IT management in the major European banking groups
Contents
1. The new password can contain letters and numbers and should have at least 8 characters After the password has been changed the system will request the authentication procedure to be followed again using the new password Authentication keys should be kept with due care it will be necessary to apply to the Technical CIPA Secretariatfor new ones if they are lost or forgotten When authentication has been completed users will have access to the Data collection website which is reserved to CIPA and from which it will be possible to download the questionnaire and the other documents available If the credentials are not available lost or not received please contact the CIPA Secretariat by phone or e mail details on next page Reserved Area The collection of data via the Internet for the IT management in the major European banking groups survey is carried out by the Data Collection Unit of the Bank of Italy a section has been created within this unit devoted to CIPA The questionnaire in PDF format must not be enabled until it has been downloaded to the hard disc of the local PC 10 wv In addition to the instructions contained in this manual users should consult the User Manual Partner role Sending of Check of personal Download of the Off line completion questionnaire data data already on questionnaire to of the to the CIPA the system the local PC questionnaire Secretariat Before downloading a ques2. directory If the Data collection website has been accessed using a browser other than Internet Explorer e g Mozilla Firefox carry out the download and save the file using the standard procedure of the software used The name and extension of the file can be altered in the next phase 6 3 Rename file and open Excel directory Download the Rename file and feedback to the open Excel Print results local PC directory Personalized processing The file downloaded contains a worksheet in binary format based on the Office open XML standard ECMA 376 today ISO IEC DIS 29500 To be compatible with the Data collection website the file is transmitted in zip format it must not be unzipped but must only be renamed to make it compatible with MS Excel The name of the file downloaded is 45 characters long and can be changed The extension of the file must be changed from zip to xlsb To open the renamed file it is necessary to have the 2007 version of MS Excel installed the 2003 version can handle the file provided the compatibility pack referred to in footnote 7 of this document has been installed To install the compatibility pack the user must have administrator privileges The file can also be opened with Open Office release 3 an open source product distributed free with a GPL license This software which uses the ODF formats in accordance with the ISO IEC 26300 standard can open files produced using the Microsoft standard bu
3. 6801 fax lt segcipa cipa it Once the questionnaire PDF file has been downloaded the compiler can begin to enter the responses following the instructions contained in Section 2 Functions in the questionnaire i f beets olin the 3 Check of personal Download of the Off line nans eeso donne Behe data already on the uestionnaire to completion of the Uesli nne We deie collection website Y q p to the CIPA system the local PC uestionnaire y q Secretariat gt The User Manual Partner role in PDF format about 1 5 Mb is available within the Data Collection Unit Users should save it on the hard disc of their PC using the right hand mouse button opening the file online with Acrobat Reader could take rather a long time Where n corresponds to a letter A B etc indicating the type of questionnaire 11 wv Users are reminded that they can save the content of the responses entered using the normal Acrobat Reader save function Once the questionnaire has been completed it is necessary to generate the XML file containing all the information provided in the questionnaire It is important that the file to be sent to CIPA not contain compilation errors If users are unable to eliminate any errors they are requested to apply for help to the members of the working group belonging to the CIPA Secretariat When generating the file in XML format to be sent to the CIPA Secretariat For the sake of uniformity among the p
