GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD

Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 2 to 211

TABLE OF CONTENT
Part 1: INTRODUCTION..................................................................................................................................... 3
1.1
Purpose of Guidelines of Handling Reports ........................................................................................... 3
1.2
Effective Date ......................................................................................................................................... 3
1.3
Applicability............................................................................................................................................. 3
1.4
Ownership............................................................................................................................................... 3
1.5
Confidentiality ......................................................................................................................................... 3
Part 2: Guidelines .............................................................................................................................................. 4
2.1
Retrieval of Reports ................................................................................................................................ 4
2.1.1 Comprehensive Business Report System (CBRS) ................................................................... 4
2.1.2 IBG Fund Transfer System ........................................................................................................ 4
2.1.3 Reports Generated by IT, Head Office. ..................................................................................... 5
2.2
Roles and Responsibilities ..................................................................................................................... 5
2.2.1 Branch ....................................................................................................................................... 5
2.2.2 FSD............................................................................................................................................ 6
Part 3: Archiving and Destruction of Reports ................................................................................................ 7
3.1
Reports Handling Procedures ................................................................................................................ 7
Part 4: List of Reports & Documents ............................................................................................................... 8
4.1
Branch .................................................................................................................................................... 8
4.1.1 List of Reports Retrieve from CBRS.......................................................................................... 8
4.1.2 List of Reports Retrieve from Branch Share Folder .................................................................. 9
4.1.3 List of Reports Generated by IBG System .............................................................................. 10
4.2
FSD....................................................................................................................................................... 11
4.2.1 List of Reports Retrieve from CBRS........................................................................................ 11
4.2.3 List of Reports Retrieve from IBG System .............................................................................. 12
4.3
Reports Retention Period (Branch) ...................................................................................................... 13
4.3
Reports Retention Period (FSD)........................................................................................................... 15
4.5
Inquiry Form.......................................................................................................................................... 17
4.6
Discrepancy Reporting ......................................................................................................................... 18
Part 5: Screen Snapshot ................................................................................................................................. 19
5.1
CBRS.................................................................................................................................................... 19

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 3 to 21

Part 1: INTRODUCTION
1.1 Purpose of Guidelines of Handling Reports
1.1.1

This guide lines for handling reports will be detailed from the point of retrieval of reports,
checking of reports, archiving of reports and destruction of reports.

1.1.2

The List of Reports in this manual only contain of reports required to be check by branch by
FSD.

1.1.3

Branches and FSD will have to conduct report checking on daily basis as well as monthly basis
if those reports generated on monthly interval.

1.2 Effective Date

1.2.1

This Guideline is applicable with immediate effect.

1.3 Applicability
1.3.1

This Guideline is applicable to ICBCM.

1.4 Ownership
1.4.1

Owner
The owner of this Guideline is ICBCM.

1.4.2

Author and Issuing Department

This guideline is written and issued by Finance and Settlement Department (FSD) who shall
be the authority to make subsequent changes or updates.
Any queries relating to the contents of this guideline are to be directed to FSD.

1.5 Confidentiality
1.5.1

This guideline is the property of ICBCM and must be treated as highly confidential. No part of
this guideline may be reproduced in whatever media whether mechanical or electronic or by
photocopying, recording or otherwise and may not be stored in any form without the written
authorization from the management of ICBC.

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 4 to 21

Part 2: Guidelines
2.1 Retrieval of Reports
All reports from respective system such as FOVA, GFMS, IBG or etc will be generated via the
banks report system or manual generate by IT, Head Office.
Reports must be checked and signed on the same day of processing.
Reports must be properly filed daily in date order sequence or any other sequence for easy
retrieval.

2.1.1

2.1.2

Comprehensive Business Report System (CBRS)

(1)

These are an ID & password control reporting system. DBM / BM are to apply the ID for
relevant staffs to access CBRS for retrieving of reports.

(2)

All creation or deletions of ID is centralized performed at IT, Head Office.

(3)

Branch is to fill up the User ID Request Form and forward to Branch Administration
Department (BAD) for concurrence. Thereafter BAD to forward the request form to IT, Head
Office for further action (creates or delete).

(4)

CBRS is captured those reports generated from FOVA system.

(5)
.
(6)

Those reports listed at CBRS can be print, export to saved in excel or word format.
Branches and FSD respective units such as settlement, general ledge posting team or finance
team have to retrieve and print or save the required reports as per List of Reports details
stated at Part.

