ANZ TRANSACTIVE · iNTROducTiON ANZ Transactive Administrators are security device users that have...

ANZ TRANSACTIVEADMINISTRATOR GUIDE04.2011

PAYMENT APPROVALS (PANEL) . . . . . . . . .29Step 1: Name the Approver Types . . . . . . . . . . . . . 30

Step 2: Assign an Approver Type to a User . . . . 31

Step 3: Create the Panel Profile(s) . . . . . . . . . . . . . 32

Step 4: Assign Payment Types to the Panel Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Orphaned Payments . . . . . . . . . . . . . . . . . . . . . . . . . . 35

AdMiN REPORTS . . . . . . . . . . . . . . . . . . . . . . . . . . .36Viewing an Admin Report . . . . . . . . . . . . . . . . . . . . . 36

AccOuNT ASSigNMENTS . . . . . . . . . . . . . . . . 37Assign Accounts to a Sub Group . . . . . . . . . . . . . . 37

SETuP OPTiONS . . . . . . . . . . . . . . . . . . . . . . . . . . . .38E-mail Set Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Create a Restricted File Import Path . . . . . . . . . . . 39

Modifying a Restricted File Import Path . . . . . . 40

Account Maintenence . . . . . . . . . . . . . . . . . . . . . . . . . 40

Modify an Account Name and/or Apply Account Discretions . . . . . . . . . . . . 41

Export Options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

APPENdix – FuNcTiON ROLE ENTiTLEMENT OPTiONS . . . . . . . . . . . . . . . . . .43

NOTES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

OVERViEw OF ANZ TRANSAcTiVE AdMiNiSTRATiON . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

ANZ TRANSAcTiVE ROLES . . . . . . . . . . . . . . . . . 6Creating a Function Role . . . . . . . . . . . . . . . . . . . . . . . .7

Approving a Function Role . . . . . . . . . . . . . . . . . . . . . .9

Modifying a Function Role . . . . . . . . . . . . . . . . . . . . 10

Deleting a Function Role . . . . . . . . . . . . . . . . . . . . . . 11

Viewing Function Roles . . . . . . . . . . . . . . . . . . . . . . . 12

Creating a Data Role . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Approving a Data Role . . . . . . . . . . . . . . . . . . . . . . . . 15

Modifying a Data Role . . . . . . . . . . . . . . . . . . . . . . . . . 16

Deleting a Data Role . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Viewing Data Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

ANZ TRANSAcTiVE uSERS . . . . . . . . . . . . . . . .20Creating a User . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Approving a User . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Modifying a User . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Deleting a User . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Viewing Users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

PAYMENT APPROVALS (VOTES) . . . . . . . . .26Modifying Votes Approval . . . . . . . . . . . . . . . . . . . . 27

ANZ TRANSACTIVE ADMINISTRATION GUIDE CONTENTS 3

CONTENTS

>Australia and New Zealand Banking Group Limited (ANZ Australia) is an authorised deposit taking institution in Australia. ANZ, part of ANZ National Bank Limited (ANZ New Zealand) is a registered bank in New Zealand under the Reserve Bank Act 1989 (New Zealand). ANZ New Zealand is a subsidiary and separate entity from ANZ Australia and is not an authorised deposit-taking institution under the Banking Act 1959 (Australia).

Any Cash Product provided by ANZ New Zealand is neither a deposit with nor liability of ANZ Australia and ANZ Australia is not required to meet the obligations of ANZ New Zealand.

ANZ Australia does not guarantee the performance of any Cash Product by ANZ New Zealand.

>References to “Australia(n)” or “AU” with respect to any payments, products and/or accounts means payment made by, accounts held with and products provided by Australia and New Zealand Banking Group Limited / ANZ Australia from or within Australia.

>References to “New Zealand” or “NZ” with respect to any payments, products and/or accounts means payment made by, accounts held with and products provided by ANZ National Bank Limited / ANZ New Zealand from or within New Zealand.

4 NOTES ANZ TRANSACTIVE ADMINISTRATION GUIDE

NOTES

iNTROducTiON

ANZ Transactive Administrators are security device users that have the entitlements to manage users and Roles.

A minimum of 3 Administrators are required by ANZ Transactive. This is due to the security feature that an Administrator cannot approve changes to their own User, and approval from another Administrator is required when creating or modifying Users and Roles.

However, as making changes to your own User is not a common task, 2 Administrators can operate ANZ Transactive on a day-to-day basis.

AdMiNiSTRATOR FuNcTiONS

Creating Users and Roles can only be done by Administrators. However, Administrators have the ability to entitle some administration functions to other Operators via Roles, including non-security device holders.

Functions that can be entitled to non-security device holders include:

> viewing audit reports and logs

> assigning short names to accounts, and

>maintaining email address groups for alerts.

Assigning these functions to roles is optional, however if you are an Administrator using any of the functions that are now available through entitlements, you will need to add these entitlements to your Function Role.

ANZ TRANSACTIVE ADMINISTRATION GUIDE OVERVIEW OF ANZ TRANSACTIVE ADMINISTRATION 5

OVERVIEW OF ANZ TRANSACTIVE ADMINISTRATION

iNTROducTiON

Function Roles and Data Roles specify the products and accounts Users will be able to access. In ANZ Transactive terms, products include:

>Domestic Payments

> Single Payments, and

>Reporting.

ANZ provides pre-created Function Roles that you can use. As an ANZ Transactive Administrator, you can choose to modify these pre-created Function Roles to meet your needs or create your own Function Roles that meet the needs of your organisation.

Note: Assigning new roles to Users within ANZ Transactive will temporarily disable the User’s access, pending approval by a second ANZ Transactive Administrator.

