Agency Lending Disclosure Smart Track File Processing - Input/Output: User's Guide

Transcription

1 Agency Lending Disclosure Smart Track File Processing - Input/Output: User's Guide Draft (version 1.12) Date updated: September 12, 2006 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: i Updated 9/12/2006

2 Copyright 2004 by The Depository Trust & Clearing Corporation ( DTCC ). All rights reserved. This work is proprietary and is intended for the exclusive use of DTCC s Participants and other users of DTCC s services. No part of this work may be reproduced or distributed (including by transmission) in any form or by any means, or stored in any information storage and retrieval system, without DTCC s prior written permission. All requests for additional copies of this work or inquiries about this work should be directed to DTCC Participant Interface Planning, The Depository Trust & Clearing Corporation, 55 Water Street, New York, NY 10041, USA. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: ii Updated 9/12/2006

3 Revision History Date By Version Description 9/23/2004 Gwen Aarons 0.1 Initial document -deleted 10/15/2004 Gwen Aarons 0.2 Updated 10/21/2004 Gwen Aarons 0.3 Updated 10/26/2004 Gwen Aarons 0.4 Updated 10/28/2004 Gwen Aarons Deleted AGP references 2 deleted NEWONE option 3.changed NEWALL to NEW 11/19/2004 Gwen Aarons 0.6 Added Sender tax id to the: 1. Header record 2. Trailer record 3. FILSUM record (summary) 4. FILRCP record (receipt) Added File version number to trailer record 12/20/2004 Gwen Aarons Deleted CDE functions 2. Changed receives to retrieves 3. Changed notes for size of records 1-3 are edit changes requested by Andre Setyon of Sungard 4. Changed layout of FTP Password record in sections , and the NDM password record in sections and /28/2004 Gwen Aarons /03/2005 Gwen Aarons 1.1 Corrected typo in section changed the record type from FILSUM to FILRCP 1/6/2005 Gwen Aarons Change format from digit to character in the sq field in the FTP file dsn. (Value should be from AA-AZ and 01-99) 2. Changed FTP dataset name in section 5 from $FTXDRVR to $FTXPBI1 3. Corrected record position and size in FILSUM RECORD (Section 3.4.3) 4. Corrected LRECL size from 120 to 180 in section and Increased filler of FILRCP record total record size=150 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: iii Updated 9/12/2006

4 Date By Version Description 2/2/2005 Gwen Aarons Added version number field to output request record for NDM and FTP (see Output/Receipt Version number in sections and position 137) 2. Revised wording of NEW,REPLAY and All in section Changed proc names for processing (xxx8 where xxx is AGD,AGM,AGI,AGA or AGN) in section 6.1 and Added OR NDMSQFRC in section 6.2 3/14/2005 Gwen Aarons 1.4 A. Changes to retrieval password record in sections and Editing rule changes in position 90 and position requiring all 8 characters of Participant ID 2. More detailed explanation of the options in position Changed wording in position Change to size of field in position 139 from 39 to Added an option for Retrieval Date in position 128 to allow the version number and retrieval date to be used to recreate a lost file 6. In position 129 and changed the description of the field for readability B. In section (the FILSUM record) - Changed size of field in position 105 from 45 to 46 4/13/2005 Gwen Aarons 1.5 Correction to section that lists the NDM input function names (typographical error) 1. ADM5 was changed to AGM5 2. ADI5 was changed to AGI5 3. changed AGM5 lrecl size to 651 (647+4) 4. changed AGI5 lrecl size to 660(656+4) 5. changed AGA5 lrecl size to 187(183+4) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: iv Updated 9/12/2006

5 Date By Version Description 4/27/2005 Gwen Aarons 1.6 In section 4.3 where the FILRCP record layout is defined we added 2 fields to the end of the record and reduced the filler size. Position 96 contain the date and Position 104 contains the time from the original Input Header This has been added inc case someone needs to match the input and output by data fields 6/2/2005 Gwen Aarons Added section 7 to list the possible field and errod codes that may occur 2. Added section 8 to list the DTF files that are available for Users to request to assist in maintaining the Agency Lending system 3. Added section 9 that displays the web pages available and a brief description of how they are used 6/22/2005 Gwen Aarons On page Smart/Track File Processing Header Record - pos 100-changed description field to explain that the header record should be expanded to size of data file 2. On page Smart/Track File Processing Trailer Record - pos 100-changed description field to explain that the header record should be expanded to size of data file 3. Corrected typos in section 8 and 9 and reversed section 9.2 and 9.3 to match order of menu page 4. Updated section 5 to detail how Users may access the Open Internet using FTP to send and retrieve messages Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: v Updated 9/12/2006

6 Date By Version Description 6/24/2005 Gwen Aarons Section ( FILRCP record layout added note for each field that is necessary to create a unique cross reference with the input file and associate it with the receipt file 2. Updated Section (FILSUM record ) Position 57 to explain the use of this field 8/15/2005 Gwen Aarons Added Note to Section explaining that record lengths listed in function table are not actual lengths just samples 2. added two new Field error codes to replace HADD. the new codes are ABAA and ABAB ( see section 7 page # 52 )** in production on 9/9/ Updated description of AAXX and AAXY field error codes also in section 7 page # put field code list in alphabetical order based on Field error code 8/15/2006 Gwen Aarons added new functions AGN5,AGN8 and AGN9 2. Changed information on business date ( eliminated statement that date must be today s business date or 1 day prior ) 3. Changed LRECL for all input functions in sections and /12/2006 Gwen Aarons added new error code to allow for timing issues on requests the error code is AAXZ- DTCC File Contention problem 9ZZR Please Resubmit Data Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: vi Updated 9/12/2006

7 Table of Contents 1 OVERVIEW TRANSMITTING SMART/TRACK INPUT FILES TO DTCC RETRIEVING SMART TRACK FILES FROM DTCC RECEIPT PROCESSING SMART/TRACK PROCESSING INTRODUCTION INITIATING A SMART/TRACK FILE PROCESSING INPUT TRANSMISSION SMART/TRACK FILE PROCESSING INPUT FORMAT TRANSMISSIONS SMART/TRACK FILE PROCESSING OUTPUT FORMAT TRANSMISSIONS SMART/TRACK FILE PROCESSING RECEIPT FORMAT TRANSMISSIONS FTP/NDM SMART/TRACK INPUT TRANSMISSION FILE REQUIREMENTS/FLOW OVERVIEW FTP/NDM INPUT TRANSMISSION RECORDS Security Record Smart/Track File Processing Header Record Smart/Track File Processing Detail Record Smart/Track File Processing Trailer record Security Error Severe Error Edit Error Processing of the Smart/Track Header record SMART/TRACK FILE PROCESSING INPUT TRANSMISSION ACKNOWLEDGMENT FILE (RESPONSE FILE FROM DTCC) Transmission Error For a Valid Transmission o SMART/TRACK ACKNOWLEDGMENT RECORD FORMATS FTP Acknowledgment Security Error Record (CF2ERR) NDM Acknowledgment Security Error Record Smart/Track Acknowledgment and Summary Total Record (FILSUM) INITIATING A SMART/TRACK FILE OUTPUT/RECEIPT TRANSMISSION USING FTP OR NDM SMART/TRACK FILE PROCESSING OUTPUT/RECEIPT REQUEST - TRANSMISSION SECURITY RECORD FTP Security (PASSWD) Record for Output and Receipt Processing NDM Security (PASSWD/RETRIEVAL OPTIONS) Record for Output and Receipt Processing SMART/TRACK OUTPUT TRANSMISSIONS SMART/TRACK RECEIPT TRANSMISSION FTP/NDM Smart/Track File Processing Receipt Format (FILRCP) FTP PROCESSING REQUIREMENTS OPEN INTERNET (SECUREFTP) REQUIREMENTS: Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: vii Updated 9/12/2006

8 5.2 FILE REQUESTS TO DTCC Input Transmission File Functions (see function descriptions in section 2.2) Request to Retrieve Files Functions (see function descriptions in section 2.3) FILE SENT TO USER BY DTCC- ACKNOWLEDGMENT FILE, OUTPUT RESPONSE FILE Transmitter s input Acknowledgement and Error messages File User s Message Output Response or Receipt File NAMING CONVENTIONS Local File Names Remote File Names FTP COMMANDS Put Command Get Command NDM PROCESSING REQUIREMENTS FILE REQUESTS TO DTCC - (INPUT TRANSMISSION FILE, OUTPUT REQUEST FILE) Input Transmission File Functions Requests to Retrieve Data Functions FILES SENT TO USER BY DTCC - (ACKNOWLEDGMENT FILE, OUTPUT RESPONSE FILE) Acknowledgement and Error Record File User s (Receiver) Transmission Output Response File NDM Parameters to be set LIST OF POSSIBLE ERRORS THAT MAY OCCUR IN THE AGENCY LENDING SYSTEM OVERVIEW OF AVAILABLE DTF (DATA TRANSMISSION FACILITY) FILES FILE LAYOUT OF THE DATA ASSOCIATED WITH THE AGLPT DTF FILE FILE LAYOUT OF THE UNIQID DTF FILE THE FILE LAYOUT AND FULL DESCRIPTION OF THE ICMFLD AND ICMERR WEB PAGES AVAILABLE FOR AGENCY LENDING MAIN MENU ACCESSED THROUGH (REQUIRES A DTCC RACF ID) This page allows the user to select either the Unique Identifier Search/Browse web pages or the File Status Browse web page UNIQUE ID SEARCH/BROWSE WEB PAGES Search criteria for Browse Page Requires the user to enter either the Legal Name, Unique Identifier or the Unique Identifier Creation Date. The Search will return a list of items that match the criteria entered Browse page once criteria has been entered To see more details, put the cursor on Unique Identifier field (underlined field) and the Detail page will appear To create a new Unique ID, press the Create Unique ID button that appears on the browse page (see Section page # 59). The page shown below will appear Once all of the data has been submitted and accepted (there are no edit errors), a confirmation ticket will be created. Users can print the confirmation ticket, if desired, by pressing the Print button FILE STATUS BROWSE PAGE Some of the options for Status Field include: Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: viii Updated 9/12/2006

