exception message will be raised SE n Exception Trends This is due to the logic being set to check the Start Date value first as the application is designed to guide the User back toward using a valid Start Date However if the User changes the value of the Start Date to 02 02 2013 per this second exception message they will receive the first exception message again as the Thru Date value is still at 01 02 2012 and the validation is looking for the Start Date to always be equal to or less than the Thru Date Transaction Exception Trends 15 08012013 Transaction Exception Trends Fiserv If the User attempts to select a Start Date value that will set a date range that is outside the range of the value of the calculation variable Number of Back Query Days TEQD the system will display a pop up exception message The Start Date must be equal or greater than MM DD YYYY where MM DD YYYY is the
14. ithout requiring them to type in their password Query button Will start the DNA database query run process based on the selection criteria entered from the preceding selection criteria and return the output in the query results data grid Clear button When clicked prior to the Query button being selected will reset the Start and Thru Dates to the default values and return the default selection to the By Institution radio button When clicked after the Query button has been selected and data has been returned will clear the results grid and return the Start and Thru Dates to the default values and return the default selection to the By Institution radio button Transaction Exception Trends 21 08012013 Transaction Exception Trends Fiserv Field Description Close button When clicked will close the screen after all query activities are performed This button is not available when the screen is first opened until after the initial query is run Query Results Top Row which is a summary row Exception Number Will be NULL Exception Total Number of Exceptions is displayed Description Number of Count of Exceptions for all Exceptions by the criteria selected and in the Exceptions query data range of Total of total Exceptions by the criteria selected and in the query data range this will always be 100 00 Query Results Subsequent Rows Exceptio
15. n Number DNA System Exception Number Exception Description of the DNA System Exception Number taken from the Description Description for each Exception Number in the Exception system table Number of Count for each Exception Number displayed in descending order from Exceptions highest count per Exception Number to lowest count of Exception Number Where the count of the individual Exception Number is the same i e 3 Exception Numbers each have a count of 10 so they have equal counts and percentages they will be displayed in Exception Number order high to low Exception Number 10 would be ahead of Exception Number 3 of Total of total Exceptions displayed in descending order from highest per Exception Number to lowest of Exception Number Note The per Exception Number will round to the nearest hundredth so it is possible the total of all the individual rows may be slightly less or more than the summary of 100 00 An example would be if there was a total of 3 Exceptions 1 for each of 3 Exception Numbers each would have a of 33 33 with rounding so the sum of all three would be 99 99 while the summary row would display 100 00 Additional Requirements DNA 3 3 or higher The Transaction Exception Trends screen is assigned to the SECM Security Module Auth Item for security authorization Users of this application will require access to this Auth Item within their user profile Transaction E
16. nsaction Exception Trends 10 08012013 Transaction Exception Trends Fiserv The No Overriding Employee is selected This option allows the User to select exceptions where there was not an Overriding Employee This returns all exceptions where the exception was raised but did not require a password to override the User was able to simply click through to process and complete their activity When an employee is selected come Jenin I EAN moe ERT 8 Transaction Exception Trends 11 08012013 Transaction Exception Trends Fiserv The query will return all the exceptions that employee provided an override for both their own and for others Adhorizatians Employee System MyFoms Logon VE CO Detect C Bytmioyee By reridegErsbree Application Messages The system will display the following exception messages when application exceptions occur Note when the OK button on an exception message is clicked the cursor will return to the date field that caused the exception At this point the date can be corrected or the Clear button may be selected When clicked the Clear button will change the Start and Thru Dates back to the default values from the calculated Start and Thru Dates as calculated by the current post date and the TEQD calculation variable value and return the default selection to the By Institution radio button If there are two exceptions possible i e
17. percentage of the total was for that particular exception For example if the Institution choice was selected for the previous three months and there were 300 exceptions raised during that time for the Financial Institution with the 300 among three exceptions 210 for Insufficient Funds Exception 3 60 for Uncollected Funds Exception 4 and 30 for Management Hold Exception 87 there would be four rows returned in the results grid The top summary row would show a count of 300 and a percentage of 100 00 The second row would show the exception number 3 a count of 210 and a percentage of 70 00 The third row would show the exception number 4 a count of 60 and a percentage of 20 00 The fourth row would show the exception number 87 a count of 30 and a percentage of 10 00 The rows can be sorted in reverse order by clicking on the column headings Note that if this is done the summary row and the detail rows will also be sorted Transaction Exception Trends 4 08012013 Transaction Exception Trends Fiserv The multiple processing options are shown below The User first accesses the new screen by logging in to DNA selecting the Security module and then selecting System from the toolbar and the new Transaction Exception Trends menu item The User will then use one of the four radio button selections and the Start Date and Thru Date search criteria options The default search criterion is by By Institution with a Start
18. tion Trends Fiserv e If the User attempts to enter an incorrect date format the system will display a pop up exception message The current date is not in the correct format MM DD YYYY or is an impossible date The previous valid date will be restored Please enter a new valid metheus DNA Creator System TEST SYSTEM System x cmos SESS note em EEE e If the User attempts to select a Thru Date value of a date greater than the current Post Date the system will display a pop up exception message The Thru Date must be equal or less than MM DD YYYY where MM DD YYYY is the current Post Date Example System Post Date is 02 27 2013 If the User selects a Thru Date of greater than 02 27 2013 the following message is raised ss Tables System Tables GL Printing Operations Searen cra Feynman Cayman Ceyemoer Bv ovariana enoyos amoi FRE mow EM MN EN The Tatu Date must be equal or less than 02 27 2019 Transaction Exception Trends 14 08012013 Transaction Exception Trends Fiserv If the User attempts to select a Start Date that is equal to or greater than the Calculated Start Date and also selects a Thru Date value that is less than the Calculated Start Date the system will display a pop up exception message The Start Date must be equal or less than MM DD YYYY where MM DD YYYY is the Thru Date value entered Note although the Thru Date value is outside the allowable limit establis
19. xception Trends 22 08012013 Transaction Exception Trends Configuration Checklist Fiserv Item Test Environment Production Environment User Access ensure Users have the Auth Item SECM Security Module in their DNA Authorization Profile with the appropriate auth permissions generally View Set value of the Number of Back Query Days TEQD calculation variable Revisions Date App Change Version 08 2013 1 3 0 0 Updated code and User Manual based on validation feedback 08 2013 1 2 0 0 Updated code and User Manual based on validation feedback 07 2013 1 1 0 0 Updated code and User Manual based on validation feedback 07 2013 1 0 0 0 Application Created Transaction Exception Trends 08012013 23
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