User Guide ExportDocumentaryCollectionBooking
Export Documentary Collection Booking User GuideOracle Banking Trade Finance Process ManagementRelease 14.6.1.0.0Part No. F61853-01August 2022
Oracle Banking Trade Finance Process Management - Export Documentary Collection Booking User guideOracle Financial Services Software LimitedOracle ParkOff Western Express HighwayGoregaon (East)Mumbai, Maharashtra 400 063IndiaWorldwide Inquiries:Phone: 91 22 6718 3000Fax: 91 22 6718 3001www.oracle.com/financialservices/Copyright 2022, Oracle and/or its affiliates. All rights reserved.Oracle and Java are registered trademarks of Oracle and/or its affiliates. Other names may be trademarks of their respectiveowners.U.S. GOVERNMENT END USERS: Oracle programs, including any operating system, integrated software, any programs installedon the hardware, and/or documentation, delivered to U.S. Government end users are “commercial computer software” pursuant tothe applicable Federal Acquisition Regulation and agency-specific supplemental regulations. As such, use, duplication, disclosure,modification, and adaptation of the programs, including any operating system, integrated software, any programs installed on thehardware, and/or documentation, shall be subject to license terms and license restrictions applicable to the programs. No otherrights are granted to the U.S. Government.This software or hardware is developed for general use in a variety of information management applications. It is not developed orintended for use in any inherently dangerous applications, including applications that may create a risk of personal injury. If you usethis software or hardware in dangerous applications, then you shall be responsible to take all appropriate failsafe, backup,redundancy, and other measures to ensure its safe use. Oracle Corporation and its affiliates disclaim any liability for any damagescaused by use of this software or hardware in dangerous applications.This software and related documentation are provided under a license agreement containing restrictions on use and disclosure andare protected by intellectual property laws. Except as expressly permitted in your license agreement or allowed by law, you maynot use, copy, reproduce, translate, broadcast, modify, license, transmit, distribute, exhibit, perform, publish or display any part, inany form, or by any means. Reverse engineering, disassembly, or decompilation of this software, unless required by law forinteroperability, is prohibited.The information contained herein is subject to change without notice and is not warranted to be error-free. If you find any errors,please report them to us in writing.This software or hardware and documentation may provide access to or information on content, products and services from thirdparties. Oracle Corporation and its affiliates are not responsible for and expressly disclaim all warranties of any kind with respectto third-party content, products, and services. Oracle Corporation and its affiliates will not be responsible for any loss, costs, ordamages incurred due to your access to or use of third-party content, products, or services.
ContentsOracle Banking Trade Finance Process Management . . . . . . . . . . . . . . . . . . . . . . . . . .1Overview. 1Benefits. 1Key Features . 1Export Documentary Collection Booking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2Common Initiation Stage. 2Registration . 3Application Details . 5Collection Details. 6Miscellaneous. 8Document Linkage. 9OBTF-OBTFPM Bi-Directional Flow . 13Data Enrichment . 13Main Details . 16Document Details . 19Other Details. 22Shipment Details . 23Maturity Details . 29Additional Fields . 33Advices . 35Additional Details. 38Settlement Details . 54Summary . 55Exceptions. 59Exception - Amount Block . 59Exception - Know Your Customer (KYC). 60Exception - Limit Check/Credit . 62Multi Level Approval. 64Authorization Re-Key (Non-Online Channel). 64Summary . 65Reject Approval. 66Summary . 67Action Buttons . 67Reference and Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .69References. 69Documentation Accessibility. 69Feedback and Support. 69
Oracle Banking Trade Finance Process ManagementWelcome to the Oracle Banking Trade Finance Process Management (OBTFPM) User Guide. This guideprovides an overview on the OBTFPM application and takes you through the various steps involved in creatingand processing Trade Finance transactions.This document will take you through following activities in OBTFPM: To create and handle Trade Finance transaction. Helpusers to conveniently create and process Trade Finance transactionOverviewOBTFPM is a Trade Finance middle office platform, which enables bank to streamline the trade financeoperations. OBTFPM enables the customers to send request for new Trade Finance transaction either byvisiting the branch (offline channels) or through SWIFT/Trade Portal/other external systems (online channels).BenefitsOBTFPM helps banks to manage Trade Finance operations across the globe in different currencies. OBTFPMallows you to: Handle all Trade Finance transactions in a single platform. Provides Providesupport for limit verification