9 9.3.2 Browse page after the selection has been submitted OVERVIEW TRANSMITTING SMART/TRACK INPUT FILES TO DTCC RETRIEVING SMART TRACK FILES FROM DTCC RECEIPT PROCESSING SMART/TRACK PROCESSING INTRODUCTION INITIATING A SMART/TRACK FILE PROCESSING INPUT TRANSMISSION SMART/TRACK FILE PROCESSING INPUT FORMAT TRANSMISSIONS SMART/TRACK FILE PROCESSING OUTPUT FORMAT TRANSMISSIONS SMART/TRACK FILE PROCESSING RECEIPT FORMAT TRANSMISSIONS FTP/NDM SMART/TRACK INPUT TRANSMISSION FILE REQUIREMENTS/FLOW OVERVIEW FTP/NDM INPUT TRANSMISSION RECORDS Security Record Smart/Track File Processing Header Record Smart/Track File Processing Detail Record Smart/Track File Processing Trailer record Security Error Severe Error Edit Error Processing of the Smart/Track Header record SMART/TRACK FILE PROCESSING INPUT TRANSMISSION ACKNOWLEDGMENT FILE (RESPONSE FILE FROM DTCC) Transmission Error For a Valid Transmission o SMART/TRACK ACKNOWLEDGMENT RECORD FORMATS FTP Acknowledgment Security Error Record (CF2ERR) NDM Acknowledgment Security Error Record Smart/Track Acknowledgment and Summary Total Record (FILSUM) INITIATING A SMART/TRACK FILE OUTPUT/RECEIPT TRANSMISSION USING FTP OR NDM SMART/TRACK FILE PROCESSING OUTPUT/RECEIPT REQUEST - TRANSMISSION SECURITY RECORD FTP Security (PASSWD) Record for Output and Receipt Processing NDM Security (PASSWD/RETRIEVAL OPTIONS) Record for Output and Receipt Processing SMART/TRACK OUTPUT TRANSMISSIONS SMART/TRACK RECEIPT TRANSMISSION FTP/NDM Smart/Track File Processing Receipt Format (FILRCP) FTP PROCESSING REQUIREMENTS OPEN INTERNET (SECUREFTP) REQUIREMENTS: Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: ix Updated 9/12/2006

10 5.2 FILE REQUESTS TO DTCC Input Transmission File Functions (see function descriptions in section 2.2) Request to Retrieve Files Functions (see function descriptions in section 2.3) FILE SENT TO USER BY DTCC- ACKNOWLEDGMENT FILE, OUTPUT RESPONSE FILE Transmitter s input Acknowledgement and Error messages File User s Message Output Response or Receipt File NAMING CONVENTIONS Local File Names Remote File Names FTP COMMANDS Put Command Get Command NDM PROCESSING REQUIREMENTS FILE REQUESTS TO DTCC - (INPUT TRANSMISSION FILE, OUTPUT REQUEST FILE) Input Transmission File Functions Requests to Retrieve Data Functions FILES SENT TO USER BY DTCC - (ACKNOWLEDGMENT FILE, OUTPUT RESPONSE FILE) Acknowledgement and Error Record File User s (Receiver) Transmission Output Response File NDM Parameters to be set LIST OF POSSIBLE ERRORS THAT MAY OCCUR IN THE AGENCY LENDING SYSTEM OVERVIEW OF AVAILABLE DTF (DATA TRANSMISSION FACILITY) FILES FILE LAYOUT OF THE DATA ASSOCIATED WITH THE AGLPT DTF FILE FILE LAYOUT OF THE UNIQID DTF FILE THE FILE LAYOUT AND FULL DESCRIPTION OF THE ICMFLD AND ICMERR WEB PAGES AVAILABLE FOR AGENCY LENDING MAIN MENU ACCESSED THROUGH (REQUIRES A DTCC RACF ID) This page allows the user to select either the Unique Identifier Search/Browse web pages or the File Status Browse web page UNIQUE ID SEARCH/BROWSE WEB PAGES Search criteria for Browse Page Requires the user to enter either the Legal Name, Unique Identifier or the Unique Identifier Creation Date. The Search will return a list of items that match the criteria entered Browse page once criteria has been entered To see more details, put the cursor on Unique Identifier field (underlined field) and the Detail page will appear To create a new Unique ID, press the Create Unique ID button that appears on the browse page (see Section page # 59). The page shown below will appear Once all of the data has been submitted and accepted (there are no edit errors), a confirmation ticket will be created. Users can print the confirmation ticket, if desired, by pressing the Print button FILE STATUS BROWSE PAGE Some of the options for Status Field include: Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: x Updated 9/12/2006

11 9.3.2 Browse page after the selection has been submitted Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: xi Updated 9/12/2006

12 1 Overview This document describes the communications and processing requirements for Participants who wish to use the DTCC Smart/Track to transmit Agent Lender file data to DTCC and retrieve files from DTCC. Transmissions to and from DTCC use one of the following Communication Protocols: FTP - TCP/IP File Transfer Protocol software NDM CONNECT:Direct (formerly Network DataMover) software 1.1 Transmitting Smart/Track Input Files to DTCC To transmit Smart/Track Input files to DTCC via one of DTCC s supported communication protocols, it is necessary to prepare an input transaction file using the defined layout approved by the Agent Lender Working group and for FTP and NDM users create a password record defined by DTCC (see section 3.2.1) and appended to the beginning of the file. Users will either submit an FTP request or execute NDM JCL in order to communicate with DTCC s computer system with the input function name for the file type being submitted (e.g. AGD5, AGM5). After the transmission has been received at DTCC, some of the information passed will be verified (for example confirmation that the DTCC Signon for the user submitting the message is allowed to process the message information being submitted). An acknowledgement file summary record (FILSUM- see section 3.3) will always be returned for the entire transmission. This record will indicate the status of the input transmission. If there are any errors, the error code associated with the detected error will be on this record and the entire transmission will be rejected. NOTE: The Agent Lender Smart/Track system will edit only the Agent Lender Header and Trailer record (defined in section 3.3) detail data record editing will NOT be the responsibility of the Smart/Track system. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 1 Updated 9/12/2006

13 1.2 Retrieving Smart Track Files from DTCC FTP or NDM users are required to prepare a request transaction file (containing a password record only) in their DTCC specified protocol format to retrieve Smart/Track Files from DTCC. To communicate with DTCC s computer system users will either: Submit an FTP request Execute NDM JCL When an FTP or NDM retrieval request is received at DTCC, the requestor s Signon is verified to confirm the eligibility to retrieve the requested file using the function (e.g. AGD9, AGM9). Then, an output transmission file is created for the requestor. In case of any errors with the request, only a FILSUM record will be created and returned detailing the errors that have been detected with the transmission. NOTE: The Smart/Track file processing system for the Agent Lender will receive data as follows: For every Input transmission, the receiver will retrieve the entire file in the exact format that was transmitted with the exception that the sender s password record will not be passed 1.3 Receipt processing The transmitter (originator of file) will have a Receipt created by DTCC when the opposite party s (receiver) file has been created. Note: Receipts will only be generated for functions that are identified to DTCC as requiring receipts. The file will be formatted as a single record formatted receipt (FILRCP - see section FTP/NDM Smart/Track File Processing Receipt Format (FILRCP) page 40). FTP or NDM users are required to prepare a request transaction file in their DTCCspecified format using the Receipt function name for retrieval (e.g. AGD8, AGM8) to retrieve Smart/Track file from DTCC. To communicate with DTCC s computer system users will either: Submit an FTP request Execute NDM JCL Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 2 Updated 9/12/2006

14 2 Smart/Track Processing Introduction 2.1 Initiating a Smart/Track File Processing Input Transmission In order to initiate a Smart/Track file processing transmission, it is necessary to complete one of the following: Transmit to DTCC the appropriate NDM-based JCL. For further information on JCL requirements, please consult the Network Data Mover via CCF-II User's Guide and section 6 titled NDM Processing requirements in this document. Issue appropriate FTP commands (FTP-based). For further information on FTP commands, please consult the File Transfer Protocol (FTP) Function User's Guide and section 5 titled FTP Processing Requirements in this document. These guides are available from your DTCC Participant Interface Planning representative or on-line at (The web site requires a user to register with DTCC and obtain a valid DTCC user id and password). 2.2 Smart/Track File Processing Input format Transmissions To transmit Smart/Track Files to DTCC via one of DTCC s supported communication protocols, it is necessary to prepare an input transaction file/message in the DTCC-specified format. The Smart/track File Processing Input functions are available subject to the cutoff time(s) indicated in the table below. Product Description Agent Lender Disclosure DAILY File Agent Lender to Borrower Customer MASTER File Agent Lender to Borrower Customer INCREMENTAL File DTCC Communications Protocols land Funiculites FTP NDM Use Description AGD5 AGD5 Send data from Agent Lender to borrower daily AGM5 AGM5 Agent Lender to Borrower Customer Master File of Principal Lenders AGI5 AGI5 Agent Lender to Borrower Customer Incremental Add/ Delete file of Principal lenders Cutoff Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 3 Updated 9/12/2006