FuNcTiON ROLES

Function Roles are created to allocate entitlements to Users. If a User is not allocated a Function Role, they will not have any entitlements.

The exception to this is for Administrators who will have default Administration entitlements; i.e. User and Role maintenance. Additional Administration entitlements can be assigned using the Function Role.

Each User can only be assigned one Function Role, so the Role must include all the entitlements required by that User. The same Function Role may be assigned to multiple Users.

For a detailed description of entitlements available within Function Roles please refer to the Appendix – Function Role Entitlement Options on Page 44.

dATA ROLES

Data Roles are created to give Users access to accounts and restricted templates at the product and payment type level. Each product (Domestic Payments, Reporting and Single Payments) is listed in a Data Role.

For each Data Role you can:

> individually entitle accounts for each product, and

>entitle accounts for each Single Payments payment type.

For example, for one Data Role an account can be entitled for RTGS Payments only, but for another Data Role an account can be entitled for all Single Payments payment types.

Each User can be assigned only one Data Role. The same Data Role may be assigned to multiple Users.

ASSigNiNg ROLES

Assigning a Data Role to a User is optional. If a User is not assigned a Data Role, they will have access to all accounts and all restricted templates.

If you do want to restrict which accounts can be seen, you will need to ensure the User has a Data Role assigned before you give them access to the system.

ANZ recommends that if you want to restrict the accounts your new Users have access to, you assign the Data Role first and then the Function Role. This will ensure that access is always restricted.

6 ANZ TRANSACTIVE ROLES ANZ TRANSACTIVE ADMINISTRATION GUIDE

ANZ TRANSACTIVE ROLES

cREATiNg A FuNcTiON ROLE

introductionUse this procedure to create new Function Roles for your organization.

ProcedureTo begin, select Admin > Function Roles > Add.

STEP AcTiON

1 Complete the fields on the Function Role screen as follows.

FiELd AcTiON

User Group Click […] to select a different User Group, if required.

Role Name Type a unique name for the Role.

Role Description Type a brief description of the Role.

Disable Creation and Modification of AU Domestic Payment

Select to disable the ability to create or modify imported payment details.

2 Click Add.

Result: The message ‘Successfully saved xxx User role’ displays.

3 Click OK.

Result: The role entitlement folders are displayed.

ANZ TRANSACTIVE ADMINISTRATION GUIDE ANZ TRANSACTIVE ROLES 7

STEP AcTiON

4 Complete one of the following:

> Click the required folder and sub folder to open and display the role entitlements, OR

> Click Expand All to display the contents of all the folders.

5 Select the relevant entitlements required for each of the following folders

> Domestic Payments

> Reporting

> Single Payments

> Admin

> Utilities

Note: Details of each entitlement is contained in Appendix – Function Role Entitlements.

6 Click update.


7 Click OK.

Next StepBefore the Function Role can become active, it must be verified and approved by another ANZ Transactive Administrator. Go to Approving a Function Role on Page 9.



APPROViNg A FuNcTiON ROLE

introductionUse this procedure to review and confirm the addition or modification of Function Role entitlements. You must confirm that the details are correct before approving the record.

Note: You cannot approve a Function Role that you created.

ProcedureTo begin this procedure, select Admin > Function Roles > Approve.

STEP AcTiON

1 Does the filter screen display?

> If Yes, go to step 2.

> If No, go to step 4.

2 Select the User Group (Mandatory) and Role name (Optional), for which you want to approve the role.

3 Click Enter.

Result: Records matching the filter criteria display.

4 Although it is possible to approve a role from this list, it is recommended to check the role setup before you approve it.

Click on the required record from the list.

Result: The record details display.

5 Browse the Role Entitlements folders to confirm that the correct entitlements are assigned.

Hint: Click the Expand All button to expand all folders.

6 Click Approve.

Result: A message is displayed confirming that the role is approved.

Note: If the message A different user must approve this record displays, ask another ANZ Transactive Administrator to approve the record.

7 Click OK to clear the message and return to the list of roles for approval.

Next StepNo further action is required.


MOdiFYiNg A FuNcTiON ROLE

introductionEntitlements allocated to individual Users can be modified after a Function Role has been created, if necessary.

ProcedureTo begin this procedure, select Admin > Function Roles > Modify.

STEP AcTiON




2 Select the User Group for which you want to modify the role.

3 Click Enter to display the list of Roles for the User Group.

4 Select the required Role from the list.

Result: The role entitlement folders are displayed.

5 Make changes to the Role description, as required.

6 Complete one of the following:

Click each folder and sub folder to open and display the role entitlements, or

Click Expand All to display the contents of all the folders.

7 Select or deselect the entitlements, as required.

8 Click update.

Result: The message ‘Successfully updated xxx User role’ displays.

9 Click OK to clear the message.

Next StepBefore the modified Function Role can become active, it must be verified and approved. Go to Approving a Function Role on Page 9.



dELETiNg A FuNcTiON ROLE

introductionUse this procedure to permanently remove a Function Role from ANZ Transactive.

Note: Exercise extreme care when selecting a record for deletion, as deleted records cannot be reversed. A second ANZ Transactive Administrator approval is not required to delete a role.

ProcedureTo begin this procedure, select Admin > Function Roles > delete.

STEP AcTiON




2 Select the user group for which you want to delete the role.

3 Click Enter.


4 Locate and select the required record, using and or if required.


5 Select and view the required record from the options displayed.


6 Confirm the correct record has been selected for deletion.

7 Click delete.

Result: The message ‘Successfully deleted xxx User role’ displays.





ViEwiNg FuNcTiON ROLES

introductionUse the View menu option to display information about a Functional Role when you do not need to modify, approve or delete the Role.

ProcedureTo begin this procedure, select Admin > Function Roles > View.