IBG Fund Transfer System

(1)

While pending IBG transaction integrates to FOVA system; an interim system had been
establish to enable bank to provide IBG services to customers.

(2)

Reports will generate to enable branches to perform the transaction balancing daily. At the
same time consolidated reports also will be generate to enable settlement unit at FSD to
perform settlement with MyClear.

(3)

Branch and FSD may retrieve the reports from IBG Fund Transfer System.

(4)

The relevant reports must be check and verify accordingly.

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

2.1.3

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 5 to 21

Reports Generated by IT, Head Office.

(1)

For reports required by branches and FSD but not listed at the CBRS; upon approval obtained
from higher management, these reports will be generate manually by IT.

(2)

The entire reports will save at branch share folder or Head Office reports share folder.

(3)

Any new reports request to generate for branch. Branch is to fill-up the bank standard request
form with the justification and forward to BAD for approval.

(4)

BAD to review the proposal; if the request is feasible, BAD shall obtain approval from higher
management. Thereafter, forward the approved request form to IT at Head Office for further
action.

(5)

Branch or FSD is to retrieve the reports for share folder for further action.

2.2

Roles and Responsibilities

2.2.1

Branch
(1)

The DBM/BM may appoint a designated Officer to be in charge and ensure the relevant
reports are duly checked and review or print for filing if necessary. The designated Officer also
responsible for the archival of documents, their storage and security as well as on monitoring
and destruction.

(2)

The DBM / BM shall be equally accountable for the reports checking and archival documents,
for any loss, damage, being counterfeited, fraudulently exchanging, amending or other illegal
actions done to the documents.

(3)

To ensure the bank operations are in compliance through segregating the role and
responsibilities to all the level of staff within the branch.

(4)

All required printed reports must be verified by the appointed Officer and subsequently,
initialed on the reports as evident the checking has been performed.

(5)

Verification of reports must make against the physical vouchers and source of documents.
Once all the reports have been verified, the appointed Officer will have to peruse through the
report checklist as per Part 4 List of Report and initialed on the last column as to signify the
respective reports were reviewed and file the report checklist for audit purposes.

(6)

If there are any discrepancies or exceptions being identified during the report checking, the
appointed Officer will have to conduct an immediate investigation and action to be taken
coupled with notifying DBM/BM.

(7)

Once the discrepancy or exception is rectified, the appointed Officer will inform the respective
stakeholders to perform the adjustment accordingly and at the same time to document down
the whole rectification process so that it can be used for future reference. If there is any losses
or fraud, inform the DBM/BM immediately and subsequently, report to Head Office (HRAD,
BAD and FSD) by completing the Discrepancy Report as per Part 4, section 4.6.

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

2.2.2

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 6 to 21

FSD
(1)

Head of FSD may appoint Supervisor to conduct report checking. Once all the reports have
been verified, the appointed Supervisor will have to peruse through the report checklist as per
Part 4, section 4.2 and initialed on the last column as to signify the respective reports were
reviewed and file the report checklist for audit purposes.

(2)

Should there be any discrepancies or exceptions being identified during the report checking,
the appointed Supervisor will have to conduct an immediate investigation and action to be
taken coupled with notifying Head of Department. If the discrepancy attributed from the branch
then arrange to send the inquiry form (Part 4, section 4.5) to the branch concern and request
for an official reply.

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 7 to 21

Part 3: Archiving and Destruction of Reports

3.1 Reports Handling Procedures
(1)

Reports must be destroyed after the stipulated retention period.

Note:

All Reports with supporting document attached shall be retaining for 7 years.
Otherwise should only retain for 3 years.

(2)

All verified daily printed reports have to be filed in date order sequence and duly labeled
appropriately for ease of retrieval.

(3)

These verified daily printed reports are stored at the Branch and FSD according to the bank
standard documents retention period from the date of report and thereafter, will be destructed
accordingly.

(4)

Upon reaching the retention period, Branches or FSD may arrange to retrieve the reports and
subsequently, destruct it.

(5)

Method of destruction will be shredding the reports. Therefore, Branches or FSD will have to
assign a staff to undertake this task.

