Ops Control Change Management

BRD: BONY BZW – GBS Feed Project

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BONY BZW – GBS Feed Project

TABLE OF CONTENTS

1. Document Control 3
1.1 Document History 3
1.2 Contributors 3
1.3 Approval List 3

2. Purpose 4

3. Overview 4

4. Functional Business Requirements 5

4.1 Requirements Background 5
4.2 Reconciliation Set-up 6
4.3 Reconciliation Source Files 7
4.3.1 Ledger File 7
4.3.2 Ledger Source File Amendments 8
4.4 Reconciliation Implementation Detail 12
4.4.1 Assignment Rule Specification 12
4.4.2 Implementation Detail 13

5. Non-Functional Business Requirements 14

5.1 Scheduled Job Management 14
5.2 BCM Requirements 14
5.3 Security and Permission Requirements 14
5.4 Archive Requirements 14
5.5 Implementation Requirements 14
5.5.1 Implementation Approach 14
5.5.2 Operational Readiness 14

6. RAID Section 15
6.1 Risks 15
6.2 Issues 15
6.3 Assumptions 15
6.4 Dependencies 15

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1. Document Control

1.1 Document History

No. Date By Changes Applied
0.1 13/07/2012 Danny Lam Initial draft of BRD created
0.2 18/07/2012 Danny Lam Scheduled Job added to bring in new GBS file
1.0 26/07/2012 Danny Lam Updated GBS File mapping and Account set up

1.2 Contributors
Analysis Group
Danny Lam Dawn Henry Ryan Lawrie Ana Aitken
Michael D’Amato Gabriella Sgroi-Seddon Sanjay Aggarwal Kavitha Solaraj

1.3 Approval List

Name Position Approval/ Sign-off Date
Review Y/N
Karen Reid VP – Ops Control Glasgow Approval Y/N
Production Owner
Ana Aitken AVP – Ops Control Glasgow Approval
Y/N
Production Manager
Dawn Henry Analyst – Team Leader, Ops Approval
Y/N
Control Glasgow
Christina Rodgers Analyst – Team Leader, Ops Approval
Y/N
Control Glasgow
Barry McDonald Analyst – SME, Ops Control Review
N/A
Glasgow
Daniel Colbert Analyst – SME, Ops Control Review
N/A
Glasgow
David Forsyth VP – Cash Collateral & Approval
Y/N
Liquidity
Michael D’Amato VP – Liquidity & Collateral Approval
Y/N
Management
Mike Kosinski VP – IT Project Manager Approval
Y/N
Kavitha Solaraj IT Analyst – Global Approval
Y/N
Technology
Ryan Lawrie VP – Ops Control Change Review
N/A
Management

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2. Purpose
The purpose of this document is to specify the detailed requirements for the BONY BZW – GBS Feed
Project. This document will focus specifically to the changes required for bringing in the GBS Ledger
Feed and BONY Statement Feed.

3. Overview
A GBS sub-ledger account must be added to the BZW reconciliation to allow the Economic Funding
trades booked in Monet under the new trading entity BCLM to be paid out via BZW fed box on the
BCI entity. Set-up of the new GBS Ledger Feed and enhancements of the BONY Statement Feed to
include the GBS transaction will be progressed. The additional feed and detail will facilitate the
reconcilement of GBS activity with the activity at BONY within intelliMATCH.

In order to successfully set up the feed, analysis completed will establish the requirements for both
upstream sources on the Statement side (BONY) and Ledger side (GBS). The following areas will be
considered as part of the project:

 Validation of GBS Feed and import logic of uploading into intelliMATCH

 Validation of BONY Feed and import logic with inclusion of GBS Account activity into
intelliMATCH
 Set up of necessary static within existing BZW Reconciliation to accommodate the GBS and
BONY changes
 Ensure existing BZW Reconciliation functionality is not impacted by performing full
regression tests

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4. Functional Business Requirements

4.1 Requirements Background

The specification of GBS Feed requirements for BONY BZW Reconciliation was completed by the
Glasgow Ops Control Production Team. Further analysis on the business change was aided by the Cash
Collateral & Liquidity Team.