and limit earmarking.amount block support for customer account. Provides Enablesacknowledgement to customers.the user to upload related documents during transaction. Enablesto Integrate with back end applications for tracking limits, creating limit earmarks, amountblocks, checking KYC, AML and Sanction checks status. Create,track and close exceptions for the above checks. Enablesto use customer specific templates for fast and easy processing of trade transactions thatreoccur periodically.Key Features Stand-alone Minimum Fasterchanges required to integrate with bank’s existing core systems.time to market. Capable Highlysystem that can be paired with any back end application.to interface with corporate ERP and SWIFT to Corporate.configurable based on bank specific needs. Flexibilityin modifying processes.1
Export Documentary Collection BookingExport Documentary Collection Booking process enables the Drawee (exporter) to collect payment fordocument under collection from the Drawer (Importer) through intermediate banks (Remitting/CollectingBank).This section contains the following topics:Common Initiation StageDocument LinkageExceptionsMulti Level ApprovalReject ApprovalCommon Initiation StageThe user can initiate the new shipping guarantee request from the common Initiate Task screen.1. Using the entitled login credentials, login to the OBTFPM application.2. Click Trade Finance Initiate Task.Provide the details based on the description in the following table:FieldDescriptionProcess NameSelect the process name to initiate the task.Customer IDSelect the customer id of the applicant orapplicant’s bank.BranchSelect the branch.2
Action ButtonsUse action buttons based on the description in the following table:FieldDescriptionProceedTask will get initiated to next logical stage.ClearThe user can clear the contents update and caninput values again.RegistrationThe process starts from Registration stage, during Registration stage, user can capture the basic detailsof the transaction and upload related documents. On submit, the request will be available for an collectionexpert to handle the request in the next stage.1. Using the entitled login credentials for Registration stage, login to the OBTFPM application.3
2. On login, user must be able to view the dashboard screen with widgets as mapped to the user profile.3. Click Trade Finance Export - Documentary Collection Export Documentary CollectionBooking.The registration stage has two sections Application Details and Collection Details. Let’s look at the detailsof registration screens below:4
Application DetailsProvide the Basic Details based on the description in the following table:FieldDescriptionSample ValuesDrawerProvide the Drawer ID.Alternatively, user can search the Drawingreference number using LOV.In the LOV, user can search giving anycombination details of party ID and the PartyName to fetch the drawing details. Based on thesearch result, select the applicable Drawer.NoteIf the selected Drawer ID/party isblacklisted the system displays awarning message.BranchRead only field.Branch details will be auto-populated based onthe selected Drawer ID from the LOV.Bill AmountSelect the Bill currency and provide the BillAmount.Amount In Local CurrencySystem fetches the local currency equivalentvalue for the LC amount from back office (withdecimal places).Process ReferenceNumberUnique OBTFPM task reference number for thetransaction.This is auto generated by the system based onprocess name and branch code.5203-BankFutura -BranchFZ1
FieldDescriptionSample ValuesCustomer ReferenceNumberProvide the customer reference number ifavailable.PrioritySystem will populate the priority of the customerbased on priority maintenance. If priority is notmaintained for the customer, system will populate'Medium' as the default priority. User can changethe priority populated any time before submit.HighSubmission ModeSelect the submission mode of ExportDocumentary Collection Booking request. Bydefault the submission mode will have the valueas ‘Desk’.DeskDesk- Request received through DeskCourier- Request received through CourierBooking DateBy default, the application will display branch’scurrent date.04/13/2018Collection DetailsRegistration user can provide collection details in this section. Alternately, details can be provided by DataEnrichment user.Provide the Liquidation Details based on the description in the following table:FieldDescriptionSample ValuesDocuments ReceivedSelect the number of sets ofdocuments received: First Second BothTenor TypeProvide the tenor details based on the documentreceived.Product CodeSelect the product code for the collectionbooking.Product DescriptionRead only field.This field displays the description of the productas per the product code.6