15 Product Description Borrower to Agent Lender approval/non approval file Agent Lender Disclosure Daily Non-Cash Collateral File DTCC Communications Protocols land Funiculites Use Description AGA5 AGA5 Borrower Approval sent to Agent lender of adds or pends to the master file for new Principal lenders) originally submitted using function AGI5 (Deletes do not require approval) AGN5 AGN5 Send data from Agent Lender to borrower daily Cutoff Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time NOTE: Transmissions that are received by DTCC after the cutoff time will be rejected without further processing. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 4 Updated 9/12/2006

16 2.3 Smart/Track File Processing Output Format Transmissions Smart/Track file processing for Output transmissions provides users with the ability to retrieve Smart/Track Files from DTCC. Product Description Agent Lender Disclosure DAILY File Agent Lender to Borrower Customer MASTER File Agent Lender to Borrower Customer INCREMENTAL File Borrower to Agent Lender Approval/non approval file Agent Lender Disclosure Daily Non-Cash Collateral File DTCC Communications Protocols land Funiculites Use Description FTP NDM AGD9 AGD9 Borrower retrieves Daily data submitted from Agent Lender AGM9 AGM9 Borrower retrieves Customer Master File of Principal Lenders AGI9 AGI9 Borrower retrieves Customer Incremental Add/ Delete file of Principal lenders AGA9 AGA9 Agent lender retrieves Approval/Non-approval file from Borrower of new Principal lenders that have been added to Customer Master file AGN9 AGN9 Borrower retrieves Daily data submitted from Agent Lender Cutoff Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time NOTE: Transmissions that are received by DTCC after the cutoff time will be rejected without further processing. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 5 Updated 9/12/2006

17 2.4 Smart/Track File Processing Receipt Format Transmissions Smart/Track file processing for Receipt transmissions provides users with the ability to retrieve the receipts using the Smart/Track File processing system at DTCC. NOTE: Output and Receipt requests work exactly the same way with the exception of the function name entered on the request. Product Description Agent Lender Disclosure DAILY File Agent Lender to Borrower Customer MASTER File Agent Lender to Borrower Customer INCREMENTAL File Borrower to Agent Lender approval/non approval file Agent Lender Disclosure Daily Non-Cash Collateral File DTCC Communications Protocols/ Funiculites FTP NDM Use Description AGD8 AGD8 Agent Lender retrieves a receipt from DTCC stating that the Borrower has requested retrieval of the Daily file AGM8 AGM8 Agent Lender retrieves a receipt from DTCC stating that the Borrower s request for retrieval of the Customer Master File of Principal Lenders from DTCC has been completed AGI8 AGI8 Agent Lender retrieves a receipt from DTCC stating that the Borrower s request for retrieval of the Customer Incremental Add/ Delete file of Principal lenders from DTCC has been completed AGA8 AGA8 Borrower retrieves a receipt from DTCC stating that the Agent Lender s request for retrieval of the Approval of adds file from DTCC has been successfully completed AGN8 AGN8 Agent Lender retrieves a receipt from DTCC stating that the Borrower has requested retrieval of the Daily file Cutoff Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time 00:00-24:00 Eastern Time Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 6 Updated 9/12/2006

18 3 FTP/NDM Smart/Track Input Transmission File Requirements/Flow 3.1 Overview The Smart/Track transmission file consists of a Security record (PSW) used for control purposes; a header record that defines the parties associated with the transmission and one or more data records When a Smart Track input transmission takes place via FTP or NDM, the actual records have a variable data length up to characters and a 4-byte variable length field so that the actual record size is The last record of the file must be the trailer record otherwise the transmission will be rejected. 3.2 FTP/NDM Input Transmission Records There are 4 record types that must appear in a Smart/Track File Processing Input format Transmission file. The following is an example of a Smart/Track File Processing transmission: SECURITY RECORD SMART/TRACK Header record Data records SMART/TRACK Trailer Record (type "PSW") Security Record The Security Record has two different formats depending upon the protocol being used: 1. FTP protocol Security ( PASSWD ) record 2. NDM protocol Security ( PSW ) record Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 7 Updated 9/12/2006

19 FTP Input Security ( PASSWD ) record The FTP Security record specifies the input transmitter's (the User s) Signon ID and a legitimate password, together with the unique identifying number of the transmission. The Security record ( PASSWD ) must be the first record in the file. Since this record is for security purposes only, it is not returned in DTCC s acknowledgment file. FTP Input Transmission Security ( PASSWD ) Record Format Position Length Format Field Name Description 1 1 Character Feedback indicator Must contain value of space 2 1 Character Test/Production Indicator Must contain value of P 3 6 Character Record Type Must contain value of PASSWD. 9 2 Numeric Record Suffix Must contain value of Numeric Password record Id Must contain value of Character User Reference Reference id created by user (Optional) 19 8 Character Addressee For DTCC use only, do not use 27 9 Character Signon ID Format: The entity portion (the first 5 characters, A hyphen (-) and the Individual portion (the last 3 characters) Nnnnn-nnn -valid DTCC Participant number or Gnnnn-nnn- group User ID For example would be typed as Character Password Field Valid password, to be obtained from DTCC 44 6 Character Function Name Function Name (e.g., AGD5). Note: Left aligned with trailing spaces (See section 2.2 Smart/Track File Processing Input format Transmissions page 3 for complete list.) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 8 Updated 9/12/2006

20 50 4 Numeric Transmission ID Identifies transmission is unique for submitter Non-zero value; zero filled (Suggestion: use same number as File version number in Header record) Character Filler For DTCC use only, do not use 90 Length * Character Filler For DTCC use only, do not use (Length of max detail record) - 89 * Note: If Detail record is less than 89 bytes the length field marked with Asterisk will be NDM Input Security ( PSW ) record The NDM Security record specifies the input transmitter's (the User s) Signon ID and a legitimate password, together with the unique identifying number of the transmission. The Security record (PSW) must be the first record in the file. Since this record is for security purposes only, it is not returned in DTCC s acknowledgment file. NDM Input Transmission Security Record Format Position Length Format Field Name Description 1 3 Character Record Type Must contain value of PSW 4 6 Character Signon ID nnnnn -valid DTCC Participant number or Gnnnn- group User ID Note: Left aligned with trailing spaces 10 6 Character Password Field Valid password, to be obtained from DTCC 16 6 Character Activity Type Function Name (e.g., AGD5) (See section 2.2 Smart/Track File Processing Input format Transmissions page 3 for complete list.) 22 3 Numeric Transmission ID Unique transmission identifier. Non-zero value; zero filled (Suggestion: use same number as File version number in Header record) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 9 Updated 9/12/2006

21 NDM Input Transmission Security Record Format Position Length Format Field Name Description 25 4 Character Filler For DTCC use only, do not use 29 9 Character Filler For DTCC use only, do not use 38 1 Character Test/Prod indicator Must be set to value of P 39 1 Character Filler For DTCC use only, do not use 40 2 Character Password record Id Password record identification (Must be set to 01) Character Filler For DTCC use only, do not use Character Filler For DTCC use only, do not use 100????* Character Filler For DTCC use only, do not use * Note: If Detail record is greater than 100 bytes the length field marked with????* must be changed to match the size of the detail record minus 100 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 10 Updated 9/12/2006

22 3.2.2 Smart/Track File Processing Header Record Smart/Track Header Record Format Position Length Format Field Name Description 1 6 Character Record Type Must contain value of FILHDR 7 8 Character Sender Firm ID (DTCC Participant Number or NON-Participant ID nnnnnnnn -valid DTCC Participant number (right justified- zero filled) or Nnnnnnnn- Non-Participant ID Ex: If the Signon id is the Sender Firm ID is For N users if the FTP Signon is N the Sender Firm id is N For NDM userx if the the user id is N2199, the Sender Firm id is N Character Filler DTCC use only do not use 19 8 Character Receiving Firm ID (DTCC Participant Number or NON-Participant ID nnnnnnnn -valid DTCC Participant number (right justified- zero filled) or Nnnnnnnn- Non-Participant ID 27 4 Character Filler DTCC use only do not use 31 8 Character Date File was Created 39 6 Character Time File was created 45 4 Character DTCC function name for the file 49 4 Numeric File version for Day Date was created in EST time Format = CCYYMMDD Time was created in EST time Format= HHMMSS Ex : AGD5, AGM5 (See section 2.2 Smart/Track File Processing Input format Transmissions page 3 for complete list.) Unique transmission identifier to distinguish between multiple inputs in one day. Value must be greater than Character Business Date This would represent the Close of Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 11 Updated 9/12/2006

23 Smart/Track Header Record Format Position Length Format Field Name Description Note: this date will be used as part of key to identify data on retrieval Business Date for the data that is contained in the file Format = CCYYMMDD Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 12 Updated 9/12/2006

24 61 9 Character Sender s Tax ID Legal entity identifier of the Sending Firm Required must not be spaces 70 9 Character Receiver s Tax ID Legal entity identifier of the Receiving Firm Required must not be spaces Character Filler For DTCC use only, do not use 100????* Character Filler Fill with spaces up to the size of the selected data record * Note: If Detail record is greater than 100 bytes the length field marked with????* must be changed to match the size of the detail record minus 100. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 13 Updated 9/12/2006