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4.2 Reconciliation Set-up

The following section defines the detailed business requirements to set-up (or describe if existing) the Reconciliation:

Reconciliation Set-up

BR Index Requirement Name Requirement Specification Notes

01 Reconciliation Environment INTMATCHNOSTRO Existing Environment

02 Company BCIN – Barclays Capital International Existing Company

03 Category Set-up N/A

A new account “BONYNYKNOSTUSD000NYLI” must be set up

04 Account Set-up New GBS Ledger account
within the existing ‘BZW’ category
The new account created in BR Index 04 must be added to the ‘BONY
05 Balance Pool Set-up Existing Balance Pool
BZW USD GLA’ Balance Pool

Additional Source File to Source file specific mapping rules defined

06 Account Mapping Rules N/A
in section 4.3
Common Group (Data
07 N/A
View) Set-up

08 Classes (Category) Set-up N/A

Assignment Departments
09 N/A
Static Data Set-up

10 Field Customisation N/A

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4.3 Reconciliation Source Files

The following section defines the detailed business requirements to set-up additional Source Files for the Reconciliation.

4.3.1 Ledger File

The following describes the Ledger Source file detail:

 File Source: GBS

 File Name: NYAT400_NOSTRO_YYYYMMDD

 File Description: GBS Ledger Feed containing Transactional and Balance detail

 Schedule & Location: Daily to \\intmatch1\matchdata2\atlas

 File Format: Flat file

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4.3.2 Ledger Source File Amendments

The following details the requirements for changes on import

Ledger Source File:

BR Index Requirement Name Requirement Specification Notes

01 File Transfer N/A

02 Data Description of Source GBS Ledger Feed containing Transactional and Balance detail
File

03 Data Filtering on Import to The following details the data filtering that must be performed on the
intelliMATCH GBS Ledger file:

1. Extract Transactional and Balance detail from GBS Account

‘BONYNYKNOSTUSD000NYLI’ only

2. Extract GBS Transactional detail from rows with Record Type

‘02’

3. Extract GBS Balance detail from rows with Record Type ‘03’

04 Data Mapping of Source File The following details the mapping required for Transactions:
to intelliMATCH -
1. GBS Account ID must be mapped to the Account and
Transactions
UserText9 fields

2. GBS Contract ID must be mapped to the Reference Number

Field

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Ledger Source File:

BR Index Requirement Name Requirement Specification Notes

3. Entry Number must be mapped to the ClerkId UserText4 field

4. Sub Branch must be mapped to the Name1 field

5. Transaction Type must be mapped to the City field

6. Account Class must be mapped to the Class field

7. Department must be mapped to the UserText26 field

8. Item must be mapped to the UserText6 field

9. Book Date must be mapped to the Effective Date field

10. Value Date must be mapped to the Value Date field

11. Post Date must be mapped to the Entry Date field

12. Post Currency must be mapped to the Currency field

13. Post Amount must be mapped to the Amount field

14. Debit/Credit must be mapped into D/C field

15. Posting Description must be mapped to the UserText3 field

16. SDS ID must be mapped to the CustAccNum field following

enrichment detailed in BR Index 05

17. Short Name must be mapped to the Addr2 field

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Ledger Source File:

BR Index Requirement Name Requirement Specification Notes

18. Output of BR Index 07 must be mapped to the L/S field

19. Output of BR Index 08 must be mapped to the source field

04.a Data Mapping of Source File The following details the mapping required for Balances:
to intelliMATCH - Balance
1. GBS Account ID must be mapped to the Account field

2. Balance Date must be mapped to the Date field

3. Book Balance must be mapped to the Balance field following

the formatting detailed in BR Index 06

05 Data Enrichment on Import to The following formatting must be performed on Transactions: The SDS Reference is essentially the
intelliMATCH – SDS ID Customer Account Number missing the
1. Extract the SDS ID from the Transactions
first three digits (400) e.g. a SDS
2. A value of ‘400’ must be concatenated to the beginning of the Reference of 12345678 will be inserted
SDS ID (to create the Customer Account Number ) into the CustAccNum field as
40012345678

06 Data Formatting on Import to The following formatting must be performed on Balances: A DR Balance must be represented as a
intelliMATCH – Balance positive figure(e.g. 100,000) and a CR
1. Where Debit/Credit column is DR, the Book Balance must be
Debit/Credit Balance must be represented as a
mapped as a Debit. E.g. 100,000 DR = -100,000
negative figure (e.g. -100,000)
2. Where Debit/Credit column is CR, the Book Balance must be
mapped as a Credit. E.g. 100,000 CR = -100,000

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Ledger Source File:

BR Index Requirement Name Requirement Specification Notes

07 Data Enrichment on Import to All Transactions extracted from the GBS File must be specified as ‘L’
intelliMATCH – GBS to map into the L/S field
Transactions

08 Data Enrichment on Import to All Transactions extracted from the GBS File must be specified as
intelliMATCH – GBS ‘GBS’ to map into the Source field
Transactions

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4.4 Reconciliation Implementation Detail

4.4.1 Assignment Rule Specification

The following table specifies the Assignment Rules for implementation to the BONY BZW Reconciliation:
Assignment Rules for Implementation
Ref Name Requirement Specification
Assignment Rule Feed Account Comparison Assign Dept Assign Code
01 GBS GBS BONYNYKNO Account = ‘BONYNYKNOSTUSD000NYLI’ FINANCE BCIN - FINANCE BCIN -
STUSD000NY US Finance US Finance
LI
Additional Requirements:
02 Current Assignment Rules 1. The new Assignment Rule specified above must be included in the current Auto-Assignment Rules process
within the BZW Reconciliation
2. The existing Assignment Rules must be unaffected by the additional Assignment Rules.

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4.4.2 Implementation Detail

The following defines implementation detail for setting-up the CPP look-up within the reconciliation:

Reconciliation Implementation

BR Index Requirement Name Requirement Specification Notes

01 The current Dashboard Report ‘Balance Pool in Proof by Balance Pool’ The Dashboard will remain unchanged
Population Control Checks for the BZW Reconciliation must be unaffected by the changes to bring as the Balance Pool will include the
in the GBS source feeds. new GBS Accounts

02 GSB Transactions must be included in the Feed to Breaks DB for Current set up of the Breaks DB Feed
MI & Reporting
reporting in the Consolidated MIS Report. remains unchanged.

03 N/AA Scheduled Job must be created to import the new GBS Ledger
Schedule Job Requirements
file ‘NYAT400_NOSTRO_YYYYMMDD’

04 Exception Aging N/A

05 Business Calendar N/A

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5. Non-Functional Business Requirements

5.1 Scheduled Job Management

The current set of scheduled jobs for the BZW Reconciliation must remain unaffected by the changes
specified in this document.

5.2 BCM Requirements

The current Ops Control BCM plan will fulfil this requirement.

5.3 Security and Permission Requirements

The current Security and Permissions set up within the INTMATCHNOSTRO environment will fulfil
this requirement

5.4 Archive Requirements

The current Archive set up within BCIN – Barclays Capital International will fulfil the archiving
requirements.

5.5 Implementation Requirements

5.5.1 Implementation Approach

The approach to Implementation will include the following key activities:

 Ops Control Change will perform a control check to ensure all defect updates are accurately
reflected within BRD and passed to intelliMATCH IT

 Any defects identified will be escalated to intelliMATCH IT via Ops Control Change

 Auto Matching must be paused pending confirmation of successful business checks (a sign-off
email will be provided to advise)

 intelliMATCH Development will perform all necessary co-ordination with intelliMATCH IT

Support

5.5.2 Operational Readiness

It is anticipated that the Ops Control Production Team will amend their procedures accordingly to take
into account the changes applied in this initiative. There are no known impacts to upstream platforms.

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6. RAID Section

6.1 Risks

ID Risk – Impact Description Mitigation Owner

R01 There is a Risk that the project delivery Definition timelines brought in to DL, AA, DH
timelines may be subject to delay due to the allow more time for the Delivery
large number of regression testing required phase.
for BZW reconciliation.
Engagement with Ops Control to
secure dedicated resource for
UAT testing.

R02 There is a Risk that due to a number of Key Analysis for validating the Key DL, GS, KR
Assumptions requiring validation (see Assumptions currently under
below), the project delivery may be subject way.
to delay.

6.2 Issues

ID Issue Description Impact Owner

None identified

6.3 Assumptions

ID Assumption Validated Y/N? Owner

A01 GBS Account is not required to be set up at BONY N DL, SA

A02 GBS Transactions will be included in the current N DL, SA

BZWALLEXT Statement file (within either BZW_CSH,
BZW_TRN or BZW_INR)

A03 GBS Balances will be included in the current Swift MT950 N DL, SA
Statement file

6.4 Dependencies

ID Dependency Related Delivery Dependency

Agreement Y/N?

No related projects or initiatives

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