FieldDescriptionSample ValuesOperation TypeRead only field.Operation type will be defaulted based on theproduct code.User can book a documentary collection usingthe Operation Type as FOP, to indicate if thedocuments are to be delivered Free of Paymentto the Drawee by the Collecting Bank.StageSelect the stage from the following options: Initial FinalBy default, stage is set to ‘Initial’.NoteFor Operation Type, FOP the Stage to bedefaulted to Final as Free of Payment is notapplicable for Bills in Initial stage.Contract ReferenceNumberSystem to populate contract reference numberfrom the back end system once the product codeis selected.User Reference NumberUser reference number is defaulted based on thedescription of the product as per the productcode.DraweeSelect the Drawee from LOV.NoteIf the selected drawee/ party isblacklisted the system displays awarning message.Collecting BankSelect the collecting bank from LOV.NoteThis field is not applicable if thedocuments are to be received directly byDrawee.Finance AmountProvide the amount that requires finance.Limit verification requiredToggle On- Enables for limit verification.If the toggle is disabled and Finance amount hasbeen provided, the system prompts an overridemessage on Submit.7
FieldDescriptionSample ValuesCustomer DispatchThe value will be populated from back officebased on the maintenance.Toggle On: If the toggle is set to Yes, thecustomer has the option to dispatch thedocuments directly to the importer’s bank.Toggle Off: If the toggle is set to No, the bankhas to dispatch the documents to the importer’sbank.Bank user is not allowed to edit the field, if thevalue defaulted from the back office is “No”,MiscellaneousProvide the Miscellaneous Details based on the description in the following table:FieldDescriptionSample ValuesDocumentsUpload the documents received under theDocumentary Collection.RemarksProvide any additional information regarding thecollection. This information can be viewed byother users handling the request.Customer InstructionsClick to view/ input the following StandardInstructions – In this section, thesystem will populate the details of StandardInstructions maintained for the customer.User will not be able to edit this. TransactionLevel Instructions – In thissection, OBTFPM user can input anyCustomer Instructions received as part oftransaction processing. This section will beenabled only for customer initiatedtransactions.8
FieldDescriptionSample ValuesCommon Group MessageClick Common Group Message button, to sendMT799 and MT999 messages from within thetask.ChecklistMake sure that the details in the checklist arecompleted and acknowledge. If mandatorychecklist items are not selected, system willdisplay an error on submit.Action ButtonsSubmitOn submit, task will move to next logical stage ofExport Documentary Collection Booking.If mandatory fields have not been captured,system will display an error message until themandatory fields data are provided.Save & CloseSave the information provided and holds the taskin ‘My Task’ queue for working later.This option will not submit the request.CancelCancels the Export Documentary CollectionBooking Task. Details entered will not be savedand the task will be removed.HoldThe details provided will be saved and status willbe on hold.User must update the remarks on thereason for holding the task.This option is used, if there are any pendinginformation yet to be received from applicant.Document LinkageThe user can link an existing uploaded document in any of the process stages.In OBTFPM, system should display Document Ids available in the DMS system. In DMS system, thedocuments can be Uploaded and stored for future access. Every document stored in DMS will have aunique document id along with other Metadata. The uploaded Document image in the DMS should beavailable/queried in the Process flow stage screens to link with the task by using the Document ID.System displays the Documents ids which is not linked with any of the task. Mid office should allow eitherupload the document or link the document during task processing. The Mid office should allow to Link thesame Document in multiple tasks.1. Navigate to the Registration screen.9
2. On the header of Registration screen, click Documents button. The Document pop-up screenappears.3. Click the Add Additional Documents button/ link. The Document screen appears.FieldDescriptionSample ValuesDocument TypeSelect the Document type from list.Indicates the document type from metadata.Document CodeSelect the Document Code from list.Indicates the document Code from metadata.Document TitleSpecify the document title.10
FieldDescriptionSample ValuesDocument DescriptionSpecify the document description.RemarksSpecify the remarks.Document Expiry DateSelect the document expiry date.Link DocumentThe link to link the existing uploaded documentsfrom DMS to the workflow task.4. Select the document to be uploaded or linked and click the Link Document link. The link Documentpop up appears.The value selected in Document Type and Document code of Document screen are defaulted in theLink Document Search screen.5. Click Fetch to retrieve the details from DMS. System Displays all the documents available for the givenDocument Type and Document Code for the Customer.FieldDescriptionSample ValuesCustomer IDThis field displays the transaction Customer ID.Document IDSpecify the document Id.Document TypeSelect the document type from list.Document CodeSelect the document code from list.Search ResultDocument IDThis field displays the document Code from metadata.Customer IDThis field displays the transaction Customer ID.Document TypeThis field displays the document type from metadata.Document CodeThis field displays the document code from metadata.11