25 3.2.3 Smart/Track File Processing Detail Record The Smart/Track Detail records will not be edited in any way. They will be passed-through to the receiving party. Please refer to the Agent Lender Disclosure committee documentation created by CAPCO for format layout of the Detail records. NOTE: For each file, uniqueness will be checked using the Function, Sender Firm ID, Receiving Firm ID, File Version for Day and Business Date submitted to DTCC for that given day starting after midnight EST. If not unique, the message will be rejected and a reject message will be created for the sender Smart/Track File Processing Trailer record Smart/Track Trailer Record Format Position Length Format Field Name Description 1 6 Character Record Type Must contain value of FILTLR 7 8 Character Sender Firm ID (DTCC Participant Number or NON-Participant ID nnnnnnnn -valid DTCC Participant number (right justified zero filled) or Nnnnnnnn- Non-Participant ID Ex: If the Signon id is the Sender Firm ID is For N users if the FTP Signon is N the Sender Firm id is N For NDM userx if the the user id is N2199, the Sender Firm id is N Character Filler DTCC use only do not use 19 8 Character Receiving Firm ID (DTCC Participant Number or NON-Participant ID nnnnnnnn -valid DTCC Participant number (right justified zero filled) or Nnnnnnnn- Non-Participant ID 27 4 Character Filler DTCC use only do not use 31 9 Numeric 9(9) Record Count of Detail records DO NOT include password, header or trailer records in count of total records Character DTCC function Ex : AGD5, AGM5 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 14 Updated 9/12/2006

26 Smart/Track Trailer Record Format Position Length Format Field Name Description 44 4 Numeric File version for Day name for the file (See section 2.2 Smart/Track File Processing Input format Transmissions page 3 for complete list.) Unique transmission identifier to distinguish multiple inputs of the same file(function) in one day Default = Character Business Date Note: this date will be used as part of key to identify data on retrieval This would represent the Close of Business Date for the data that is contained in the file Format = CCYYMMDD Must be the same as the FILHDR business date 56 9 Character Sender s Tax ID Legal entity identifier of the Sending Firm 65 9 Character Receiver s Tax ID Legal entity identifier of the Receiving Firm Character Filler For DTCC use only, do not use 100????* Character Filler Fill with spaces up to the size of the selected data record * Note: If Detail record is greater than 100 bytes the length field marked with????* must be changed to match the size of the detail record minus 100 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 15 Updated 9/12/2006

27 Input Transmission Acknowledgment and Error Processing There are three basic levels of Smart/Track File Processing of errors. Please Note: The Smart/Track file processing system is only editing the PSW, Header and Trailer blocks records Security Error A security error causes an entire Smart/Track File Transmission to be rejected. This happens when either: The security record (PSW) fails to properly identify the transmitter to DTCC s system, or The User s Signon is not eligible for the selected function at DTCC. When a security error is detected, the Acknowledgment File contains a single error record (see section 3.4 titled Smart/Track Acknowledgment Record Formats for the NDM and FTP Password record error record formats) Severe Error A Severe Error causes the entire Smart/Track File Processing Input transmission to be rejected (canceled). This happens when one of the following conditions occur: The transmission (function) is quiesced or past cutoff (usually due to system problems) The Input Transmission encounters a system problem at DTCC. When a severe error is detected, the Input Acknowledgment File contains a single record (FILSUM), (see section titled Smart/Track Acknowledgment and Summary Total Record (FILSUM) for the record format rules) Edit Error Processing of the Smart/Track Header record If the Header or Trailer is in error, the transmission will be rejected and the record in error (header or trailer) will be returned along with the summary total record that contains the explanation of the error. This happens when one of the following occurs: The Sender s Firm ID is not valid for the Signon passed in the PSW record. The Sender s or Receiver s Firm ID is not valid at DTCC The Receiver does not want to receive this information The Header or Trailer record is in an incorrect format (includes edits for business date and tax id). Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 16 Updated 9/12/2006

28 A field is not properly formatted, e.g., non-numeric data in a numeric field. The trailer record count does not match the total number of records submitted NOTE: The Password, Header and Trailer records should not be included in the record count stored in the trailer When an Edit Error is detected, the Input Acknowledgment File contains 2 records. The 1st record will be the FILSUM record, (see section titled Smart/Track Acknowledgment and Summary Total Record (FILSUM) for the record format rules) with the Data Field in Error and Error description fields filled in. The 2 nd record will be the record in error (header or trailer). Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 17 Updated 9/12/2006

29 3.3 Smart/Track File Processing Input Transmission Acknowledgment File (Response File from DTCC) The Smart/Track File Processing Acknowledgment File details whether an error occurred or a valid transmission was completed. Please Note: The Smart/Track system is only editing the Header and Trailer records of the transmission. The Smart/Track Acknowledgment File may contain the following five record types: Transmission Error The Acknowledgment Error Record used for Security or Severe Errors: CF2ERR - a Security Violation for FTP users ERR - a Security Violation for NDM users FILSUM - for a Severe Error or Edit Error FILHDR - if the header record is in error FILTLR - if the trailer record is in error For a Valid Transmission o The Smart/Track acknowledgment summary (control) record (FILSUM): If no Security Violations are detected, a Summary record is the first record of the Acknowledgment File. There is only one FILSUM record for a given file transmission. If the Smart/Track File Processing Input transmission is accepted as fully valid, the Acknowledgment File containing the summary information in the Summary total record (FILSUM). If the transmission is rejected as result of Edit errors, the record in error will written to the Acknowledgment File as originally submitted after the FILSUM record. The FILSUM record will contain the reason for the rejection. NOTE: 1. For the NDM Input protocol the entire Acknowledgment File is transmitted (pushed) to the User who sent the original input 2. For the FTP protocol users must pick up their Acknowledgment File using an FTP Get request. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 18 Updated 9/12/2006

30 3.4 Smart/Track Acknowledgment Record Formats FTP Acknowledgment Security Error Record (CF2ERR) An FTP Smart/Track File Processing Acknowledgment Security error is created whenever a security violation occurs; that is, if the Security record (PSW) contains incorrect information. If a security error occurs the CF2ERR record is the only acknowledgment record returned. FTP Acknowledgment Security Error Record (CF2ERR) Format Position Length Format Field Name Description 1 1 Character Feedback Always contains a? Indicator 2 1 Character Test/Prod Always contains a P Indicator 3 6 Character Record Type Value of CF2ERR 9 2 Character Record Suffix Value of Character CF2 record identification Number Indicates the CF2 record identification number (e.g. current or previous format of the CF2 header) 13 6 Character User Reference Number For DTCC use only, do not use 19 8 Character Filler For DTCC use only, do not use 27 8 Character Signon ID Signon of User submitting transmission. Value is from the Security Record 35 6 Numeric Processing Date Current date in MMDDYY format 41 6 Character Function code Function Name (e.g., AGD5) 47 4 Numeric Transmission ID Unique transmission identifier. Value is from the Security Record Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 19 Updated 9/12/2006

31 FTP Acknowledgment Security Error Record (CF2ERR) Format Position Length Format Field Name Description 51 3 Character Error status File Id is not in DTCC s table - Please contact DTCC (FTP) File Id not passed-field must be prefixed by $ (FTP) Invalid password detected; use correct password, or contact DTCC to obtain correct password Ineligible Signon detected; Signon submitted is ineligible for Smart/Track File Processing function: contact DTCC Internal Error contact DTCC See *Note below for complete list 54 6 Numeric Time Processing Started Time processing started Format=hhmmss 60 6 Numeric Time Error Message Step Completed Time error message step completed Format=hhmmss Character Error Description Description of error status Character Filler For DTCC use only, do not use *Note: For a complete list of all FTP error status codes, please request a copy of the DTCC File Transfer Protocol (FTP) Function User s Guide from your DTCC PIP representative. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 20 Updated 9/12/2006

32 3.4.2 NDM Acknowledgment Security Error Record An NDM Smart/Track File Processing Acknowledgment Security error is created whenever a security violation occurs; that is, if the Security record (PSW) contains incorrect information. If a security error occurs the ERR record is the only acknowledgment record returned. NDM Acknowledgment Security Error Record (ERR) Format Position Length Format Field Name Description 1 3 Character Record Type Value is ERR The only record returned because of detection of a security violation 4 8 Character Signon ID Signon ID value received in the PSW record transmission, regardless of validity 12 8 Character Filler For DTCC use only, do not use 20 6 Numeric Processing date MMDDYY, date when the Smart/Track file was received and processed 26 6 Numeric Activity Type Activity type submitted in the PSW record 32 3 Numeric Transmission ID Transmission ID specified in the PSW record Number 35 2 Character Filler For DTCC use only, do not use 37 3 Character Error Status Indicator of type of security violation detected by DTCC: Invalid password detected; use correct password, or contact DTCC to obtain correct password Ineligible Signon detected; Signon submitted is ineligible for Smart/Track file Processing function: contact DTCC Internal Error contact DTCC See *Note below for access to complete list 40 5 Numeric Filler For DTCC use only, do not use 45 6 Character Arrival Time HHMMSS, time when this Smart/Track File Processing transmission arrived at DTCC 51 6 Numeric Edit Completion Time HHMMSS, time when DTCC completed editing this Smart/Track file processing Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 21 Updated 9/12/2006

33 NDM Acknowledgment Security Error Record (ERR) Format Position Length Format Field Name Description transmission Numeric Error Description Description of error. *Note: For a complete list of all NDM error status codes, please request a copy of the DTCC Network DataMover (NDM) (Alias CONNECT:Direct) Function User s Guide from your DTCC PIP representative Smart/Track Acknowledgment and Summary Total Record (FILSUM) A Smart/Track Summary record (FILSUM), shown below, is created when the transmission is processed. It will indicate whether the transmission had a Severe Error or was Processed Successfully. The format of the FTP/NDM Smart/Track File Processing Summary record is shown below: FTP/NDM Acknowledgment Summary Record (FILSUM) Format Position Length Format Field Name Description 1 6 Character Record Type FILSUM 7 8 Character Sender s Signon Sender s Signon ID ID 15 8 Character Sender s Firm ID Sender s Firm ID 23 4 Character Filler DTCC use only - do not use 27 8 Character Receiver s Firm ID Receiver s Firm ID 35 4 Character Filler DTCC use only - do not use 39 8 Character Date Date summary record created (In EST time) format= CCYYMMDD 47 6 Character Time Time summary record created (In EST time) format=hhmmss Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 22 Updated 9/12/2006