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 8 to 21

Part 4: List of Reports & Documents

4.1 Branch
4.1.1
Report
ID

List of Reports Retrieve from CBRS

Report Name (Chinese)

Report Name ( English)

Remarks

Print
Y/N

ICBC On-Balance Sheet Daily Account

(Branch Sub and Original Currency)

Review branch sales. Deposit, expenses and

income for the daily.
Must print on month end for DBM/BM to
review and initialed.

fa00106

Opening and Closing of Account List

Print, verify and authorized with the source of

documents.

fa00107

Account Error Correction and

Reverse Transaction List.

Print, check and verify. Attached with the

source documents.

fd00008

Dorman Account Status

Print to follow up the dormant account

documentation.

fd00010

Intra city Exchange Outward Agreement

Print List

To view and ensure total outward cheque for

the day tally with CTCS reports.

fd00018

Intra City Outward Offset Upon Receipt

Time Entry List

To view and ensure total outward cheque float

release tally with previous day.

fd00019

Intra-City Outward Offset Upon receipt

Non Time Entry List.

To view and ensure no unsuccessful float

release for the day. Report to FSD if any

fa00001

Checked
by

Authorized
by

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

4.1.1

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 9 to 21

List of Reports Retrieve from CBRS (cont)

Report
ID

Report Name (Chinese)

Report Name ( English)

Print
Y/N

Remarks

fd00035

Error List In Interest Calculation

(Current & Loans)

To print and investigate if any items listed,

otherwise to review only.

fd00039

Freezing / Unfreezing List of day.

Print, check and verify. Attached with the

source documents

fl00095

Inward Remittance Deleted

Transaction List

fd00096

Outward Remittance Deleted

Transaction List

4.1.2

Listed the error correction of respective

reversal transaction performed by branch. To
print, check and verify against the source of
documents.

Checked
by

Authorized
by

Checked
by

Authorized
by

List of Reports Retrieve from Branch Share Folder

Report ID

Report Name (Chinese)

Report Name ( English)

Staff Transaction Report (Daily)

N/A

Back dating Transaction Report (Daily)

Cashier Order Outstanding for the month (Monthly)

Remarks

Print, verify and

authorized with the
source of
documents and
ensure no
abnormalities
To print and ensure
no stale CO

Print
Y/N

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

4.1.3

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 10 to 21

List of Reports Generated by IBG System

Report ID

Report Name (Chinese)

Remarks

Print
Y/N

IBG Outward Summary

Print, verify and reconcile against

the source of documents (FOVA
validation slip).

IBG Outward Details (Successful)

Print and verify against FOVA

validation for discrepancy; if any

IBG Outward Details (Pending)

View to ensure no outstanding. If

listed, pint, investigate and rectify
immediately.

Report Name ( English)

View daily.
To print if there are items listed
and verify with source of
documents.

IBG Outward Return Details

Print, if items listed

IBG Inward Summary

Print, verify and reconcile against

the source of documents.

IBG Inward Details

Print details listing for crediting to

customer account at FOVA.

IBG Inward Return Details

Print, if items listed.

IBG Outward Details (Deleted)

N/A

N/A
IBG Outward Details (Rejected)

Checked
by

Authorized
by

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 11 to 21

4.2 FSD
4.2.1

List of Reports Retrieve from CBRS

Report ID

Report Name

Report Name ( English)

Remarks

Print
Y/N

To extract in excel format

and view by Chin Peng daily

fa00001

ICBC On-Sheet Daily A/c (Branch SubOriginal Currency)

fa00009

ICBC Off-Sheet Daily A/c

(BranchSub-OrigCcy)

fa00101

Branch Error Check List of Saving

fa00103

Movement Bal Checklist

fa00105

Internal Account Off-Balance Sheet Account

Overdrawn List

fd00035

Error List In Interest Calculation

(Current-loans)

fd00036

List Error Processing Provision of Interest

Received/Payable

fd00085

HO/Branch Error Check Sum Tab

fr00007

Interest Payable Auto A/c Handle Error List

fr00009

Interest Calculation Error List

To view, if items listed

investigate and prepare
inquiry form to affected
branch
To view and print only
whenever there is items
listed

To view any abnormalities, if

yes print and investigate

N
N

Checked
by

Authorized
by

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 12 to 21

4.2.1

List of Reports Retrieve from CBRS

4.2.2

List of Reports Retrieve from Head Office Reports Share Folder

Report ID

Report Name
RM100

000.00

N/A

4.2.3

Remarks

Print
Y/N

Internal Account Amount more than RM100,000.00

To view any abnormalities

Internal Current Account

To view any abnormalities

Internal Account Must be Zero Balance

To view and ensure suspend

account duly cleared and
accounted for.