4. previous solution 3 YY 2 Functions in the questionnaire The new PDF questionnaire includes some functions that can be activated by the function buttons These buttons are placed at the beginning and at the end of the document as shown in Figure 1 and Figure 2 Figure 1 Function buttons at the beginning of the document Selezionare la lingua Select language Import XML data Figure 2 Function buttons at the end of the document s Wi 7 R A brief description of the functions follows 2 1 Select language This cascade menu is used to select the language of the questionnaire By selecting the chosen language the questionnaire items are dynamically updated Two languages are available Italian and English 2 2 Print The Print function opens up the regular print window from which all the options for printing out the document can be selected The Print function is always enabled 4 Q Figure 3 Print window Nome Stato Pronta Tipo Adobe PDF Converter Intervallo Tutte Vista corrente Pagina corrente Paging 1 12 Documento Sottoinsieme Tutte le pagine nell intervallo 7 r Inverti pagine Gestione pagine Copie 1 IV Fascicola Ridimensionamento pagina Jadatta all area di stampa 7 V Ruota automaticamente e centra I Scegli alimentazione secondo dimensioni pagina PDF F Use Formato carta personalizzato se necessario I Stampa su file I Sta
5. Associazione Bancaria Italiana IT management in the major European banking groups Survey 2011 Guide to completing the electronic questionnaire Contents 1 The new electronic QUESTIONNAILEC ccccsceccccscsccccccscsccccccscsccccccscsceccccscssesceens 3 2 Functions in the questionnaire s ssesesessesessesesossesosoecesoesesoscesosoesssoesesoesessesee 4 3 Replacing the old version Of the QUESTIONNAILFEC sccccscsccscsceccsceccsceccccsseccncs 8 4 Downloading and completing the questionnaire ccscscsssscscsccccccscscecccens 10 5 Functions available on the Data collection Website ssssssscsscsscsssescceees 14 6 Download the feedback esssossssossssossssossssessoseseosesssssssessosssessssesssssessoseoeo 16 2 amp 1 The new electronic questionnaire Since two years now the Technical CIPA Secretariat produces the electronic questionnaire in PDF format an improvement on the previous Excel 2003 version This technological change brings numerous advantages e it permits the use of more functions and more stringent checks when answering the questions thus helping and informing users about the consistency and correctness of their data e it is an improvement on the now obsolete tool which in some rare cases made it impossible for the spreadsheet to work properly and required the data to be sent using non conventional methods e it guarantees wider portability than the
6. ILEVAZIONE ities avaiable 020 DELLO STATO QUESTIONARIO New communication 2011 07 11 13 47 00 0 010000320000 020 5 DELL AUTOMAZIONE g CIPA RILEVAZIONE 020 DELLO STATO 001 QUESTIONARIO New communication 2011 06 27 15 17 40 0 010000320000 020 5 DELL AUTOMAZIONE pees CIPA RILEVAZIONE 020 DELO IAT oot QUESTIONARIO New communication 2011 06 14 16 55 36 0 o10000320000 020 5 2 Helpdesk DELL AUTOMAZIONE an e e E Log off CIPA RILEVAZIONE 020 DELL AUTOVATIONE osnon New communication oes 12 35 34 0 mn U user manual CIPA RILEVAZIONE ie g 020 a en smn New communication oes 12 22 03 0 nan C itaiano Number of messages Messages dated O On the next page Figure 11 click on the green symbol of the download of the row called Payload Message text 17 wv Figure 11 Data collection Payload Messages Message details Received Process code Process Msg type Object Message id Message timestamp From CIPA RILEVAZIONE 020 DELLO STATO QUESTIONARIO 010000320000 020 510 20110711 13465488 2011 07 11 13 47 00 0 Banca DELL AUTOMAZIONE Part View Download Description ebxml Envelope details Message text Envelope Envelope details Payload Message text ECE In the next pop up menu Download file click on save see Figure 12 Figura 12 Data collection Download Messages Message details Received Process code Process Msg type Object Message id Mess
7. age timestamp From CIPA RILEVAZIONE 020 DELLO STATO QUESTIONARIO 010000320000 020 510 20110711 13465488 2011 07 11 13 47 00 0 Banca d It DELL AUTOMAZIONE Part View Download Description ebxml B Envelope details Message text Envelope Envelope details D load del fil x Payloa 7 B ownioa e x Aprire o salvare il file Nome 0000 020 510 20110711 13465488PAYLOAD TXT Tipo Documento di testo 32 byte Da racdati bancaditalia it po e EE MLT y file scaricati da Intemet possono essere utili ma alcuni file possono C danneggiare i att z non aprire o salvare il file Quali rischi si cormono In the Save in field enter the name of the directory where the data are to be memorized and in the File name field enter a name to replace the code assigned by the system e g FRtt_xxxx where tt is the type of flow downloaded BA bank GR group GI international group and xxxx s the ABI code used to send the questionnaire Check that the Save as field contains the words zip file and click on Save Figure 13 18 wv Figure 13 Data collection Saving the feedback Th ennah mebhiethods Integration Server Microsoft intemet Explorer g gt l l nla x Th Foiea Valisa te Frai _ _ a i Qran O A FO Pow fen OS U ne gt OP x Raccolta dati A Seeonee Having carried out the operation check that the file FRtt_xxxx zip is memorized in the chosen