34 FTP/NDM Acknowledgment Summary Record (FILSUM) Format Position Length Format Field Name Description 53 4 Character DTCC function name for the file 1. For Input - the summary record will contain the original input function (ex: AGD5) (See section 2.2 page 3f or complete list.) 2. If An Output request has a problem this field will contain the output function (ex: AGD9) (See section 2.3 page5 for complete list.) 57 4 Character File version number 61 8 Character Business Date Note: this date will be used as part of key to identify data on retrieval 3. If a Receipt request has a problem this field will contain the receipt function (ex: AGD8) (See section 2.4 page 6 for complete list.) This transmission number will always be the same as the File version number submitted in the FILHDR and FILTLR record This would represent the Close of Business Date for the data that is contained in the file Format = CCYYMMDD 69 9 Character Sender s Tax ID Legal entity identifier of the Sending Firm 78 9 Character Receiver s Tax ID Legal entity identifier of the Receiving Firm 87 1 Character Accepted or Rejected Value of A or R 88 9 Numeric 9(9) Detail Record count (if accepted) Number of detail records accepted Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 23 Updated 9/12/2006

35 FTP/NDM Acknowledgment Summary Record (FILSUM) Format Position Length Format Field Name Description 97 4 Character Data Field in Error (If transmission is rejected) Character Error Description Error (If transmission is rejected) 4 byte code that identifies field in error (list of codes and descriptions are available using DTF function ICMFLD) 4 byte code that identifies reason for error (list of codes and descriptions are available using DTF function ICMERR) Character Filler For DTCC use only, do not use Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 24 Updated 9/12/2006

36 4 Initiating a Smart/Track File Output/Receipt Transmission Using FTP or NDM Smart/Track File Output Processing transmissions provide users with the ability to retrieve Smart/Track Files from DTCC. When initiating a Smart/track output request, a user transmits an output request Security record via FTP or NDM requesting either: A specific DTCC function to retrieve a Smart/Track file submitted from a sender A specific DTCC function to that will allow Senders of data to pick up receipt acknowledgments when the receiver has requested pick up of the original messages. Receipts will contain an identifier to the original message (will be supplied by user). The submitted Output request contains one record, the DTCC transmission file Security record (PSW). This record is used to control DTCC User access to Smart/Track File Processing functions. 4.1 Smart/Track File Processing Output/Receipt Request - Transmission Security Record The Smart/Track output/receipt request utilizes the Transmission Security Record to identify the requestor to the DTCC system. In addition to the Signon and password. The Security Record has two different formats depending upon the protocol being used: FTP protocol Security ( PASSWD ) record NDM protocol Security ( PSW ) record Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 25 Updated 9/12/2006

37 4.1.1 FTP Security (PASSWD) Record for Output and Receipt Processing FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description 1 1 Character Feedback indicator Must contain value of space 2 1 Character Test/Production Indicator Must contain value of P 3 6 Character Record Type Must contain value of PASSWD. 9 2 Numeric Record Suffix Must contain value of Numeric Password record id Password record identification (Must contain value of 02 ) 13 6 Character User Reference Reference id created by user 19 8 Character Addressee DTCC Internal use 27 9 Character Signon ID Format: The entity portion (the first 5 characters, A hyphen (-) and the individual portion (the last 3 characters) Nnnnn-nnn -valid DTCC Participant number or Gnnnn-nnn- group User ID For example would be typed as Character Password Field Valid password, to be obtained from DTCC Character Function Name Function Name (e.g., AGD9). Note: Left aligned with trailing spaces (See section 2.3 Smart/Track File Processing Output Format Transmissions Page 1 for complete list.) 50 4 Numeric Transmission ID Identifies transmission is unique for submitter Non-zero value; zero filled Character Filler DTCC use only Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 26 Updated 9/12/2006

38 FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description 90 8 Character Retriever s Participant ID a. Receiver for original output (functions defined as xxx9) b. Sender for receipts (functions defined as xxx8) Participant ID number associated with firm requesting output data 1. For DTCC Participants - Right justified and zero filled. (ex: ) 2. For Vendors (Group Users) this field may contain either a. the Participant number (right justified and zero filled) of the Participant data that is being requested or b. Your Vendor signon is formatted as: G000xxxx where xxxx are the 4 bytes after the G in your signon (ex: If the FTP Signon = G , this field must contain G ) 3. For Non Participants(N/M users) this field is formatted as N000xxxx where xxxx are the 4 bytes after the N in the signon (ex: FTP Signon= N This field must contain N ) Character Filler For DTCC use only, do not use Character Opposite party Participant ID Optional field for retrieval to determine the opposite party s data that is to be retrieved. May be left blank if the retriever wants to retrieve data from any available opposite party If entered must follow formats rules: 1. For DTCC Participants - Right justified and zero filled. (ex: ) 2. For Vendors(Group Users) this field must contain either a. The Participant number that is being used to request data (right justified and zero filled) or b. The Vendor Signon in the format of G0000xxx where xxx is the numeric portion of the opposite party s Signon (ex: FTP Signon = G , this field must Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 27 Updated 9/12/2006

39 FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description contain G ). 3. For Non Participants(N/M users) this field is formatted as N000xxxx where xxxx are the 4 bytes after the N in the signon (ex: FTP Signon= N This field must contain N ) Character Filler For DTCC use only, do not use Character Processing type (Note: If there are multiple files for the same sender, the file will contain a header and trailer for each file. Indicator of the processing type required: NEW = data not yet retrieved (will send all for the retrieving party that has not been previously sent Optionally: May specify an Opposite Party to retrieve data from. Will receive all the files for the combination of Retrieving and Opposite participant that have NOT already been retrieved going back 6 days prior to the current date (unless the Business date option is requested) May also specify a specific date (creation or business date) REPLAY = allows a file that has already been retrieved for 1 calendar day to be resent(requires Creation or Business date field to be entered with Creation date). May choose a date up to 6 days prior to the current date. 1. NOTE: If user wants the exact file that was originally created the following values must be requested Retrievaltn Date option with date entered: Version number 2. If user wants to replay only some part of original file the following fields may be entered A specific Opposite Party with Creation date A specific Opposite Party Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 28 Updated 9/12/2006

40 FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description with Business date Business Date and Business data Option ALL = Files that have NOT been retrieved and files already retrieved for 1 calendar day ((requires Creation or Business date field to be entered with Creation date). May choose a creation date up to 6 day prior to the current date. Optionally May specify : A specific Opposite Party with Creation date/time A specific Opposite Party with Business date Business Date Character Creation, Business or Retrieval date Required for REPLAY & ALL options Character Type of Date used for retrieval 1. Used to determine what date to retrieve data for the REPLAY and ALL option Will default to Current Date for the Replay and All options 2. May be entered for New Option (NO default) Format = CCYYMMDD NOTE: Creation date is the calendar date when DTCC Received the data Business date is the date entered in the header record of the input file Retrieval Date is the date when the file was originally retrieved by a User. This date is only for the REPLAY option when the original retrieval has been lost at the users site. It is used only in conjunction with the Version number Value of: I = Input creation date (default) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 29 Updated 9/12/2006

41 FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description B= Business date R=Retrieval date Note: If the Business date option is chosen the following selection criteria cannot be used and if entered will be Rejected as errors 1. Created Start Time 2. Created End Time 3. Output/Receipt Version Number Character Retrieval start time selection (optional) Character Retrieval end time selection (optional) Starting time based on the time that DTCC received the input Format = HHMM Not required Default = 0000 (If not entered will retrieve for entire day or all unprocessed data) Starting time based on the time that DTCC received the input Format = HHMM Not required if entered the Retrieval start time must also be entered Default = 2359 NOTE: Will retrieve everything up to the last second of the minute specified (Ex: Retrieval start time = 0910 Retrieval end time = 1559 The file will contain everything from Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 30 Updated 9/12/2006

42 FTP Output/Receipt Request Record (PASSWD) Format Position Length Format Field Name Description Character Output /Receipt Version Number (optional) Used with the REPLAY option ONLY. Four byte version number created once the file is retrieved initially. This field may be used for the REPLAY Option only to allow User to retrieve a unique version of an output or receipt file Retrieval date is also required. NOTE: This value will be available on the Browse page Character Filler For DTCC use only, do not use Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 31 Updated 9/12/2006

43 4.1.2 NDM Security (PASSWD/RETRIEVAL OPTIONS) Record for Output and Receipt Processing NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description 1 3 Character Record Type Must contain value of PSW. 4 6 Character Signon ID nnnnn -valid DTCC Participant number or Gnnnn - group User ID Note: Left aligned with trailing spaces Character Password Field Valid password, to be obtained from DTCC 16 6 Character Function Name Function name (e.g., AGD9) (See section 2.3 Smart/Track File Processing Output Format Transmissions Page 1 for complete list.) 22 3 Numeric Transmission ID Unique Transmission ID. Non-zero value; zero filled 25 4 Character Filler For DTCC use only, do not use 29 9 Character Filler For DTCC use only, do not use 38 1 Character Test/Prod indicator Must be set to value of P 39 1 Character Filler For DTCC use only, do not use 40 2 Character Password record id Password record identification (Must be set to 01) Character Filler For DTCC use only, do not use Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 32 Updated 9/12/2006