STEP AcTiON




2 Select the user group from which you want to view the Role.

3 Click Enter.


4 Locate and select the required record, using and or if required.




Note: You cannot make any changes to the Function Role when using the view option.




cREATiNg A dATA ROLE

introductionUse this procedure to create new Data Roles for your organisation.

ProcedureTo begin this procedure, select Admin > data Roles > Add.

STEP AcTiON

1 Complete the fields on the Data Role screen as follows.

FiELd AcTiON

User Group Click […] to select a different User Group, if required.

Role Name Type a unique name for the Data Role.

Role Description Type a brief description of the Data Role.

Disable Creation and Modification of AU Domestic Payment

Select to disable the ability to create or modify imported payment details.

2 Click Add.


3 Click OK to clear message.

Result: The Role Entitlement folders are displayed.

4 Click the required product folders and subfolders to open and display the filters for the products you want to assign to this role.

5 iF YOu wANT TO APPLY FiLTERS FOR... THEN cLicK...

banks and accounts next to the required Bank and Account Filter to assign access to banks and accounts.

restricted templates next to the required Template Code Filter to assign access to Restricted Templates for both or either Domestic and Singles Payments.

Result: The records that can be assigned to the Data Role display in the Selection List.



STEP AcTiON

6 Locate and select the required record(s), using and or if required.

7 Select the required records(s) from the options displayed.

Note: > If no accounts are entitled in the Bank and Account Filter, a User assigned to the Data Role will have no account access for the product or payment types. > If no restricted templates are entitled in the Template code Filter, a User assigned the Data Role will have no access to restricted templates for the product.

8 Click Save.

Result: The message “Entitlement Filters updated successfully, please click the ‘Update’ button before approving” displays.


10 Click update.


11 Click OK.

Next StepA new Data Role becomes active, it must be verified and approved by another ANZ Transactive Administrator to become active. Go to Approving a Data Role on Page 16.



APPROViNg A dATA ROLE

introductionUse the Approve option to review and confirm the addition or modification of Data Role entitlements. You must confirm that the details are correct before approving the record.

ProcedureTo begin this procedure, select Admin > data Roles > Approve.

STEP AcTiON




2 Select the user group from which you want to view the Role.

3 Click Enter.



5 Confirm the information is correct.

6 Is the record correct?

iF... THEN...

Yes > go to step 7.

No – the incorrect record was selected > click Back, and

> go to step 4 and repeat the selection.

No – the record contains errors > correct the record, and

> request approval from another Administrator.

Note: Continue until all errors are identified and corrected.

7 Click Approve and an appropriate message will display.

Result: The message ‘Successfully approved xxx User role’ displays.

Note: If the message ‘A different Administrator must approve this record’ displays, ask another ANZ Transactive Administrator to approve the record.


Next StepNo further actions required.



MOdiFYiNg A dATA ROLE

introductionEntitlements allocated to individual Users can be modified after a Data Role has been created, if necessary.

ProcedureTo begin this procedure, select Admin > data Roles > Modify.

STEP AcTiON




2 Select the user group for which you want to modify the Data Role.

3 Click Enter to display the list of Data Roles.



5 Select the required Data Role from the list.

Result: The product entitlement folders are displayed.

6 Modify the Role description, if required.

7 Click the required folder and sub folder to open and display the filters.

8 Complete the following:

iF YOu wANT TO MOdiFY... THEN...

Bank and Account Filters click next to the required Bank and Account Filter.

Template Code Filters click next to the required Template Code Filter.

Result: The records that have already been assigned and those that can be assigned to the Data Role display in the Selection List.



STEP AcTiON


10 Select the required records(s) from the options displayed.

Note: > If no accounts are entitled in the Bank and Account Filter, a User assigned to the Data Role will have no account access for the product or payment types. > If no restricted templates are entitled in the Template code Filter, a User assigned the Data Role will have no access to restricted templates for the product.

11 Click Save.

Result: The message “Entitlement Filters updated successfully, please click the ‘Update’ button before approving” displays.

12 Click OK.

13 Click update.


14 Click OK.

Next StepAny modifications to a Data Role must be verified and approved by another ANZ Transactive Administrator. Go to Approving a Data Role on Page 16.



dELETiNg A dATA ROLE

introductionUse the delete menu option to permanently remove a Data Role from ANZ Transactive.

Note: Exercise extreme care when selecting a record for deletion, as deleted records cannot be reversed. Another ANZ Transactive Administrator is not required to approve the deletion of a Data Role.

ProcedureTo begin this procedure, select Admin > data Roles > delete.

STEP AcTiON




2 Select the user group from which you want to modify the Data Role.

3 Click Enter.






6 Confirm the correct record has been selected for deletion.

7 Click delete.

Result: The message ‘Successfully deleted xxx data role’ displays.

8 Click Ok.

Next StepNo further actions are required.



ViEwiNg dATA ROLES

introductionUse the View menu option to display information about a record when you do not need to modify, approve or delete the record.

ProcedureTo begin this procedure, select Admin > data Roles > View.

STEP AcTiON




2 Select the user group for which you want to modify the Data Role.

3 Click Enter.






Note: You cannot make any changes to the Data Role when using the view option.




iNTROducTiON

There are 2 types of Users within ANZ Transactive:

>Administrators, and

>Operators

All Administrators require a security device. Operators will require security devices to perform the following functions:

>Release (Payments), and

>Get Rate (for Dynamic Rates)

All other functions can be completed by a User name and password logon.

AdMiNiSTRATOR FuNcTiONS

As an Administrator you can:

> create and modify User name and password Users, and

>modify existing Security Device Users’ details and entitlements.

Note: New Security Device Users must be created by ANZ.

If you require additional Security Device Users, please contact your ANZ Representative for assistance.