8. ame The field must not be left blank Warning Data on the compiler and the unit Address The field must not be left blank Warning Data on the compiler and the unit ZIP Code The field must not be left blank Warning Data on the compiler and the unit City The field must not be left blank Warning Data on the compiler and the unit Province The field Obligatory Data on the compiler and the unit Email The field Warning Data on the compiler and the unit Email of the unit Em Warning Data on the compiler and the unit Email of the unit Email a the nET field must pa be left blank Warning 1 Total 100 The field must not be left blank Warning 2 Total The field must not be left blank Warning 3 Total The field must not be left blank Warning 4 Central systems At least one field of the row must be 1 Warning 4 Transmission systems At least one field of the row must be 1 Warning 4 Central systems Non banking component The field must not be left blank Warning 4 Central systems EU The field must not be left blank Warning 4 Central systems Non EU The field must not be left blank Warning 4 Transmission systems Banking component The field must not be left blank Warning 4 Transmission systems Non banking component The field must not be left blank Warning 4 Transmission systems EU The field must not be left blank Warning 4 Transmission systems Non EU The field must not be lef
9. articipating banks processing environments we suggest saving the file in question in the previously created directory called STAUT11 N B The XML file generated must be named according to the model cipa lt ABI code gt 11 xml For example the bank with ABI code 1234 must save and send the file cipa1234 11 xml Sending of questionnaire data to the CIPA Secretariat Check of personal Download of the Off line completio data already on the questionnaire to of the system the local PC questionnaire Access to the Data collection website First access the Data collection website to send the Technical CIPA Secretariatthe file containing the questionnaire data in XML format already saved on the hard disc of the PC being used and then use the send message function described in Section 5 N B the send message function allows users to send an attachment or a text message To send the questionnaire users must adopt the Attached file function in the send message procedure Figure 8 The inclusion of any other information using the Text area function will INVALIDATE the transmission of the data Figure 8 Send message Attached file Process Service Message Type Action Conversationid Conversationid RefToMessageld RefToMessageld E i e Attached File Po Seal file Fields with an rust be Filled in Text Area Send Message Send Cancel A few seconds after pres
10. ding and completing the questionnaire There now follows a description of the various stages of the process to access the Data collection website download a questionnaire fill it in and send it to the CIPA Secretariat The questionnaire is available in PDF format with a PDF extension and can be processed by any PC with Acrobat Reader installed at least version 8 1 recommended version 9 0 Sending of Check of personal Download of the Off line completion 2 Access to the data questionnaire data data already on the questionnaire to of the collection website i i to the CIPA system the local PC questionnaire Secretariat To access the Data collection website it is necessary to obtain a User ID and a password these access credentials have been supplied to all banks that may be interested in completing the questionnaire The Data collection website can be accessed via the CIPA website www cipa it and clicking through Documents gt Survey on the state of automation of the credit system gt Data collection function After entering the data collection area a panel opens for user authentication in the box user name type in the 12 figure identification code received in the envelope containing the access credentials and in the box below type in the password linked to the above identification code On first access and later when accessing the system will periodically request you to change the password