44 NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description 90 8 Character Retriever s Participant ID a. Receiver for original output (functions defined as xxx9) b. Sender for receipts (functions defined as xxx8) Participant ID number associated with firm requesting output data 1. For DTCC Participants - Right justified and zero filled. (ex: ) 2. For Vendors(Group Users) this field must contain either a. the Participant number that is being used to request data (right justified and zero filled) or b. Your Signon in the format of G0000xxx where xxx is the numeric portion of the retriever s Signon (ex: NDM Signon = G001, this field must contain G For Non Participants(N/M users) in the format of N000xxx where xxx is the the numeric portion of the retriever s signon ex: If the NDM Signon= N123. This field must contain N Character Filler For DTCC use only, do not use Character Opposite party Participant ID Optional field for retrieval to determine the opposite party s data that is to be retrieved. May be left blank if the retriever wants to retrieve data from any available opposite party If entered must follow formats rules: 1. For DTCC Participants - Right justified and zero filled. (ex: ) 2. For Vendors(Group Users) this field must contain either a. The Participant number that is being used to request data (right justified and zero filled) or b. The Vendor Signon in the format of G0000xxx where xxx is the numeric portion of the opposite party s Signon (ex:ndm Signon = G001, this field must Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 33 Updated 9/12/2006

45 NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description contain G For Non Participants (N/M users) in the format of N000xxx where xxx is the numeric portion of the signon (ex: If the NDM Signon= N123. This field must contain N ) Character Filler For DTCC use only, do not use Character Processing type (Note: If there are multiple files for the same sender, the file will contain a header and trailer for each file. Indicator of the processing type required: NEW = data not yet retrieved (will send ALL files for the retrieving party that has not been previously sent Optionally: May specify an Opposite Party to retrieve data from. Will receive all the files for the combination of Retrieving and Opposite participant that have NOT already been retrieved going back 6 days prior to the current date (unless the Business date option is requested) May also specify a specific date(creation or business date REPLAY = allows a file that has already been retrieved for1 calendar day to be resent(requires Creation or Business date field to be entered with Creation date). May choose a date up to 6 days prior to the current date. 3. NOTE: If user wants the exact file that was originally created the following values must be requested Creation Date option with date entered: Version number 4. If user wants to replay only some part of original file the following fields may be entered A specific Opposite Party with Creation date Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 34 Updated 9/12/2006

46 NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description A specific Opposite Party with Business date Business Date and Business data Option ALL = Files that have NOT been retrieved and files already retrieved for 1 calendar day ((requires Creation or Business date field to be entered with Creation date). May choose a creation date up to 6 day prior to the current date. Optionally May specify : A specific Opposite Party with Creation date/time A specific Opposite Party with Business date Business Date Character Creation Business or Retrieval date Required for REPLAY & ALL option 1. Used to determine what date to retrieve data for the REPLAY and ALL option Will default to Current Date for the Replay and All options 2. May be entered for New Option (NO default) Format = CCYYMMDD NOTE: 3. Creation date is the calendar date when DTCC Received the data 4. Business date is the date entered in the header record of the input file 5. Retrieval Date is the date when a User originally retrieved the file. This date is only for the REPLAY option when the original retrieval has been lost at the users site. It is used only in conjunction with the Version number Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 35 Updated 9/12/2006

47 NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description Character Type of Date used for retrieval Value of: I = Input creation date (default) B= Business date R= Retrieval date (used with REPLAY Option only) Note: If the Business date option is chosen the following selection criteria cannot be used and if entered will be Rejected as errors 1. Created Start Time 2. Created End Time 3. Output/Receipt Version Number Character Retrieval start time selection (Optional) Character Retrieval end time selection (Optional) Character Output /Receipt Version Number (Optional) Used on the Replay option ONLY. Starting time based on the time that DTCC received the input Format = HHMM Not required Default = 0000 (If not entered will retrieve for entire day or all unprocessed data) Ending time based on the time that DTCC received the input Format = HHMM Not required if entered the Retrieval start time must also be entered Default = 2359 NOTE: Will retrieve everything up to the last second of the minute specified (Ex: Retrieval start time = 0910 Retrieval end time = 1559 The file will contain everything from Four byte version number created once the file is retrieved initially This field may be used for the REPLAY Option ONLY to allow User to retrieve a unique version of an output or receipt file Retrieval date is also required. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 36 Updated 9/12/2006

48 NDM Output/Receipt Request Record (PSW) Format Position Length Format Field Name Description NOTE: This value will be available on the Browse page Character Filler For DTCC use only, do not use Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 37 Updated 9/12/2006

49 4.2 Smart/Track Output transmissions Once a user submits a request for a DTCC output function (see section 2.3 for list) by sending a Password/Retrieval options record to DTCC and the record is valid, data will be extracted into a sequential file. The Smart/Track output file with a processing type of NEW will contain the one entire file that was originally submitted by a sender with the exception of the Password record. Therefore the Trailer record count field MUST NOT include the Password record in the count field. The Smart/Track output file with a processing type of REPLAY may contain many files depending upon the options chosen for selection. When an invalid Password/ Retrieval Options record has been passed, the same type of rules as the input Processing acknowledgement file will apply (see section 19 Smart/Track Acknowledgment Record Formats page 19) for the record layouts. One of the following record types will be created in the output file ERR - a Security Violation for NDM users CF2ERR - a Security Violation for FTP users FILSUM - for a Severe Error or Edit Error in the detail request fields starting in position 51 of the password record When a valid Password/Retrieval options record has been submitted to DTCC and the processing type=new, the following example of an output file will be created: SMART/TRACK Header record Detail data records SMART/TRACK Trailer Record (type "FILHDR") (type FILTLR ) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 38 Updated 9/12/2006

50 When a valid Password/Retrieval options record has been submitted to DTCC and the processing type=replay, the following example of an output file will be created: SMART/TRACK Header record Detail data records SMART/TRACK Trailer Record SMART/TRACK Header record Detail data records SMART/TRACK Trailer Record (type "FILHDR") (type FILTLR (type "FILHDR") (type FILTLR ) 4.3 Smart/Track Receipt transmission Once a user submits a request for a DTCC Receipt function (see section 2.4 for list) by sending a Password/Retrieval options record to DTCC When an invalid Password/ Retrieval Options record has been passed, the same type of rules as the input Processing acknowledgement file will apply (see section 19 Smart/Track Acknowledgment Record Formats page 19) for the record layouts. One of the following record types will be created in the output file ERR - a Security Violation for NDM users CF2ERR - a Security Violation for FTP users FILSUM - for a Severe Error or Edit Error in the detail request fields starting in position 51 of the password record When a valid Password/Retrieval options record has been submitted to DTCC and the processing type=new, only transmissions that have not had receipts created yet will be in the output file (FILRCP). The file may contain multiple receipt records. When a valid Password/Retrieval options record has been submitted to DTCC and the processing type=replay; only transmissions that have already been created will be in the output file (FILRCP). There may be multiple (FILRCP) records based on the options chosen. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 39 Updated 9/12/2006

51 When a valid Password/Retrieval options record has been submitted to DTCC and the processing type=all, the file will contain transmission receipts for transmissions that have not been sent yet and transmissions that have already been sent. There may be multiple (FILRCP) records based on the options chosen FTP/NDM Smart/Track File Processing Receipt Format (FILRCP) A Receipt message will be created for Smart/Track file processing based on the function profile table. A receipt is generated when the file requested in the Password/Retrieval Options records has been successfully created For NDM users the file will be sent from DTCC to the file specified in the NDM process For FTP users the file will be available for reading by the user. The Smart/Track Receipt record is described below. FTP/NDM Receipt Record (FILRCP) Format Position Length Format Field Name Description 1 6 Character Record Type FILRCP 7 8 Character Sender s Signon ID Sender s Signon ID 15 8 Character Sender s Firm ID Sender s Firm ID 23 4 Character Filler DTCC use only Do not use 27 8 Character Receiver s Firm ID Receiver s Firm ID 35 4 Character Filler DTCC use only Do not use 39 8 Character Date Date Receipt file was created (in EST time) Format = CCYYMMDD 47 6 Character Time Time Receipt file was created (In EST time) format=hhmmss Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 40 Updated 9/12/2006

52 FTP/NDM Receipt Record (FILRCP) Format Position Length Format Field Name Description 53 4 Character DTCC function name for the file 57 4 Character File version number 61 8 Character Business Date Note: this date will be used as part of key to identify data Ex : AGD8, AGM8 (See section 2.4 Smart/Track File Processing Receipt Format Transmissions Page 6 for complete list.) NOTE: First 3 characters should be used as part of key to connect Receipt record to Input file Unique transmission identifier from the original Input transmission used to distinguish multiple inputs of the same file name. NOTE: Should be used as part of key to connect Receipt record to Input file This would represent the Close of Business Date for the data that is contained in the file Format = CCYYMMDD 69 9 Character Sender s Tax ID Legal entity identifier of the Sending Firm 78 9 Character Receiver s Tax ID Legal entity identifier of the Receiving Firm 87 9 Numeric (9) Record count Total Number of detail record records accepted NOTE: Should be used as part of key to connect Receipt record to Input file 96 8 Character Date Date from Input file header Format = CCYYMMDD NOTE: Should be used as part of key to connect Receipt record to Input file Character Time Time from Input file header (In EST time) format=hhmmss NOTE: Should be used as part of key to connect Receipt record to Input file Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 41 Updated 9/12/2006

53 FTP/NDM Receipt Record (FILRCP) Format Position Length Format Field Name Description Character Filler DTCC use only- do not use Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 42 Updated 9/12/2006