20 ANZ TRANSACTIVE USERS ANZ TRANSACTIVE ADMINISTRATION GUIDE

ANZ TRANSACTIVE USERS

cREATiNg A uSER

introductionUse this procedure to create a password User in ANZ Transactive.

ProcedureTo begin this procedure, select Admin > users > Add.

STEP AcTiON

1 Select the correct User Group.

2 Enter the following User details

> User ID

> Preferred User name

> Password

> Confirm password

Note: Passwords require between 8 and 16 characters, must contain numeric and alpha numeric characters and at least one capital letter.

3 Click Add.

Result: The message ‘Successfully saved User xxx’ displays.

4 Click OK.

5 Select the relevant Function and Data Roles, if applicable, from the drop down lists.

6 Select the relevant Approver Type (if applicable; for Panel Approval User Groups).

7 Click update.

Result: A message ‘User xxx updated successfully’ displays.

Note: The User will not be able to log into ANZ Transactive until another ANZ Transactive Administrator has approved the creation of the User.

8 Click OK.

Result: The list of User IDs are displayed in a grid.

Next StepBefore a new User becomes active, it must be verified and approved by another ANZ Transactive Administrator. Go to Approving a User on Page 24.

ANZ TRANSACTIVE ADMINISTRATION GUIDE ANZ TRANSACTIVE USERS 21

APPROViNg A uSER

introductionUse the Approve menu option to approve a User in ANZ Transactive. You cannot approve a User that you created.

ProcedureTo begin this procedure, select Admin > users > Approve.

STEP AcTiON




2 Select the user group from which you want to approve the User.

Note: User ID and User Name are optional.

3 Click Enter.



5 Select Approve.

Result: The message ‘Successfully approved User xxx’ displays.

Note: The User will require their User Group ID, User Name and Password to logon. On their first logon they will be prompted to change their password.




MOdiFYiNg A uSER

introductionUsers can be modified after created, if necessary. This also includes performing Password Resets and Role/Approver Type assignment.

ProcedureTo begin this procedure, select Admin > users > Modify.

STEP AcTiON




2 Select the user group from which you want to modify the User.


3 Click Enter.



5 Update the required field:

> Password

> Confirm password

> Date Role (drop down menu)

> Function Role (drop down menu)

> Approver Type (Popup select)

Note: Passwords require between 8 and 16 characters, must contain numeric and alpha numeric characters and at least one capital letter.

6 Click update

Result: The message ‘User xxx updated successfully’ displays.

Note: The User will not be able to log into ANZ Transactive until a second Administrator has approved the modification of the User.

Next StepAny modifications to a User must be verified and approved by another ANZ Transactive Administrator. Go to Approving a User on Page 24.



dELETiNg A uSER

introductionUse the delete menu option to permanently remove a User from ANZ Transactive.

Note: Exercise extreme care when selecting a record for deletion, as deleted records cannot be reversed. Another ANZ Transactive Administrator is not required to approve the deletion of a User.

ProcedureTo begin this procedure, select Admin > users > delete.

STEP AcTiON




2 Select the user group from which you want to delete the User.


3 Click Enter.



5 Select delete.

Result: The message `Successfully deleted user xxx’ displays.




ViEwiNg uSERS

introductionUse the View menu option to display information about a record when you do not need to modify, approve or delete the record.

ProcedureTo begin this procedure, select Admin > users > View.

STEP AcTiON






3 Click Enter.




Note: You cannot make any changes to Users when using the View option.




iNTROducTiON

This information is only applicable for organisations set up with Votes Payment Approval workflow.

ABOuT VOTES APPROVAL

The Votes Approval functionality in ANZ Transactive allows you to control the number of Users required to approve a payment, by assigning a number of ‘Votes’ to a User’s Role.

Each Domestic Payment and Single Payment requires a total of 6 votes to be approved.

For example;

> If 1 User is required to approve a payment they are assigned 6 votes.

> If 2 Users are required to approve a payment, each User is assigned 3 votes.

> If 3 Users are required to approve a payment, each User is assigned 2 votes.

VOTES ANd PAYMENT TYPES

Each payment type can have a different number of approvers if required. For example, you may require:

>2 Users to approve Domestic Payments, so you assign 3 votes to the Users’ Roles; and

>only 1 User to approve Transfers, therefore you assign a single User 6 votes.

PAYMENT diScRETiONS

Payment discretions can also be incorporated within the Vote Approval process. The following discretions can be created:

>daily – the amount the User associated to the Role is permitted to approve in one day.

>Transaction - the amount the User associated to the Role is permitted to approve for one transaction (including single items within a batch).

>Batch – the amount the User associated to the Role is permitted to approve for a total batch.

Note: If the discretion is set at a value of $0, the discretion will be unlimited.

APPROVE OwN ANd AuTO APPROVE

Approve Own and Auto Approve capabilities can also be assigned to Users.

>Approve Own allows a User to approve payments which they have created or modified.

>Auto Approve will enable payments to be automatically approved for Users who have entitlements to create and approve a payment. Approve Own must be enabled for Auto Approve to be assigned.

26 PAYMENT APPROVALS (VOTES) ANZ TRANSACTIVE ADMINISTRATION GUIDE

PAYMENT APPROVALS (VOTES)

MOdiFYiNg VOTES APPROVAL

introductionYou can modify the number of Votes (Signatures) assigned to a Role to control the number of approvers for a payment. You can also set discretions restricting the values which the Users attached to the role can approve.

ProcedureTo begin this procedure, select Admin > Function Roles > Modify.