FieldDescriptionSample ValuesLink DocumentThe link to link the existing uploaded documentsfrom DMS to the workflow task.6. Click Link to link the particular document required for the current transaction.Post linking the document, the user can View, Edit and Download the document.7. Click Edit icon to edit the documents. The Edit Documents12
OBTF-OBTFPM Bi-Directional Flow1. In OBTFPM, user clicks on Request Clarification, the system checks if the request is initiated fromOBDX by validating the value available in the submission mode field is “Online”. In case submissionmode is “Online”, the user can enter the clarification details in “Clarification Required” placeholder.2. In case submission mode is not “Online”, the system will validates if the counterparty is a OBDXcustomer by checking the flag “Trade Finance Portal” in the Customer Maintenance table replicatedfrom OBTF. In this case, the user can submit clarification.3. In case submission mode is not “Online”, and if the “Trade Finance Portal” flag is set to ‘No’ in CustomerMaintenance Table, the system should display the error message that ‘The customer is not subscribedto Trade Finance Portal’.4. Once the request is submitted, the Request Clarification functionality would be applicable to offlineinitiated transactions also.Data EnrichmentOn successful completion of Registration of an Export Documentary Collection Booking, the task movesto Data Enrichment stage. At this stage the gathered information during registration are validated.NoteFor expired line of limits, the task moves to “Limit Exception” stage under Free Tasks, on ‘Submit’ ofDE Stage with the reason for exception as “Limit Expired”.Do the following steps to acquire a task currently at Scrutiny stage:1. Using the entitled login credentials for Data Enrichment stage, login to the OBTFPM application.13
2. On login, user must be able to view the dashboard screen with widgets as mapped to the user profile.3. Click Trade Finance Tasks Free Tasks.14
4. Select the appropriate task and click Acquire & Edit to edit the task or click Acquire to edit the taskfrom My Tasks.5. The acquired task will be available in My Tasks tab. Click Edit to scrutinize the registered task.The data enrichment stage has the following hops for data capture: MainDetails Document OtherDetailsDetails Shipment MaturityDetailsDetails AdditionalFields Advices AdditionalDetails SettlementDetails SummaryLet’s look at the details for data enrichment stage. User can enter/update the following fields. Some of theapplication details that are already having value from Registration channels may not be editable.15
Main DetailsMain details section has two sub section as follows: Application CollectionDetailsDetailsApplication DetailsAll fields displayed under Basic details section, would be read only except for the Priority. Refer toApplication Details for more information of the fields.Collection DetailsThe fields listed under this section are same as the fields listed under the Collection Details section inRegistration. Refer to Collection Details for more information of the fields. During Registration, if user hasnot captured input, then user can capture the details in this section.NoteIn case field Operation Type has value FOP (Free of Payment) that is populated from OBDX, systemshould retain the value and should not allow the user to edit the same.(Display only field if Submissionmode is Online.16
Action ButtonsUse action buttons based on the description in the following table:FieldDescriptionSample ValuesClarification DetailsClicking the button opens a detailed screen, usercan see the clarification details in the window andthe status will be Clarification Requested.DocumentsClick the Documents icon to View/Upload therequired documents.Application will display the mandatory andoptional documents.The user can view and input/view applicationdetails simultaneously.When a user clicks on the uploaded document,Document window get opened and on clicking theview icon of the uploaded document, Applicationscreen should get split into two. The one side ofthe document allows to view and on the otherside allows to input/view the details in theapplication.RemarksClick the Remarks icon to provide any additionalinformation. This information can be viewed byother users processing the request.Content from Remarks field should be handed offto Remarks field in Backend application.OverridesClick to view the overrides accepted by the user.Customer InstructionsClick to view/ input the following StandardInstructions – In this section, thesystem will populate the details of StandardInstructions maintained for the customer.User will not be able to edit this. TransactionLevel Instructions – In thissection, OBTFPM user can input anyCustomer Instructions received as part oftransaction processing. This section will beenabled only for customer initiatedtransactions.Common GroupMessagesClick Common Group Message button, to sendMT799 and MT999 messages from within thetask.Request ClarificationUser should be able to submit the request forclarification to the “Trade Finance Portal” User forthe transactions initiated offline.Save & CloseSave the details provided and holds the task in‘My Task’ queue for further update.This option will not submit the request.17