54 5 FTP Processing Requirements A Participant (User) who wants to initiate a Smart/Track transmission via FTP must complete the setup requirements specified in the File Transfer Protocol (FTP) Function User's Guide before initiating an FTP request. The Participant Interface Planning (PIP) area should be contacted for any questions concerned with set-up. NOTE: We have recently added the ability to allow FTP to be used to submit files using the Open Internet for this application. The FTP Function User s guide has NOT been updated to reflect this new facility. Therefore this document will highlight the changes required for Open Internet Users. For the remainder of this document we will refer to the two options as: Dedicated Lines requires that the user have a dedicated line association with DTCC Open Internet(SecureFTP) - allows users to use the Open Internet to send and retrieve files from DTCC Before an FTP User sends files using the FTP protocol they must submit a request to DTCC s PIP to request a valid RACF ID be created for the system that is being used FTP Users can issue appropriate FTP commands to submit or retrieve Smart/Track File Processing files. 5.1 Open Internet (SecureFTP) requirements: 1. Contact DTCC s PIP area by (pip@dtcc.com) or phone ( ) and request a Smartmover form and instructions 2. Complete the form and it to pip@dtcc.com 3. Some companies may need to update a firewall port at their site 4. A DTCC RACF ID must either exist or be created 5. All File names will start with FTW for Open Internet (SecureFTP) access 6. Authorization to access FTW files must be established 5.2 File Requests to DTCC NOTE: The maximum size of a record is currently limited to 27,000 characters. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 43 Updated 9/12/2006

55 Users should user the ACTUAL RECORD SIZE for the Smart/Track file type being submitted, not the maximum size available whenever possible since the messages are variable length Input Transmission File Functions (see function descriptions in section 2.2) Note: For variable length records the file LRCL length is always 4 bytes more than the record size in the program. Therefore if the record size in the program were 296, the LRCL would be 300 being submitted would be 300. The BLKSIZE is also 4 bytes bigger than the LRCL therefore in the example the BLKSIZE would be 304. *NOTE: LRCL and BLKSIZES below are samples ONLY File layouts have not been completed therefore sizes are NOT exact (shown as example only)) Smart/Track FUNCTION FTP Request RECFM Max LRCL Max BLKSIZE AGD5 put (Input) VB 162* AGM5 put (Input) VB 691* AGI5 put (Input) VB 751* AGA5 put (Input) VB 183* AGN5 put (Input) VB 285* Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 44 Updated 9/12/2006

56 5.2.2 Request to Retrieve Files Functions (see function descriptions in section 2.3) Smart/Track FTP Request RECFM LRCL BLKSIZE File Processing FUNCTION AGD8 put (Request) FB 180 N/A AGD9 put (Request) FB 180 N/A AGM8 put (Request) FB 180 N/A AGI8 put (Request) FB 180 N/A AGI9 put (Request) FB 180 N/A AGA8 put (Request) FB 180 N/A AGA9 put (Request) FB 180 N/A AGN8 put (Request) FB 180 N/A AGN9 put (Request) FB 180 N/A 5.3 File Sent to User by DTCC- Acknowledgment file, output response file Transmitter s input Acknowledgement and Error messages File This file is created from an Input Request. Smart/Track File Processing FUNCTION XXXX Where XXXX = any of the functions listed in table above FTP Request RECFM LRCL BLKSIZE get (Ack) VB 27,004 27, User s Message Output Response or Receipt File This file is created when an Output request is received at DTCC. Smart/Track File Processing FUNCTION YYYY Where YYYY = any of the functions listed in table above FTP Request RECFM LRCL BLKSIZE get (Output) VB 27,004 27, Naming Conventions FTP files are named according to specific rules. These names also change according to the order in which they are used. There are two types of file names - local and remote. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 45 Updated 9/12/2006

57 5.4.1 Local File Names Files created by the User to be transmitted to DTCC are local files. The user can choose their names freely, however, they cannot contain blanks. Otherwise, naming of local files is only restricted by the user s computer operating system Remote File Names Files that are created on the DTCC mainframe (i.e., resulting from the put of a local file) are considered remote files and must be named according to the one of the following formats: 1. Dedicated Lines FTXaaaaa.bccc.$FTXPBI1.$dddddd.$mmmddsq.g or 2. Open Internet (SecureFTP) FTWaaaaa.bccc.$FTXPBI1.$dddddd.$mmmddsq.g Any file sent to DTCC via an FTP put is identified by its file identification name, which corresponds to a function name. For Smart/Track File Processing functions the file DOES requires a password record and detail records. Their formats are described in previous sections of this document. Entry FTX or FTW Description Either FTX (literal) for Dedicated Line users or FTW(literal) for Open Internet (SecureFTP) users. Please note the single quotation mark. aaaaa. b ccc. $FTXPBI1 The first five digits of your RACF Signon followed by a period. P (for production). All input and output testing can be done in production. The last three digits of your RACF Signon followed by a period. $FTXPBI1 - corresponds with the Process/Driver name at DTCC. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 46 Updated 9/12/2006

58 $dddddd. dddddd - The four to six byte function/file-id you are requesting followed by a period. Right-justified blanks are not required for function names less than six bytes. $mmm mmm - A three byte field that defines the month (eg. JAN, FEB,MAR,APR etc). The first three characters must be alphabetic. dd dd - two-digit that identify the day of the month (01-31) sq. A two-character sequence number assigned by the user followed by a period. Values are between AA-ZZ (including AB,AC,etc And Please do not use value 00. IMPORTANT:. The seven byte mmmddsq forms a parameter that can be varied to generate remote file names that are unique for a day(ftp files are saved for 7 day period for retrieval). For example, functions that are requested multiple times a day, would alter the 2 digit sequence numbers to reflect the multiple versions of the same function e.g., OCT23AA (first version for October 23), OCT23AB (second version for October 23, etc. g I (for input- files being sent to DTCC) or O (for Output- files being retrieved from DTCC), Followed by a single quotation mark. 5.5 FTP Commands The following commands are used for the actual FTP process after the local files have been created and named. Users should pay attention to the interaction between the put and get commands within this process Put Command The put command submits a function request file to DTCC. The syntax is: put local_file name remote_file_name For example, a User with the RACF Signon of , submitting a local file named input.data, containing function=agd5, could use one of the following commands: : 1. Dedicated Lines Put input.data FTX99999.P201.$FTXPBI1.$AGD5.$OCT2301.I or Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 47 Updated 9/12/2006

59 2. Open Internet (SecureFTP) Put input.data FTW99999.P201.$FTXPBI1.$AGD5.$OCT2301.I Get Command The get command retrieves the response file from the input request, whether it is an Acknowledgment Summary Record or Error record (e.g., for AGD5 input Smart/Track File processing transmissions) or actual input data (e.g., if the User submitted a request to retrieve Messages AGD9). The syntax is: get remote_file_name local_file_name In the remote_file_name, the I (for input) needs to change to an O (for output), and the $ must be stripped off (removed) from each node. Users may also want to change the name of the local_file_name so it will not wipe out the requesting record contained in the original local file. Using the example cited above for the put command, the User retrieving the response file from their input.data AGD5 request could use one of the following commands, which changes the local_file_name from input.data to retrieved.messages: 1. Dedicated lines get FTX99999.P201.FTXPBI1.AGD5.OCT2301.O retrieved.messages: or 2. Open Internet (SecureFTP) get FTW99999.P201.FTXPBI1.AGD5.OCT2301.O retrieved.messages Please note that in the output dataset the $ prefix of each node is stripped out, and the output length is a variable length record of 91 to bytes for any FTXPBI1 response record. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 48 Updated 9/12/2006

60 6 NDM Processing requirements The following describes the NDM procedures and requirements associated with the Smart/Track File Processing Functions. Users should also refer to the Network Data Mover via CCF-II User's Guide if any setup requirements are needed. This guide is available from your DTCC Participant Interface Planning representative or on-line at (The web site requires a user to register with DTC and obtain a valid DTCC user id and password). 6.1 File Requests to DTCC - (Input Transmission file, Output Request file) NOTE: The maximum size of a message data (excluding headers) is currently limited to 27,000 characters Users should user the ACTUAL RECORD SIZE for the Smart/Track File processing submitted, not the maximum size available whenever possible since the messages are variable length Input Transmission File Functions Note: For variable length records the file LRCL length is always 4 bytes more than the record size. Therefore based on the example above the LRCL would be 300. The BLKSIZE is also 4 bytes bigger than the LRCL therefore in the example the BLKSIZE would be 304. *NOTE: LRCL and BLKSIZES below are samples ONLY File layouts have not been completed therefore sizes are NOT exact (shown as example only)) Smart/Track FUNCTION NDM PROCEDURE RECFM Max LRCL Max BLKSIZE AGD5 NDMSMTIN VB 162* 166 AGM5 NDMSMTIN VB 691* 695 AGI5 NDMSMTIN VB 751* 755 AGA5 NDMSMTIN VB 183* 187 AGN5 NDMSMTIN VB 285* Requests to Retrieve Data Functions Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 49 Updated 9/12/2006