STEP AcTiON




2 Select the user group from which you want to modify the User.


3 Click Enter.



5 Select the Role Restrictions tab.

ANZ TRANSACTIVE ADMINISTRATION GUIDE PAYMENT APPROVALS (VOTES) 27

STEP AcTiON

6 Click the + icon next to the role entitlement to be modified.

7 Update Votes and Discretions as required.

8 Click update.

Result: The message ‘Successfully updated xxx role’ displays.

Next StepAny modifications to a Function Role must be verified and approved by another ANZ Transactive Administrator. Go to Approving a Function Role on Page 7.

28 PAYMENT APPROVALS (VOTES) ANZ TRANSACTIVE ADMINISTRATION GUIDE

PAYMENT APPROVALS (VOTES)

iNTROducTiON

This information is only applicable for organisations set up with Panel Payment Approval workflow.

ABOuT PANEL APPROVAL

Panel Approval functionality in ANZ Transactive allows you to have total control over your payment approval process by creating ‘panels’ of up to six approvers who can approve payments according to:

>product, ie. Domestic or Single Payment

>payment type, eg. International, AU Domestic, and

>payment entry method, eg. freeform, template.

These payments must be within specified thresholds. Thresholds define the maximum transaction value that a panel of approvers can approve. For example, a $100K threshold means that the designated panel can approve payments up to $100K.

cONTENTS

This section covers the four steps of setting up Panel Approval in ANZ Transactive:

> Step 1: Name the Approver Types

> Step 2: Assign an Approver Type to a User

> Step 3: Create the Panel Profile(s)

> Step 4: Assign Payment Types to the Panel Profile.

It also covers Orphaned Payments.

ANZ TRANSACTIVE ADMINISTRATION GUIDE PAYMENT APPROVALS (PANEL) 29

PAYMENT APPROVALS (VOTES) PAYMENT APPROVALS (PANEL)

STEP 1: NAME THE APPROVER TYPES

introductionApprover Types are set up to:

> allow for segregation of duties

> assign to specific employees, or groups of employees.

ProcedureWhen your organisation is set up with Panel Approval in ANZ Transactive, the letters A through J default as the Approver Type names. It is recommended that you change the default letters to names that are unique and meaningful to your organisation. To begin this procedure, select Admin > Setup > Panel > Approver Type Naming > Modify.

STEP AcTiON

1 Select the User Group.

2 Type the name/s of your Panel Approver Types in the Approver Type Name screen.

3 Click update.

Result: The message ‘Record updated successfully’ displays.

4 Click OK.

Next StepThe names of the Panel Approver Types must be approved before they can be assigned.

30 PAYMENT APPROVALS (PANEL) ANZ TRANSACTIVE ADMINISTRATION GUIDE

PAYMENT APPROVALS (PANEL)

STEP 2: ASSigN AN APPROVER TYPE TO A uSER

introductionIn the second step of setting up Panel Approval, you need to assign Approver Types to Users. Only one Approver Type can be assigned to each User.

For example: Assign “Accounts Officer” Approver Type to User “Ms X” who works in Accounts.

ProcedureTo begin this procedure, select Admin > users > Modify.

STEP AcTiON






3 Click Enter.




Note: You cannot make any changes to Users when using the View option.

5 Click the [...] icon next to the Approver Type field.

Result: The list of Approver Type display.

6 Select the Approver Type to be assigned to this User.

Note: Only approved Approver Types can be assigned to a User.

7 Click update. Result: The message ‘User xxx updated successfully’ displays.

8 Click OK.

Next StepThe names of the Panel Approver Types must be approved.



STEP 3: cREATE THE PANEL PROFiLE(S)

introductionIn the third step of setting up Panel Approval, you need to create at least one Panel Profile. Panel Profiles define the details of:

>payment value Thresholds, and

> the Approver(s) associated to each Panel within the thresholds.

A Panel Profile can be as simple or as complex as is required. It can contain as many thresholds as required, and each threshold can contain as many Panels of Approvers as required, who can approve payments less than or equal to the defined threshold amount. For example:

>A simple Profile could have an unlimited threshold and one Approver Type in the Panel

>A complex Panel Profile may have multiple thresholds with multiple different Panels associated with each threshold and varying numbers of Approvers.

Order of ApprovalsWhen setting up each Panel, you can choose the order of the approvals:

>Fix All – A specific order of approvers, eg. Accounts Officer> Accounts Manager> CFO.

>Fix First – A specific first approver only. eg. the CFO must always perform the first approval on the payment. Subsequent approvals can occur in any order.

>Fix Last – A specific last approver, eg. the CFO must always perform the last approval on the payment.

>Not Fixed – No specific order of approver types.

ProcedureTo begin this procedure, select Admin > Setup > Panel > Panel Profile > Add.

STEP AcTiON

1 Enter a new Profile code and description.

2 Click Add, then OK.

Result: The message ‘Record saved successfully’ displays.



STEP AcTiON

3 Click OK.

Result: The add threshold and panel details fields display.

4 Click Add.

Result: The Threshold fields display.

5 Specify the threshold amount.

6 For each Panel within this threshold, select:

> the sequence, and

> each Approver Type.

7 Click Save once when all the panels have been added.

Result: The message ‘Record saved successfully’ displays.

8 Click OK.

Result: A new threshold and associated panels can then be added.

9 Click Back to return to the Panel Profile screen.

Next StepThe names of the Panel Profiles must be approved.



STEP 4: ASSigN PAYMENT TYPES TO THE PANEL PROFiLE

introductionIn the final step of setting up a Panel Approval, you need to assign Panel Profiles to relevant products, payment types and/or entry methods in ANZ Transactive:

>product, ie. Domestic or Single Payment

>payment type, eg. International, AU Domestic, or ‘all’ and

>payment entry method, ie. freeform, template or ‘all’ (for Domestic payments, this includes import).