11. eedback to the open Excel Print results processing local PC directory collection website To access the Data collection website it is necessary to have the access credentials used to download the questionnaire and send the responses 6 2 Download the feedback to the local PC Download the Rename file and feedback to the open Excel Print results local PC directory Personalized processing Access to the Data collection website The file can be reached from the home page of the Data collection website by clicking on the small arrow next to Received Figure 9 The format used follows the Microsoft Office Open XML Ecma 376 standard and can be interpreted with any product able to manage this standard Microsoft introduced this standard with the 2007 Office suite but distributes free of charge a compatibility pack that installs the appropriate converter filters in the 2003 version of Office Further information is available on the Microsoft website at http office microsoft com it it support domande frequenti sui formati office open xml ecma HA010172369 aspx CTT 1 while the compatibility pack is available at http www microsoft com downloads details aspx Familyld 941B34 70 3AE9 4AEE 8F43 C6BB74CD1466 amp displaylang it amp displaylang it 16 wv Figure 9 Data collection Messages received Data collection BANCA D ITALIA 502000050210 Messages Sent wy Network della Banca d Ita
12. hown except the password a Partner the bank s data CIPA is shown in the operational unit box b Contact the data of the contact person for the specific function Generally the field does not contain information c Parameters the technical parameters used by the Data collection procedure d Access credentials the username and password for accessing the website The password can be changed 5 2 Services available Documentation contains the list of objects available for download from the Internet there are two buttons next to each object Button Corresponding action Information content Displays the content of the document Information download Downloads the object 14 amp 5 3 Send message a Attached file Function used to send a file Process service From the drop down menu select the process for which the message or file is to be sent at present the only process that can be selected is O20 CIPA RILEVAZIONE DELLO STATO DELL AUTOMAZIONE Message type action From the drop down menu select the type of message to be sent at present the only type that can be selected is 001 QUESTIONARIO Proceeding ref no Conversationld Not used Message ID reference no ReffoMessageld Not used Message payload attached file Give the complete path of the file to be sent Clicking on Scegli file the file can be selected with its complete path Send me
13. k has been completed a message appears listing any anomalies found Figure 6 Figure 5 Error detection Data on the compiler and the unit Identity of the bank ABI Code Obligatory Data on the compiler and the unit ABI Code The field must not be left blan l l Obligatory Data on the compiler and the unitl Company name The field must not be le Obligatory j Data on the compiler and the unit Name The field must not be left blank Obligatory Data on the compiler and the unit Family name The field must not be left k Obligatory j Data on the compiler and the unit First name The field must not be left bla Warning Data on the compiler and the unit Address The field must not be left blank Warning Data on the compiler and the unit ZIP Code The field must not be left blank Warning Data on the compiler and the unit City The field must not be left blank Name Warning Data on the compiler and the unit Province The field must not be left blank Obligatory j Data on the compiler and the unit Email The field must not be left blank Warning Data on the compiler and the unit Email of the unit Email and Email of the 1 Identity of the compiler of the questionnaire Warning Data on the compiler and the unit Email of the unit Email of the unit The fie Company name Identity of the international group the bank belongs to Family name First name Address ZIP Code City Province Email Email of the
14. lia Recent messages Register Send message Sent Process code Process Msg type Object Message status Message timestamp Message id speach CIPA RILEVAZIONE DELLO STATO add Asa nate erties avaiable 020 DELAUTOMAzIONS 002 QUESTIONARIO Forwarded 2011 08 02 17 44 11 0 502000050210 020 001 201108C CIPA RILEVAZIONE Log off DELLO STATO 07 cc 020 001 d 020 DELL AUTOMAZIONE 001 QUESTIONARIO Forwarded 2011 07 26 08 55 47 0 502000050210 020 001 2011072 CIPA RILEVAZIONE DELLO STATO on 020 001 z kiia 020 DELL AUTOMAZIONE 001 QUESTIONARIO Forwarded 2011 07 21 14 20 43 0 502000050210 020 001 2011072 CIPA RILEVYAZIONE DELLO STATO REN 020 001 z 020 DELL AUTOMAZIONE 001 QUESTIONARIO Forwarded 2011 07 20 15 13 21 0 502000050210 020 001 2011072 te User manual CIPA RILEVAZIONE DELLO STATO aA aana E Banca PEE SET 7 020 DELLUAUTOMAZIONE 001 QUESTIONARIO Forwarded 2011 07 20 14 13 09 0 502000050210 020 001 2011072 CBitaliano Number of messages Messages dated oO On the next page click on the green symbol at the beginning of the row that contains the relevant Feedback file Figure 10 Figure 10 Data collection Selection of the feedback Data collection BANCA D ITALIA 502000050210 Messages Received Trading Network della Banca d Italia Recent messages Register Send message Received Process code Process Msg type Object Message status Message timestamp Message id ae CIPA R