61 Smart/Track FUNCTION NDM PROCEDURE RECFM LRCL BLKSIZ E AGD8 NDMSMTRC FB 180 N/A AGD9 NDMSMTOU FB 180 N/A AGM8 NDMSMTRC FB 180 N/A AGM9 NDMSMTOU FB 180 N/A AGI8 NDMSMTRC FB 180 N/A AGI9 NDMSMTOU FB 180 N/A AGA8 NDMSMTRC FB 180 N/A AGA9 NDMSMTOU FB 180 N/A AGN8 NDMSMTRC FB 180 N/A AGN9 NDMSMTOU FB 180 N/A 6.2 Files sent to User by DTCC - (Acknowledgment file, Output Response file) Acknowledgement and Error Record File This file is created from an Input transmission request. Smart/Track FUNCTION XXXX Where XXXX = any of the functions listed in table above NDM RECFM Max Max PROCEDURE LRCL BLKSIZE NDMSMTIN VB 27,004 27, User s (Receiver) Transmission Output Response File This file is created when a Request to Retrieve is received at DTCC. Smart/Track FUNCTION YYYY Where YYYY = any of the functions listed in table above NDM PROCEDURE NDMSMTOU Or NDMSMTRC REC FM LRCL BLKSIZE VB 27,004 27, NDM Parameters to be set Please modify the following Parameter in the NDM General Process Member to the default value below since this parameter is overwritten by the size of the dataset passed in the variable length record: RL=0001 Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 50 Updated 9/12/2006

62 Set the SACCT parameter to indicate the return dataset name. The RL field should contain 0001 but the actual record length will be the record length specified for the function. SACCT = \RD= return dataset RL= 0001 RS=I For further information on JCL requirements, please consult the Network Data Mover via CCF-II User's Guide. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 51 Updated 9/12/2006

63 7 List of Possible errors that may occur in the Agency Lending System Please NOTE: There may be some errors that are not listed in this table. Our error codes are stored in a DTF file daily. Please see section 8.3 (THE File layout and full description of the ICMFLD and ICMERR) on Page 57 for details of how to retrieve the DTF files. Field Error Code Field description Reason for Error Code Description of Reason AAAD Record Count 9AAR Does not match number of records in file AAAK Header record 9AAA Invalid version AAXX Files from Sender 9ALF Do not exist for this request (Means No files available for retrieval at this time ) AAXY Receipt Files 9ALF Do not exist for this request (Means No files available for retrieval at this time ) AAXZ DTCC File 9ZZR Please Resubmit Data Contention Problem ABAA Header Record Type 9AAA Invalid ABAB Trailer Record Type 9AAA Invalid AGAA Processing type 9AAA Invalid AGAB Retrieval Date 9AEL Missing or Invalid AGAC Type of retrieve date 9AAA Invalid AGAD Retrieval Start Time 9AAA Invalid AGAE Retrieval End Time 9AAA Invalid AGAF Sender Tax Id 9AAA Invalid AGAG Receiver Tax Id 9AAA Invalid BABI Business (Process) 9AAI Invalid format Date CAAX Signon participant 9AAA Invalid number CAAX Signon participant 9AAN Not eligible for function (processing) number CAAX Signon participant 9AGR Not part of group user number CAB1 Receiver (Recipient) 9AAN Not eligible for function (processing) ID CAB1 Receiver (recipient) 9AEL Missing or Invalid ID CAB1 Receiver (Recipient) ALAA Does not want to participate in function ID CABM Sender (Originating) 9AAC Does not match Signon ID Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 52 Updated 9/12/2006

64 ID CABM Sender (Originating) 9AEL Missing or Invalid ID CABM Sender (Originating) ALAA Does not want to participate in function ID CRCA Creation date 9AAI Invalid format CRCA Creation date ALAB Not current or previous calendar day CRCA Creation date ALAC Not current or previous business day CRCB Creation time 9AAI Invalid format HADA Duplicate row 9ABN Transmission already processed HADD Record Type 9AAA Invalid JAAA Function 9AAA Invalid JAAA Function 9AAL Past Cutoff time refer to documentation JAAA Function 9AAM Not Available JAAC MFE Lookup 9AES Master table not available JAAD Signon on DTCC s 9AAA Invalid Info table JAAR All fields ALAD Not = to same field on the header/trailer JAAR All fields IABZ Database busy please try again later JAAR All fields IACA Fatal Database error PS: For NDM Users an error that states BLKSIZE value must be 80 for output data transmissions means that the RS value of the NDM process was set incorrectly to RS=O. It must be set to RS=I for all Agent Lender functions (see section NDM Parameters to be set on Page 50 ) Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 53 Updated 9/12/2006

65 8 Overview of Available DTF (Data Transmission Facility) files DTCC s DTF system allows DTCC users to retrieve files of information once a day that are designed to support the Agency Lending system. Please contact DTCC S Participant Information Planning (PIP) at ( ) for more information about DTF. There are currently four files that are available for extraction on a daily basis Function Description Time New version Available AGLPT Creates a list of all NONvendor users of the Agent Lender system on a daily basis UNIQID ICMFLD * This list should be available using Smart Search in the near future ICMERR* This list should be available using Smart Search in the near future List of all Unique Ids and the information associated with them that exist at time of extract Lists a code for every possible field that may have an error Lists a code for every possible error that may occur A new version of this file is created daily between hours A new version of this file is created daily between hours A new version of this file is created daily after midnight A new version of this file is created daily after midnight 8.1 File Layout of the data associated with the AGLPT DTF file Please NOTE: Based on the protocol that a company uses to retrieve this file, there is a different header. For FTP, there is also a different trailer.. Please contact DTCC s PIP area at for documentation on how to retrieve this database on your protocol. Agent Lender User Eligibility file (AGLPT) Position Length Format Field Name Description 1 8 Character DTCC Participant number or User Contains the User ID at DTCC of the user who has elected to participate in a selected Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 54 Updated 9/12/2006

66 Agent Lender User Eligibility file (AGLPT) Position Length Format Field Name Description 9 10 Character Participant/user Description 19 3 Character Agency Lending Function function Name of Participant/User 3-byte field that defines the Agency Lending function. (Ex: AGM, AGI, AGD, AGA,AGN) Character Agency Lending function description Description of Ageny Lending function? 52 8 Character Date file created Creation Date Format = CCYYMMDD Character Filler For DTCC use only 8.2 File Layout of the UNIQID DTF file Please NOTE: Base on the protocol that a company uses to retrieve this file there is a different header. For FTP, there is also a different trailer. Please contact DTCC s PIP area at for documentation on how to retrieve this database on your protocol. Principal Agent Lender Unique Identifier file (UNIQID) Position Length Format Field Name Description 1 9 Character Principal Agent Lender Unique Identifier Unique alphanumeric identifier assigned to associated legal Name of Principal Lender Issuer Character Legal name Legal name of the Principal Agent Character Classification Code Character Classification Name Character Mailing address Line1 3-byte code from Industry classification code list describing participant (such as Pension Plan, Central Bank, Insurance company etc.) Industry classification name that matches to the Industry Classification Code Street Address and Number Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 55 Updated 9/12/2006

67 Principal Agent Lender Unique Identifier file (UNIQID) Position Length Format Field Name Description Character Mailing address 2 nd street address Line Character Mailing address Town/City City Character Mailing address State or Province State Character Postal code Postal code Character Mailing address Country Character Business address Line Character Business address Line Character Business address City Character Business address State Character Business address Postal Code Character Business address Country Character Contact First Name Character Contact Last Name Character Contact Phone Number Character Contact address Character Contact Company Name Country Business Street Address and Number Business 2 nd street address Business Town/City Business State or Province Business Postal code Country First name of person who entered information Last name of person who entered information Phone number of the person who entered the data Phone number of the person who entered the data Company associated with the person who entered the data Character DTCC Signon DTCC Signon of person who entered information Character Date added Date in CCYY/MM/DD format Character Time added Time in HH:MM:SS format Character Filler DTCC User Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 56 Updated 9/12/2006

68 8.3 THE File layout and full description of the ICMFLD and ICMERR These files are accessible via the website under Technical Publications website. Please contact DTCC s PIP area for a copy of this document entitled Information (ICMFLD/ICMERR) via CCF and CCF-II: Function User s Guide. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 57 Updated 9/12/2006

69 9 Web Pages available for Agency Lending 9.1 Main Menu accessed through (requires a DTCC RACF ID) This page allows the user to select either the Unique Identifier Search/Browse web pages or the File Status Browse web page. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 58 Updated 9/12/2006

70 9.2 UNIQUE ID Search/Browse Web Pages Search criteria for Browse Page Requires the user to enter either the Legal Name, Unique Identifier or the Unique Identifier Creation Date. The Search will return a list of items that match the criteria entered. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 59 Updated 9/12/2006

71 9.2.2 Browse page once criteria has been entered Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 60 Updated 9/12/2006

72 9.2.3 To see more details, put the cursor on Unique Identifier field (underlined field) and the Detail page will appear Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 61 Updated 9/12/2006

73 9.2.4 To create a new Unique ID, press the Create Unique ID button that appears on the browse page (see Section page # 60). The page shown below will appear. PLEASE NOTE: Vendors (Group Users) do NOT have the authority to create Unique IDs. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 62 Updated 9/12/2006

74 9.2.5 Once all of the data has been submitted and accepted (there are no edit errors), a confirmation ticket will be created. Users can print the confirmation ticket, if desired, by pressing the Print button. Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 63 Updated 9/12/2006

75 9.3 File Status Browse Page NOTE: A help page will be available soon Some of the options for Status Field include: All - Allows User to see the current status of all the files that have either been submitted or retrieved by the User (select ALL option). ALL Input (Accepted and Errors) - Allows User to see all accepted and rejected (errors) input Accepted Input - Allows User to see ONLY accepted input Input Errors - Allows User to see ONLY input that was rejected because of errors Output Processed - Allows User to see the input and output that was processed successfully Receipts Processed - Allows User to see the input and the Output where a receipt was processed successfully Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 64 Updated 9/12/2006

76 9.3.2 Browse page after the selection has been submitted Agent Lender Disclosure File Processing - Input / Output: User s Guide Page: 65 Updated 9/12/2006