Chapter 1 – Utilities Module

The Utilities module is designed to help you maintain your CAPS system. Utilities is the general purpose module.

0. Introduction

0.1 Description of System Utilities functions

1. Account Enquiry

2. Night Audit

3. User Management

3.1 List all users

3.2 Delete a user

3.3 Add a new user to the system

4. Audit module run status

5. Audit File Status

6. Control Parameters

7. Log file Maintenance

7.1 List access records

7.2 List illegal attempts

7.3 Clean Log File

8. Installation Parameters

0. Introduction

The Utilities module is designed to help you maintain your CAPS system. Utilities is the general purpose module.

0.1. Description of System Utilities functions

  • Account Enquiry allows you to have a look at the transaction details of a particular account.
  • During the course of your audit you will have to ask CAPS to do some work overnight because it may take too long to do during the day. CAPS does not actually start doing any of this work until you use NIGHT AUDIT option. NIGHT AUDIT allows you to specify the date and time to start these overnight audits.
  • Create new users and display passwords and change password seeds if required.
  • Audit Module Status shows you details of the last time each 'audit step' (or CAPS program) was run. You should always check this the morning after NIGHT AUDIT was run. It tells you when CAPS started work on each audit step and how long each step took to perform. It also tells you if it struck a problem - warning you to look more closely at the results.
  • Audit File Status shows the details of each CAPS 'audit file'. You should always check this after NIGHT AUDIT was run. It tells you that CAPS completed work on each file, and how many records it selected for audit testing. You can then decide if there are too many to print. (Otherwise you could end up with a large pile of printout which you could never possibly check properly).
  • Control Parameters let you switch between 'Test Mode' to 'Live Mode' and back, and also lets you vary a 'delay factor' used by some CAPS messages. Shows the account name for the data being used by CAPS for the audits. This will confirm that you are using the database you intended.
  • Log File Maintenance allows you to keep track of who uses or attempts to use the CAPS system.
  • Installation Parameters are certain internal variables used by CAPS. These may only be changed by the CAPS Support Manager and are set at time of installation.

1.0 ACCOUNT ENQUIRY

This facility lets you conveniently examine the transaction details of a member's account on the screen or printer without having to log out of CAPS and log into the Financial Package.

The Account Enquiry parameter input screen looks like this:

<1> Account ID

Enter the account ID of the account you want to see details of. The account ID will be remembered for the next time you enter the screen. To exit the enquiry press '\' and then [ENTER]

NOTE - Do not enter a space between the member number and account level.

<2>. Period Start

In many cases you'll only want to see the more recent transactions on the account. To avoid having to scroll through lots of early transactions before getting to the one you want, you can enter a 'Period Start' here. CAPS won't list any transactions before this date.

<3> Period End

This is provided for the same reason as the "Period Start" above. It limits the enquiry period by cutting off any transactions after the date input.

<4> Destination

CAPS gives you the option to either view the information immediately on the screen or have it printed on the printer. To view on the screen type 'S'. To have the Account Enquiry printed type 'P'.

<5> Show OP&BR

Enter ‘Y’ if you wish to display the Operator number and Branch number of each transaction. This option will reduce the size of the narration field.

The Utilities module is designed to help you maintain your CAPS system. Utilities is the general purpose module.

CAPS then sends the information to the specified destination. Please refer to the example at the end of the chapter. If you chose to display the details to the screen then you will be prompted with "Q to quit or RETURN" (to continue) after a screen full of information. Note that this facility may not give you the same amount of detail as using the Financial Package's enquiry program. When you have finished and want to return to the CAPS system utilities menu, press [Enter] instead of entering another Account ID.

2.0 NIGHT AUDIT

During the course of your audit you will have asked CAPS to perform some work overnight because it may take too long to do during the day. CAPS does not actually start performing any of this work until you use this NIGHT AUDIT option. CAPS shows you a numbered list of all the audits you have asked it to run overnight. It then displays the prompt:

CAPS shows you a numbered list of all the audits you have asked it to run overnight. It then displays the prompt:

Hit RETURN to accept or program number to cancel one

If you don't want CAPS to run one of the programs on the list, enter its number and press [Enter]. CAPS immediately deletes it from the list of audits.