15. mpa colore come nero 2 3 Export XML Suggerimenti per la stampa Riepiloga commenti ox Annulla This function produces a file in XML format The file includes all the information in the PDF questionnaire and is needed to send the data to the CIPA Secretariat A file of this kind is also necessary to use the Import XML function described in 2 6 Section below When the button is pressed the whole questionnaire is checked automatically Only if all the obligatory fields have been filled in correctly for an explanation of obligatory fields see Section 2 4 Check for errors will it be possible to save the data If this is not the case the data export function is disabled After clicking on the button the normal save file window opens and the XML destination file path and name can be chosen Figure 4 Save exported XML file window Esporta dati modulo come 2 x Salva in e Desktop o 2 pi A Documenti fe Documenti recenti Desktop Documenti BL Risorse del computer im MEOE a cme Nome file ism STAUTI1 Salva come File XML xml v Annulla 2 4 Check for errors This function checks the correctness and consistency of the data entered into the questionnaire and shows up any anomalies 5 LY Errors are indicated in the format lt type gt lt question gt lt field gt s lt message gt Figure 5 Once the error chec
16. ormation click on the icon see Figure 7 next to the question itself Figure 7 Validation of each question 10 10 Indicate the total amount of IT costs incurred at group level in 2011 and expected in 2012 in millions of 2011 consolidated accounts 2012 budget TOO Cash out 7 Q amp Q 3 Replacing the old version of the questionnaire It is possible that while the electronic questionnaire is being completed a new PDF version will become available for download from the Data collection website If users have already begun to complete the previous version of the questionnaire there is a function key to load the data saved on the hard disc of the user s work station into the new questionnaire For more information on the export function see Section 2 3 If notice is received of a new version of the questionnaire software the user must 1 open the previously started electronic questionnaire and create the XML file containing the data stored in the local PC using the Export XML function 2 go to the Data collection website and download the PDF file of the new version of the questionnaire which will overwrite the previous version on the user s own PC 3 open the new questionnaire and load the XML file with the Import XML function The user can now continue filling in the questionnaire from the point reached before the replacement of the software BL 9 amp 4 Downloa
17. sing the Send button users will see a log with the ID of the transaction This confirms the completion of the transmission of the data to CIPA It is important to save the ID for reference in the event of problems Users can track the progress of their messages using the incoming messages function on the Data collection website 12 wv The XML file is to be sent in zipped format which requires that appropriate software be available on the PC in use If it is not already available users can easily install it following the instructions on pages 32 37 of the User Manual Partner role N B Users must not send the file Quest2011_n PDF but the file generated upon completing the questionnaire in XML format 13 wv 5 Functions available on the Data collection website The complete description of the Data collection website can be found in the User Manual Partner role referred to in the previous section This section contains only the information needed to manage the functions involved in the Survey on the state of automation of the credit system For optimal viewing the screen resolution should be at least 1024 x 768 pixel If it is not possible to configure the screen in this way we recommend using full screen mode The functions available on the Data collection website are 5 1 ID The data of the User Partner in this case the bank are shown here together with its access credentials Users cannot alter the data s