ProcedureTo begin this procedure, select Admin > Setup > Panel > Panel Profile Assignment > Add.

STEP AcTiON

1 Select at the payment details to be assigned to the profile.

Note: Payment details can only be assigned to Panel Profiles that have been approved.

2 Click Save.

3 Click OK.




ORPHANEd PAYMENTS

iNTROducTiON

A payment can become ‘orphaned’ if it no longer has a valid Panel Profile associated to it once it is in the process of approval.

ANZ Transactive will not allow payments to be submitted for approval if there is not an applicable Panel Profile assigned to the relevant payment type.

ExAMPLES

For example, ANZ Transactive will prevent you from submitting a payment for approval if you create:

> a payment for $1,500,000 but the maximum threshold in any of your Panel Profiles is $1,000,000.

> a Domestic Payment but your Panel Profiles are only assigned to Single Payments.

However a payment can become ‘orphaned’ if, in the middle of the Approval process, the Panel Profile which is being used to approve the payment is modified. To avoid this, Panel Profiles should not be modified when there are payments currently in the approval process.

ORPHANEd PAYMENTS REPORT

Orphaned payments can be viewed on the Orphaned Payments Report by selecting:

Admin > Reports > Standard > Orphaned Payment Report.



iNTROducTiON

ANZ Transactive provides Administrators with a range of audit and regulatory reports to monitor User access and entitlements.

REPORTS

The below reports are available:

>Roles

>User Entitlements

> Security Audit Trail

>Client Consolidated Report

> Setup Log

>DE User ID

For a detailed description of each report please refer to the Appendix – Function Role Entitlements on Page 42.

AccOuNT ASSigNMENT

Account assignment is used for ANZ Transactive hierarchy clients to assign access to accounts at a Sub Group level.

ViEwiNg AN AdMiN REPORT

ProcedureTo begin this procedure, select Admin > Reports.

STEP AcTiON

1 Select Standard or Filter.

2 Select the desired report.


36 ADMIN REPORTS ANZ TRANSACTIVE ADMINISTRATION GUIDE

ADMIN REPORTS

iNTROducTiON

ANZ Transactive offers clients the ability to setup a hierarchy structure linking different Sub Groups, being either entities or business units into a Group. If your ANZ Transactive site is setup as a hierarchy then your Group Administrators will be required to assign access for bank accounts to each Sub Group.

ASSigN AccOuNTS TO A SuB gROuP

ProcedureTo begin this procedure, select Admin > Account Assignment > Modify.

STEP AcTiON

1 Select the Sub Group.

2 Select Enter.

Result: The Account Filters screen displays.

3 Using the account filter, select the accounts required for the Sub Group.


ANZ TRANSACTIVE ADMINISTRATION GUIDE ACCOUNT ASSIGNMENTS 37

ACCOUNT ASSIGNMENTS

iNTROducTiON

Setup options enable ANZ Transactive Administrators to perform task including creating and modifying restricted file import paths, email alerts and modifying account short names and apply account based directions.

E-MAiL SET uP

introductionEmail set up provides the ability to create group email distribution list used for ANZ Transactive email alerts.

Before you beginCreating a Group Distribution list is a 3 step process.

> Step 1 – Add individual email recipients

> Step 2 – Create the email group

> Step 3 – Add recipients to the email group

Step 1

STEP AcTiONSelect Admin > Setup > Email setup > client email recipients > Add.

1 Enter the Users name.

2 Enter the Users email address.

3 Select Add.

4 Repeat steps 1 to 3 if multiple Users are to be added to a group alert.

STEP AcTiON

Select Admin > Setup > Email setup > client email recipient groups > Add.

1 Enter the group name.

2 Select Add.

3 Repeat steps 1 to 2 if multiple groups are required.

STEP AcTiON

Select Admin > Setup > Email setup > client email recipient group assignments > Add.

1 Select the relevant group.

2 Select the recipient to add to the group.

3 Select Add.

4 Repeat steps 1 to 3 if multiple Users are to be added to a group alert.

Next Step

These changes do not require approval by another ANZ Transactive Administrator.

Step 2

Step 3

38 SETUP OPTIONS ANZ TRANSACTIVE ADMINISTRATION GUIDE

SETUP OPTIONS

cREATE A RESTRicTEd FiLE iMPORT PATH

introductionANZ Transactive offers the ability to restrict a file import path for uploading payment files. As an ANZ Transactive Administrator you can create one or more file import paths for both Domestic and/or Single Payments.

ProcedureTo begin this procedure, select Admin > Setup > File import Path > domestic or Single Payments > Add.

STEP AcTiON

1 Select the User Group where you wish to configure a file import path.

2 Enter the file path.

3 Select Add.

4 If multiple import paths are required repeat steps 1 to 3.


ANZ TRANSACTIVE ADMINISTRATION GUIDE SETUP OPTIONS 39

MOdiFYiNg A RESTRicTEd FiLE iMPORT PATH

ProcedureTo begin this procedure, select Admin > Setup > File import Path > domestic or Single Payments > Modify.

STEP AcTiON

1 Select the User Group where you wish to modify the import path.

2 Select the required file path.

3 Update the required file location.

4 Select update.


AccOuNT MAiNTENENcE

introductionThe account maintenance option provides ANZ Transactive Administrators the ability to customise account short names/descriptions via ANZ Transactive and to apply account based discretions.

Account based discretions will restrict the dollar value of transactions processed from the selected account on a daily basis.


SETUP OPTIONS

MOdiFY AN AccOuNT NAME ANd/OR APPLY AccOuNT diScRETiONS

ProcedureTo begin this procedure, select Admin > Setup > Account Maintenance > Modify.