Manual Adjustment for Batch Run Entries

To view any abnormalities

Reversal Transaction

To view any abnormalities

Checked
by

Authorized
by

Checked
by

Authorized
by

List of Reports Retrieve from IBG System

Report ID

Report Name

IBGddmm-ICBC.txt

prsmmyy

IBG

Report Name ( English)

N/A

Report Name ( English)

Remarks

Print
Y/N

Interbank GIRO Settlement Report

To reconcile and ensure

sufficient fund for IBG
settlement

Distributed Settlement Details list

To reconcile and ensure tally

with IBG Net Movement
Report

IBG Net Movement Report

To reconcile and ensure tally

with IBG report from MyClear

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 13 to 21

4.3 Reports Retention Period (Branch)

REPORT ID

REPORT TITLE

PURPOSE

RETENTION
PERIOD

CHECKED AND
SIGNED BY

fa00001

ICBC On-Balance Sheet Daily Account

(Branch Sub and Original Currency)

To review branch sales and deposit performance

3 years

Senior Executive
/ BM / DBM

fa00106

Opening and Closing of Account List

To reconcile account open and closed against source of documents

for the day

7 years

Senior Executive
/ BM / DBM

fa00107

Account Error Correction and Reverse Transaction List.

To ensure error correction are appropriate and accounted for.

7 years

Senior Executive
/ BM / DBM

fd00008

Dorman Account Status

To act according to the Dorman Operation Manual

7 years

Senior Executive
/ BM / DBM

fd00010

Intra-city Exchange Outward Agreement Print List

To reconcile total outward cheque clearing for the day

3 years

Officer /
Executive

fd00018

Intra City Outward Offset Upon Receipt Time Entry List

To display total outward cheque float auto release for the day

3 years

Officer /
Executive

fd00019

Intra-City Outward Offset Upon receipt Non Time Entry List.

3 years

Officer /
Executive

fd00035

Error List In Interest Calculation (Current & Loans)

3 years

Senior Executive
/ BM / DBM

fd00039

Freezing / Unfreezing List of day.

7 years

Senior Executive
/ BM / DBM

fd00049

Details of To Close Account

3 years

Officer /
Executive

fl00095

Inward Remittance Deleted Transaction List

fd00096

Outward Remittance Deleted Transaction List

Display unsuccessful outward cheque auto release float. Branch to

ensure NIL balance everyday. Report to FOVA application support
at FSD, if any items display.
Display unsuccessful saving and current account interest credit or
error interest calculation. To ensure items display accounted for.
Report to FOVA application team at FSD for unsolved items.
To reconcile and ensure request appropriate input and accounted
for.
Display account had turn into dormant and action to close the
account.

To Reconcile with error correction of respective reversal

transaction performed by branch.

7 years
Senior Executive / BM / DBM

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 14 to 21

4.3 Report Retention Period (Branch) (cont)

PURPOSE

RETENTION
PERIOD

CHECKED AND
SIGNED BY

Staff Transaction Report (Daily)

To ensure staffs did not perform own transaction and abnormalities

7 years

Senior Executive
/ BM / DBM

Back dating Transaction Report (Daily)

To ensure back dating transaction no miscounted and abnormalities

7 years

Senior Executive
/ BM / DBM

Cashier Order Outstanding for the month (Monthly)

To ensure cashier order outstanding not more than 6 months

7 years

Senior Executive
/ BM / DBM

IBG Outward Summary

Reconciliation to ensure all IBG transaction debited at FOVA are

transmitted to MyClear

7 years

Officer /
Executive

IBG Outward Details (Successful)

Reconciliation against details debited customers account at FOVA

system

7 years

Officer /
Executive

IBG Outward Details (Pending)

To ensure all outward IBG are appropriate approved and

transmitted to MyClear.

3 years

Officer /
Executive

IBG Outward Details (Deleted)

Reconciliation to ensure Outward Return items accounted for.

3 years

Officer /
Executive

IBG Outward Details (Rejected)

To ensure outward rejected items accounted for.

3 years

Officer /
Executive

IBG Outward Return Details

To ensure return transaction duly attended and credited to customer

account at FOVA system.