When you are happy with the list, press [Enter].

Start Execution Time

You need to inform CAPS when you want it to start performing all this work. Enter the time and date. If you just press [Enter], CAPS assumes you want to run the audit(s) now. This option lets you choose a convenient time when you know the Financial Institutions computer processing time will be low.

Entering the time in the following format: [hh:mm dd/mm/yy]

For example, [20:20 18/10/95] would start the CAPS programs running at 20 minutes past eight on the evening of the 18th October, 1995.

Note that there is a limit of four days from the current date.

Do you wish to start?

As soon as you answer [Y], CAPS takes over control of the terminal. You will not be able to do any more work on it until it has finished running NIGHT AUDIT. In most cases you would therefore only start NIGHT AUDIT when you have finished all your work for the day.

If you answer [N] CAPS returns to the system utilities menu without doing anything. All the programs you have loaded for overnight running are still available, and you can run NIGHT AUDIT (or NIGHTCAPS) again when you want.

Result

The following message appears on the screen:

C A P S AUDITS QUEUED TO START AT hh:mm dd MMM yyyy

PLEASE DO NOT TOUCH!!!

CAPS runs a program called NIGHT AUDIT which takes control of the terminal until the 'start execution time' you entered. It then creates a job-stream which runs each of the audits you asked CAPS to run overnight. It will run the programs in the order displayed on the numbered list it shows you when you first select this option.

The next morning, after NIGHT AUDIT (or NIGHTCAPS) was run, you should use Option 4 - Audit Module Run Status, and Option 5 - Audit File Status to check the audits were completed successfully.

PRACTICAL NOTE

In some cases you won't be able to set a time for NIGHT AUDIT to start. This is because the Financial Institution may decide to undertake system maintenance and housekeeping duties. To do this it may need to take control of all terminals, and stop all other work on the system - including NIGHT AUDIT.

There are three possible solutions:

  1. You may insist that CAPS be allowed to run in preference to any other work.
  2. You come in at night after the maintenance work has been completed and start NIGHT AUDIT.
  3. You use a special feature called NIGHTCAPS which lets the system operator start NIGHT AUDIT after they have finished with the housekeeping. This has been specially designed to ensure the system operator cannot do anything with CAPS other than start the NIGHT AUDIT program. See Option 3.3 - Add New User To The System, for more details.

The instructions for the system operator to start NIGHTCAPS are given on the next page.

It is also possible that the programs started at the wrong time because the operator has stopped your process or the time was not entered in 24 hour format (ie 20:00 is 8pm); or there was a power failure or system crash or "auto logout" occurred due to no activity at the keyboard.

NIGHTCAPS

NIGHTCAPS is a special feature of CAPS which lets the system operator of the Financial Institution start the NIGHT AUDIT program after Operations staff have completed their housekeeping.

First Logon to the Financial Institution account as normal or if CAPS is not run from within this account, logon to the CAPS Run Account (see auditors for access details).

At the Command prompt type 'NIGHTCAPS'

CAPS responds with the CAPS logo and asks for a password.

Enter the password given to you by the auditor

CAPS responds by asking the following question:

" Start Execution Time:"

You need to inform CAPS when you want NIGHT AUDIT to start executing the audit program job stream. Enter the time and date (or press [Enter] to start immediately).

Enter in the following format: [hh:mm dd/mm/yy]

For example, [20:20 18/10/95] starts the CAPS audit programs running at 20 minutes past 8pm on the 18th October, 1995.

Check the time/date carefully before pressing [Enter], as CAPS takes control of the terminal. You will not be able to do any more on it until it has finished running all the audits you queued.

Result

CAPS takes control of the terminal until the 'start execution time' you entered has been reached. It then runs each of the audits selected by the auditor.