STEP AcTiON

1 Select the required account.

2 Update the account short name as required.

3 Update the account discretion if required.

Note: A discretion of $0.00 is unlimited.

4 Select update.

Result: The message ‘Instruction updated successfully’ displays.

Note: These changes do not require approval by another ANZ Transactive Administrator.


ANZ TRANSACTIVE ADMINISTRATION GUIDE SETUP OPTIONS 41

ExPORT OPTiONS

introductionExport Options allows you to setup the automatic creation of statement files for ANZ Transactive. Once setup, these files will be created daily, eliminating the need to manually generate the files.

These files will be awaiting download when you log into ANZ Transactive at the start of the day.

ProcedureTo begin this procedure, select Admin > Setup > Export Options > Modify.

STEP AcTiON

1 Select the User Group where you wish to configure the export options.

2 Select file format required.

3 Check Returned Item File(s) if required.

4 Select update.

Result: The message ‘Record updated successfully’ displays.

Note: These changes do not require approval by another ANZ Transactive Administrator.



SETUP OPTIONS

introductionThe tables below contain details of each entitlement available to be assigned to a Function Role in ANZ Transactive.

domestic PaymentsInclude all your domestic AUD and NZD payments (eg creditor, supplier or payroll payments) processed via the Direct Entry system.

FuNcTiON ENTiTLEMENT dEScRiPTiON

Payments Restricted – Both AU Domestic & NZ Domestic

Can only create payments via File Import and approved templates. Users will be restricted from the ability to add, modify or delete payees to an existing payment. Can update payment amount, remitter name and lodgement reference.

Unrestricted – Both AU Domestic & NZ Domestic

Create payments from scratch, templates or file import. Provides the ability to add or maintain all payment data, including amending BSB (AU Only) and Account information.

Approve Ability to approve a Domestic Payment. Please refer to ‘Payment Approval Process’ for details on approval options.

Delete Ability to delete a payment prior to approval. Payment status will be updated to Deleted and details will be recorded on audit reporting.

Enter Ability to create a payment from scratch, template or previous payment.

Enquire Enquire on the status of any payment during the payment creation process.

Modify Modify the batch header and add or maintain payees within a payment.

Unapprove Ability to unapprove a payment

Templates Approve Approve a template prior to processing a payment using the template.

Delete Delete a template.Enter Create a new template.Enquire Enquire on the status of a existing

template.Modify Modify an existing template,

including adding new payees.Unapprove Unapprove a template.Schedule Schedule a template for recurring

payments.

import Import ABA (AU Only) Create domestic payments via File Import.

ANZ TRANSACTIVE ADMINISTRATION GUIDE APPENDIX – FUNCTION ROLE ENTITLEMENT OPTIONS 43

APPENDIX – FUNCTION ROLE ENTITLEMENT OPTIONS


Reports – Admin

Payment Audit Trail Report Provides a summary view of payment batches and their transactions with a drilldown feature to audit trail entries against a selected batch or transaction.

Template Audit Trail Report Provides a summary view of templates with a drilldown feature to audit trail entries against a selected template.

Reports – Payments

Payment Summary Totals Report Provides a summary view of payment batches with a drilldown feature to payment detail.

Payment Detail Report Lists all payment batches and their detail transactions.

External Payment Identifier Tracing Report

This report displays both the External Payment ID and the Transactive batch number.

As you may only know one of the numbers, this report provides the linkage between the two.

For Host-to-Host clients only.File Import Status Report Lists all imported files used to create

payment batches along with the validation results of the import per transaction.

Payment Detail Import Status Report

Lists all detail imports into payment batches along with the validation results of the import per transaction.

Template Detail Import Status Report

Lists all detail imports into payment batches along with the validation results of the import per transaction.

Lists the statuses of all transactions imported into a template.

Domestic Payments Discretions Report

Lists account discretions and utilisations and role-based daily, batch and transaction discretions and utilisations for payment types relating to the Domestic Payments product.

44 APPENDIX – FUNCTION ROLE ENTITLEMENT OPTIONS ANZ TRANSACTIVE ADMINISTRATION GUIDE



Alerts Payments Awaiting Approval Ability to create an email alert advising of payments with the status of Awaiting Approval.

Payments Unapproved Ability to create an email alert advising of payments with the status of Unapproved.

Payments Awaiting Release Ability to create an email alert advising of payments with the status of Awaiting Release.

Payments Completed Ability to create an email alert advising of payments with the status of Completed.

Payments Rejected at Approval Ability to create an email alert advising of payments rejected at Approval.

Payments Rejected Ability to create an email alert advising of payments rejected after Release.

Payments Needs Repair Ability to create an email alert advising of payments that need to be amended/ repaired.

Payments Failed to Load Ability to create an email alert advising of payments that failed to load.


ReportingProvides access to all types of prior day, current day and filtered reports, available for printing, downloading, and exporting to various data formats.


Reports – current day

Current Day Balance Enquiry Report Shows current day account balance information for requested accounts.

Current Day Transactions Report Shows current day transactions for a requested account.

Reports – Prior day

Statement Provides daily balances with debit and credit activities for requested accounts for the selected prior days.

Daily Balance Report Presents opening and closing balances, total debit and credit movements and other account information for requested accounts for the selected prior days. (9 accounts per page)

Balance History Report Presents opening and closing balances, total debit and credit movements and other account information for a requested account across a date range.

Transaction Summary Report Shows a summary of posted transactions for requested accounts, with a drilldown feature to the transaction detail.

Transaction Detail Report Provides a detailed view of a posted transaction for requested accounts.

Transaction Summary with Voucher Images Report

This report is identical to the Transaction Summary Report, except that it provides the ability for the User to retrieve and view voucher images associated to the transaction.

Reports – Returned items

Returned Payments Report Displays details relating to returned payments, including reason for returns.