3 years

Officer /
Executive

IBG Inward Summary

Reconciliation to ensure all items received from MyClear

3 years

Officer /
Executive

IBG Inward Details

To ensure all items received from MyClear are credited to

customers account on time.

3 years

Officer /
Executive

IBG Inward Return Details

To reconcile and ensure rejected items duly attended and

accounted for.

3 years

Officer /
Executive

REPORT ID

REPORT TITLE

N/A

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 15 to 21

4.3 Reports Retention Period (FSD)

REPORT ID

fa00001
fa00009

REPORT TITLE
ICBC On-Balance Sheet Daily Account (Branch Sub and Original
Currency)

ICBC Off-Sheet Daily Account (Branch Sub and Original

Currency)

RETENTION
PERIOD

CHECKED AND
SIGNED BY

To extract to excel format daily and review the

deposit and loan base or any abnormalities.

3 years

Senior Executive
/ BM / DBM

Display trade finance product and to extract to excel

format daily and review and abnormalities.

3 years

Senior Executive
/ BM / DBM

PURPOSE

fa00101

Branch Error Check List of Saving

Display unbalance saving transactions performed

by respective branch. To investigate and ensure
outstanding listed rectify.

3 years

Senior Executive
/ BM / DBM

fa00105

Internal Account Off-Sheet Account Overdraft List

Display overdraft balance for off balance sheet

internal account. To view and ensure
accountabilities

3 years

Senior Executive /
BM / DBM

fd00035

Error List In Interest Calculation (Current-loans)

Display unsuccessful interest calculating or

crediting.

3 years

Officer /
Executive

fr00007

Interest Payable Auto A/c Handle Error List

Display unsuccessful interest payable calculating

3 years

Officer / Executive

Internal Account Amount more than RM100,000.00

To view no abnormalities transactions

3 years

Officer / Executive

Internal Current Account

To view no abnormalities transactions

3 years

Officer / Executive

Internal Account Must be Zero Balance

To ensure suspend account duly cleared and

accounted for.

3 years

Officer / Executive

N/A

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 16 to 21

4.4 Reports Retention Period (FSD) (cont)

PURPOSE

RETENTION
PERIOD

CHECKED AND
SIGNED BY

Manual Adjustment for Batch Run Entries

To view and ensure manual adjustment accounted

for.

3 years

Officer / Executive

Reversal Transaction

To ensure reversal and error correction accounted

for.

3 years

Officer / Executive

Interbank GIRO Settlement Report

To reconcile total IBG settlement with MyClear

7 years

Distributed Settlement Details list

To reconcile total IBG settlement with MyClear

7 years

IBG Net Movement Report

To reconcile total IBG settlement with MyClear

7 years

REPORT ID

REPORT TITLE

N/A

IBGddmm-I
CBC.txt
prsmmyy
IBG

Officer /
Executive
Officer /
Executive
Officer /
Executive

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 17 to 21

4.5 Inquiry Form

Note: Inquiry from FSD send to branch
Case Reference No.
Raised by
Discrepancy on report no.
Details of discrepancy

Date
Department

Date of receipt
Branch/HQ Department
Findings

Received by

Action
Required
Rectification

Verified by / Signature

Date of Resolution

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 18 to 21

4.6 Discrepancy Reporting

Date

To

: Head, Human Resource and Administration Department

: Head, Finance and Settlement Department
: Head, Branch Administration Department

From

: Branch Manager, ____________________ Branch

Type of Report Discrepancy:

*Shortage/Excess/Others

Date Incurred:

Time:

Incurred By:

Designation:

Account No.:

Account Name:

Check/Verify By:

Designation:

Date
Recovered/Refunded:
Date Report to Police (if applicable)

Amount:

Recovered By:
Report No.:

Amount:
Police Station:

Fact of the incident:

Comment by checking/verifying Officer

Actions taken to recover/refund amount of discrepancy

Branch Manager/Deputy Branch Manager Comment

.
(Staff incurred amount of discrepancy)

Checked/Verified By

.
BM/DBM

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

Part 5: Screen Snapshot

5.1 CBRS

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 19 to 21

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

5.1 CBRS (cont)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 20 to 21

GUIDELINES OF HANDLING REPORTS

FOR BRANCH AND FSD
Industrial and Commercial Bank of China (Malaysia)

5.2 CBRS (cont)

Version Number: 1.0

Edition Number: 1

Date: December 2012

Page 21 to 21