3.0 USER MANAGEMENT

The User Management option allows you to add and delete users to the system. It allocates passwords and allows the change of password seeds if required.

The User Management screen looks like this:

Option :

The only reason for adding users is to monitor what users are doing. All access to CAPS menu items and audits are logged. See Option 7.1 – "List Access Records".

3.1 List All Users

This option allows you to see who is entitled to enter the CAPS system. Only managers (a user with an access code 'M') can utilise this option.

CAPS produces you a list of the User Names and their authority Access Status Code, (which can be either U for user or M for manager). The resulting screen is not shown here.

3.2. Delete A User

This option allows you delete a user from the system. Only managers (a user with an access code 'M') can utilise this option.

User Name

Enter the name of the user you want to delete, or press [Enter] to return to the 'User Management' menu.

Are you sure you wish to delete this user?

CAPS is giving you a chance to check. If you are sure it's OK to delete, enter [Y], and the user will no longer be allowed access to the system. Otherwise, enter [N] to return to the 'User Management' menu with no change.

Note - if you delete a user name, it is possible to add it again using Option 3.3 – "Add a new user to the system". If you do, CAPS will give it the same password they had before they were deleted

3.3. Add a new user to the system

This option allows you to add a new user who is authorised to use the CAPS system. Only managers (a user with an access code 'M') can use this option.

The Add a New User screen looks like this:

User Name:

Enter the name of the user you wish to add, or simply press [Enter] to return to the User Management menu. Do NOT use spaces in your user name. Your user name should be between 4 and 8 characters long.

Access Status

Enter either [U] for a normal 'User Level' access, or [M] for a 'Manager Level' access. Remember a manager can create other users, use the Log File Maintenance option and change the password seeds.

Are the answers above correct?

If you answer [N] CAPS does not add that user, but asks you to enter another user name.

If you answer [Y] CAPS then calculates and displays the two passwords (logon password and print password) the user must use to gain access and use CAPS.

Note: These passwords must be carefully recorded before pressing [Enter]. If a user forgets their password, they must be deleted from the system and added again so that the passwords are regenerated and displayed.

3.3.1 Special NIGHTCAPS User

If you wish to use the NIGHTCAPS facility (see Practical Note above) then you will need to add a user name for the system operator to use. The user name is displayed as "Computer Operator" with 'User Level' access. Contact the CAPS Support Manager for the password, and give it to the system operator.

3.4. Change Password Seeds

This option allows you to alter all CAPS user passwords. It means you can always retain control of who is authorised to use CAPS. Only managers (a user with an access code 'M') may utilise this option. The 'seed' is used in the algorithm that generates the user passwords.

For security reasons we have not included a detailed description of this option. It is very straightforward to operate. It is recommended that password seeds are changed regularly.
The effect of using this option is that all other user names are deleted. You must add them again using option 3.3.

There are 24 possible password seeds.

4.0 AUDIT MODULE RUN STATUS

This shows details of the last time each 'audit step' (or CAPS program) was run. You should always check this after NIGHT AUDIT was run. It tells you when CAPS started work on each audit step and how long it took. It also indicates if it struck a problem - warning you to examine the results closely.

If you select this option, CAPS shows you a menu of all the audit modules as follows:

Enter the number of the module you want to check. CAPS then lists the 'sub-modules' (which are equivalent to the audit steps) for the audit module you selected. For each audit step CAPS gives you the following information:

Start Time Date
This gives you the start time and date the audit was last run.

End Time Date
This gives you the time and date the audit was completed. If no date is shown, then the program abnormally stopped or there was a system failure during the audit. In either case it is recommended the reason be investigated.

Mode
This shows you the last mode that the audit function was performed in. This will either display LIVE or TEST mode. This function is helpful in releasing what function the audit was performed in. Audits that show a small result or discrepancies often mean that the audit was performed in test mode with a small sample.

Error
If CAPS struck some kind of error whilst the audit was running, it will indicate 'Yes' in this column. If no problem was discovered it will indicate '---'.