FieldDescriptionSample ValuesCancelCancel the Data Enrichment stage inputs. Thedetails updated in this stage are not saved. Thetask will be available in 'My Task' queue.HoldThe details provided will be saved and status willbe on hold.User must update the remarks on thereason for holding the task.This option is used, if there are any pendinginformation yet to be received from applicant.RejectOn click of Reject, user must select a RejectReason from a list displayed by the system.Reject Codes: R1-Documents missing R2-Signature Missing R3-Input Error R4-Insufficient Balance/Limits R5- Others.Select a Reject code and give a RejectDescription.This reject reason will be available in the remarkswindow throughout the process.ReferUser must select a Refer Reason from the valuesdisplayed by the system.Refer Codes: R1-Documents missing R2-Signature Missing R3-Input Error R4-Insufficient Balance/Limits R5Next- Others.On click of Next, system should validate if all themandatory fields have been captured. Necessaryerror and override messages to be displayed. Onsuccessful validation, system moves the task tothe next data segment.18
Document DetailsThis section enables the user to capture the details of the documents received.Capture the information based on the description in the following table:FieldDescriptionSample ValuesDocument CodeSelect the document code from the LOV basedon the document received. User can add ordelete the code by deleting the line on the grid.Document TypeSystem will populate the document type based onthe document code.Document DescriptionSystem will populate the document descriptionbased on the document code. User can edit thedescription.Document ReferenceEnables the user to capture the documentreference.Copies ReceivedProvide the number copies received from theDrawer. User can edit the actual copies received.Originals ReceivedProvide the number of original documentsreceived from the Drawer. User can edit theactual originals received.Document DateUser can edit the date on which the document isreceived.On click of ‘Next’ system should validate thevalue in this field against the transport document/Bill of Lading (MARDOC) against anyOutstanding Shipping Guarantees issued for thedrawee and is not linked to any DocumentaryCollection or Import Letter of Credit. Systemshould default the Shipping Guarantee Referencein the next screen.ActionClick Edit icon to edit the document code/document date.Click Delete icon to delete the document code.19
Action ButtonsUse action buttons based on the description in the following table:FieldDescriptionSample ValuesClarification DetailsClicking the button opens a detailed screen, usercan see the clarification details in the window andthe status will be Clarification Requested.DocumentsClick the Documents icon to View/Upload therequired documents.Application will display the mandatory andoptional documents.The user can view and input/view applicationdetails simultaneously.When a user clicks on the uploaded document,Document window get opened and on clicking theview icon of the uploaded document, Applicationscreen should get split into two. The one side ofthe document allows to view and on the otherside allows to input/view the details in theapplication.RemarksClick the Remarks icon to provide any additionalinformation. This information can be viewed byother users processing the request.Content from Remarks field should be handed offto Remarks field in Backend application.OverridesClick to view the overrides accepted by the user.Customer InstructionsClick to view/ input the following StandardInstructions – In this section, thesystem will populate the details of StandardInstructions maintained for the customer.User will not be able to edit this. TransactionLevel Instructions – In thissection, OBTFPM user can input anyCustomer Instructions received as part oftransaction processing. This section will beenabled only for customer initiatedtransactions.Common GroupMessagesClick Common Group Message button, to sendMT799 and MT999 messages from within thetask.Request ClarificationUser should be able to submit the request forclarification to the “Trade Finance Portal” User forthe transactions initiated offline.Save & CloseSave the details provided and holds the task in‘My Task’ queue for further update.This option will not submit the request.20
FieldDescriptionSample ValuesCancelCancel the Data Enrichment stage inputs. Thedetails updated in this stage are not s
Document Type System will populate the document type based on the document code. Document Description System will populate the document description based on the document code. User can edit the description. Document Reference Enables the user to capture the document reference. Copies Received Provide the number copies received from the Drawer.
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