Returned Cheques Report Displays details relating to returned cheques, including reason for returns.



Single PaymentsRelates to payment types that are processed as individual payments rather than batches, including transfers between your registered ANZ accounts, International Payments, Real Time Gross Settlement and Multibank payments.

Single Payments can be created from scratch (Freeform), via approved templates (Templates) via existing payments, or from an imported file (File Import).


Payments – Freeform

Quick Entry Create Single Payments from scratch.Approve Ability to approve a Single Payment.

Please refer to ‘Payment Approval Process’ for details on approval options.

Delete Ability to delete a payment prior to approval. Payment status will be updated to Deleted and details will be recorded on audit reporting.

Enter Ability to create a payment from scratch, template or previous payment.

Get Rate* Obtain a live foreign currency quote for an International Payment and a Cross Currency Transfer Payment.

Modify Modify payment details including beneficiary details, accounts, payment amount etc. excluding imported payments.

Release* Release an approved payment to ANZ for processing.

Repair Modify payment details including beneficiary details, accounts, payment amount etc. for Imported Payments.

Enquire Enquire on the status of any payment during the payment creation process.

Unapprove Unapprove a payment, will allow payment details to be modified or deleted.

* ANZ Transactive security device required.



Payments – Template

Approve Approve a payment which has been created using a template.

Delete Delete a payment created via a template.Enter Create a payment using a template.Get Rate (International Only) Obtain a live foreign currency rate/quote

for an International Payment and Cross Currency Transfer.

Modify Modify a payment created via a template.Release Release a payment created via

a template.Repair Modify payment details including

beneficiary details, accounts, payment amount etc. for Imported Payments.

Enquire Enquire on the status of a payment.Unapprove Unapprove a payment created

via a template.

Templates Approve Approve a template prior to processing a payment using the template.

Delete Delete a template.Enter Create a new template.Enquire Enquire on the status

of an existing template.Modify Modify an existing template,

including adding new payees.Unapprove Unapprove a template.

Template Sets Delete Delete a Template Set.Enter Create a group of commonly used

templates to create payments from at the same time (similar to Domestic Payment batches).

Modify Modify a Template Set.Enquire Enquire on the status and items within

a Template Set.

import Import Import MT101 and WIRS files via the File Import.




Reports Payment Audit Trail Report Provides a summary view of payments with a drilldown feature to audit trail entries against a selected payment.

Payment Summary Report Provides a summary view of payments with a drilldown feature to detail.

Payment Detail Report Provides a detailed view of payments.Future Dated Payments Report Provides a summary view of future

dated payments with a drilldown feature to detail.

Payments Pending Approval Report Provides a summary view of payments pending approval with a drilldown feature to detail.

Payment Data Export Provides a detailed listing of payments and can be exported immediately to a spreadsheet or other external system.

Template Summary Report Provides a summary view of payment templates with a drilldown feature to detail.

Template Detail Report Provides a detailed view of the selected payment template.

Template Audit Trail Report Provides a summary view of templates with a drilldown feature to audit trail entries against a selected template.

Single Payments Discretions Report Lists account discretions and utilisations and role-based daily and transaction discretions and utilisations for payment types relating to the Single Payments product.

File Import Status Report Lists all imported files used to create payments along with the validation results of the import per transaction.

External Payment Identifier Tracing Report

This report displays both the External Payment ID and the Transactive transaction number (Tnum).

As you may only know one of the numbers, this report provides the linkage between the two.

For Host-to-Host clients only.



Alerts Payments Awaiting Approval Ability to create an email alert advising of payments with the status of Awaiting Approval.

Payments Unapproved Ability to create an email alert advising of payments with the status of Unapproved.

Payments Awaiting Release Ability to create an email alert advising of payments with the status of Awaiting Release.

Payments Completed Ability to create an email alert advising of payments with the status of Completed.

Payments Rejected at Approval Ability to create an email alert advising of payments rejected at Approval.

Payments Rejected Ability to create an email alert advising of payments Rejected after Release.

Payments Awaiting FX Rate Ability to create an email alert advising of payments requiring an FX rate.

Payments Needs Repair Ability to create an email alert advising of payments that need to be amended/ repaired.

Payments Failed to Load Ability to create an email alert advising of payments that failed to load.

AdminPovides the ability to entitle some administrative functions to a standard Operator. For example you can entitle an Operator to view Admin Reports, but not entitle them to Create, Modify or Approve Roles or Users.


Account Assignment

Account Filters The ability to entitle accounts to Sub Groups (only applicable for hierarchy clients).

Set up Email Set up Enable a User to setup recipients and groups for email alerts.

Account Maintenance Enable Users to modify short name details for accounts and assign account based discretions.

File Import Path Enable Users to create or modify restricted file import paths.

Export Options Enable Users to create rules for automatic creation of statement files.




Reports Roles Report Lists detailed entitlements for each role, including access rights (eg. Add, Modify, Approve) and limitations (eg. discretions).

User Entitlements Report Provides a listing of Users and their associated Roles with drilldown capability to detailed entitlements for the selected Role.

Security Audit Trail Report Reports on activities performed within ANZ Transactive including logon attempts, reference data updates and changes made to Roles and Users.

Client Consolidated report Displays all accounts, Users and Roles associated with a User Group with drilldown capability to account information for the selected account.

Setup Log This report provides Client Administrators with a view of activities that have been performed by Customer Administrator Users, including changes made to the configuration of file import paths.

Orphaned Payments This report specifies any Single and Domestic Payments for a User Group that is setup for Panel Approval, for which there is no valid panel that can approve the payments.

DE User ID Report Reports on DE User IDs and their related User Group, approval code, transaction set, funds BSB and funds accounts.


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