CAPS will also give the following prompt at the bottom of the screen.

Which sub-module would you like to diagnose?
If a sub-module indicates 'Yes' in the error column you can display the error log by entering the number of the sub-module.

CAPS shows you a log of the specific errors or warning messages it noted whilst that sub-module was being used. You should carefully note and immediately follow up these errors. If you cannot verify them, then you should contact your CAPS representative as soon as possible.

The possible errors and their meaning are as follows:

Can't read a "file" or Can't read an "attribute"
This usually means you have run the audit steps in the wrong order. For example, you have asked CAPS to do a Dormancy Audit without first having a Dormancy Data Capture.

Check that you have carried out all the audit steps in the right sequence.

CAPS identifies errors in client records, or transaction records
This might indicate a problem with the computer system or its records. You should follow these up thoroughly, and carefully consider the implications.

File not opened
This is an internal CAPS problem. For assistance call the local CAPS representative immediately.

{TRAN.ID} - NDD on Dump is null while Loan Bal = nnnnn.nn
This is from Loan Arrears and indicates that the saved information for this account on the Data Capture file shows that the Next Due Date was empty, but this account now has a loan balance.

Cannot read PAYTABLE rec for ID {TRAN.ID}
This is from Loan Arrears. All repayment history is kept in this file, so if this record is missing, this is a serious error.

S{nn} not on OFFSET.PRODUCT
This is from Loans Interest audit. If a loan has an offsetting savings account, the details of this should be on the OFFSET.PRODUCT file, but did not exist.

{TRAN.ID} BAD RATE ON {dd/mm/yy} {narration shown here}
This is from Term Deposit Accrual or TD Interest audit. During the audit process, CAPS tries to extract rate information from narrations on a transaction. CAPS failed to find the rate on this particular transaction.

NO CURRENT DEPOSIT DETAILS FOR {deposit number} IN {tran ID}
This is from TD Interest audit. There should be 'certificate' details for each deposit held by an account. In this case, there was no record of this deposit number for this account.

You must specify acct levels to audit. Use 'Account Levels to Include'
This is from Overdraft audit. You must indicate which account levels you want to audit with this module. There were no account levels specified.

Cannot read ASSN-ADDR (society data) from CLIENT, nulls assumed
This is from the Circularisation audit. Normally, the address details for the Credit Union / Building Society, are kept in a record in a file. None could be found. This is the address that would print in the letter head area of the statement to the member.

End of list encountered and cannot find last statement nnnnn
This is from the Circularisation audit. If you entered a Member number on the "Last Member Printed" prompt in the Statements Parameters screen, CAPS could not find this when scanning through the "Source File" you have indicated to be used which holds the list of Members to be used to print these statements. If you simply want to print from the beginning of the select Source list, then clear out this prompt by type '\' and press [Enter].

5.0 AUDIT FILE STATUS

This option shows details of each CAPS 'audit file'. You should always check this after NIGHT AUDIT was run. It indicates that CAPS completed work on each audit process, and how many discrepancies were found. You can then decide if there are too many to print. Otherwise it is possible to end up with a large pile of printout which you could never possibly check properly.

Select this option, and CAPS shows you a menu listing all the audit modules as follows:

Enter the corresponding number of the module you wish to check. CAPS then will ask you how you want the file status information displayed by prompting you with:-

Please indicate your checking/destination option :'A'll, 'C'hosen, 'P'rinter
If you choose "All" by typing [A], CAPS will display the information on the screen for all audit processes for the selected module.

If you choose "Chosen" by typing [C] CAPS will display the audit step one by one, prompting you to indicate if you want to display the discrepancy count for this audit file.

Do you require checking on this file?
If you type 'N', the records for this audit process will not be counted and you will be prompted for the next audit file.

If you choose 'P' to print, the information will be directed to the printer showing the record count on every audit process in the selected module.

For more information on the details displayed on this screen please refer to the example at the end of the chapter.

6.0 CONTROL PARAMETERS

This option allows you to switch between 'Test Mode' to 'Live Mode', and also lets you vary a 'delay factor' on messages that are time-delayed. Those messages will be display for the delay time you specify and then cleared.

The screen will display the following list of options:

The screen will display the following list of options:

Account Name
This shows you the name of the Financial Institution you are auditing. This cannot be altered.

Live/Test Mode
This indicates your current operating mode.

Message Delay Factor
This 'delay factor' lets you control how long a timed message remains on the screen. The time is in tenths of seconds.
Enter a number from 1 (=short delay) to 50(=long delay).

TD Auto Data Capture frequency (days)
Enter the number of days you want to leave between each Data Capture process. CAPS will check this each time when you log in to see if the previous Data Capture was run more than this number of days in the past. If so, CAPS will automatically queue this process to be run via 'NIGHT AUDIT'. Set to zero to disable this feature.

Which parameter would you like to change?
Enter [2] to change Live Mode to Test Mode or vice versa.
Enter [3] to change the Message Delay Factor.
Enter [4] to change the TD Auto Data Capture.
Press [Enter] to return to the system utilities menu.

7.0 LOG FILE MAINTENANCE

This option allows you to keep track of who uses or attempts to use your CAPS system.

The Log File Maintenance displays the following options: 

7.1 List Access Records

This lists the CAPS log file and shows user access to CAPS, what work they undertook, and their login/logout times. You can use it for audit working papers to check on the training progress of a new CAPS user, or to help prepare audit fees. It is also helpful as a quick reminder of what you were last working on.

The List Access Records parameter input screen looks like this:

<1> User Name
If you wish to see what a particular CAPS user has been doing, enter their User Name. Or, if you want to check all users who has accessed CAPS, type [ALL]. To return to the Log file Maintenance menu press [Enter].

<2> Start Date
In most cases you will only be interested in the recent access. To avoid scrolling through earlier information you may choose to enter a 'Start Date'. CAPS will only show you access records after that date.

<3> Destination
Enter [P] if you wish to print the log file. Enter [S] if you wish to view the information on the screen.

If you selected [S] CAPS gives you a numbered list of each time CAPS has been accessed, and prompts:

Enter the line number to show detail, or [Enter] to continue or Q to Quit.
If you are interested in the details of a user's activity after accessing CAPS, enter the number shown against the access you are interested in.

CAPS shows you details of exactly what audit steps they performed, and at what time. If there is more information than fits on the screen, press [Enter] to view the next screen of information. When CAPS has shown you the complete list it returns to the Log File Maintenance menu.

If you selected [P], CAPS prints the complete details of each access on the printer. A sample report appears at the end of this chapter.

7.2 List Illegal Attempts

This shows each time someone has attempted to access CAPS without entering a valid user name, or failed to supply the correct password. It displays the time, date and name used for the illegal login.

This is designed to warn you of attempts to tamper with CAPS. Do not ignore these warnings. For security of the CAPS system, attempts should be made to discover who is trying to access the system.

7.3 Clean Log File

This option deletes the log file and regains disk space on the computer. Only managers (a user with an access code 'M') may utilise this option.

Cutoff date
Enter a date. CAPS will delete every log file entry before this date. If you press [Enter] with blank date it will delete all log file entries for the previous day and before.

Delete Illegal Access Record
You may wish to keep these files. If so, enter [N]. Otherwise enter [Y] to delete them.

Are the above answers correct?
CAPS is giving you a chance to correct any mistake you might have made in the above prompts. Enter [Y] to clear the log file, [N] to try again.

Log file clean up finished. nnnn log entries deleted.
Note: you should use this option regularly. It is inconsiderate to the Financial Institutions computer department to allow the log file to build up and consume considerable space.

8.0 INSTALLATION PARAMETERS

This lets you view the installation parameters which are tuned to your site's requirements.
The screen will display the following list of options:

This screen is for your information only and the values will only need to be changed if advised by BDO.