18. ssage Click to send the selected file b Text area Function for sending a text message not used in this application 5 4 Search Function for displaying the status of the messages sent in the case of Rilevazione the messages are the files sent Use the drop down menu to select the process and type of message and click on Search the system displays the list of messages sent and their status 5 5 Log off End the session 5 6 Help desk Shows the telephone number and e mail address of the technological help desk unit 5 7 User Manual Partner role This makes it possible to display and or print the complete manual on how to use the Bank of Italy s Data Collection website N B if the words at the bottom on the left are not visible change the screen setting see above or use the full screen mode 15 wv 6 Download the feedback A description follows of how the individual feedback for a bank or banking group that has participated in the survey is to be downloaded from the Data collection website The feedback consists of a Microsoft Excel worksheet containing data in Office open XML format The feedback can be processed with any PC equipped with Microsoft Excel 2007 If only Microsoft Excel 2003 is available it is also necessary to use the format converter distributed by Microsoft 6 1 Access to the Data collection website Download the Rename file and Access to the Data Personalized f
19. t owing to the incomplete coincidence of the two standards the graphs produced with Excel are not entirely faithful 19 amp 6 4 Print results Download the Rename file and feedback to the open Excel local PC directory Access to the Data collection website Personalized processing The tables and figures contained in the MS Excel worksheet can be printed in the usual way 6 5 Personalized processing Download the Rename file and Access to the Data Personalized feedback to the open Excel Print results collection website processing local PC directory The MS Excel worksheet contains all the data on the relevant bank and or group used to generate the feedback and all the averages divided by size group Starting from these data it is possible to reprocess tables and figures according to the specific needs of the individual bank or group 20 wv
20. t blank Warning 4 Peripheral systems Banking component The field must not be left blank Warning 4 Peripheral systems Non banking component The field must not be left blank Warning 4 Peripheral systems EU The field must not be left blank Warning 4 Peripheral systems Non EU The field must not be left blank Warning 4 Applications Banking component The field must not be left blank Warning 4 Applications Non banking component The field must not be left blank Warning 4 Applications EU The field must not be left blank Warning 4 Applications Non EU The field must not be left blank 2 5 Go to response After doing the error check and selecting one of the errors found the page containing the error can be displayed by SHIFT double clicking on the error 2 6 Import XML This function loads the content of an XML file created with the Export XML function Import XML can be used if CIPA produces an updated version of the questionnaire and the user has already started answering the questions in the previous version The replacement procedure is described in Section 3 below The Import XML function is always enabled 2 7 Show The menu allows the user to select the type of errors to be visualized 2 8 Validation of each question Each question has a text area on the right hand side of the page which contains information on the validation of that particular question To update this inf
21. tionnaire verify the accuracy of the personal data already on the system following the instructions in the relevant section of this manual f Sending of hte FA Check of personal Download of the Off line completion Aldgate E Ue Beliz data already on the uestionnaire to of the eslo nie ie dkie collection website y q to the CIPA system the local PC uestionnaire f y q Secretariat Download the questionnaire using the SERVICES AVAILABLE function which can be selected on the left of the home page of DATA COLLECTION following the instructions in the last section this manual When downloading a questionnaire users must indicate the directory on the hard disc to which the file containing the questionnaire is to be copied Quest2011 n pdf For the sake of uniformity among the participating banks processing environments we suggest creating a directory called STAUT11 to receive the file QUeSt2011 n pdf In the event of difficulty in accessing the Data collection website or in using the website banks can apply to the following addresses for help For problems in accessing or using the Data collection website Help desk Tel 06 4792 6459 e mail rdvi helpdesk bancaditalia it For problems related specifically to the collection of data for the Survey on the state of automation of the credit system Francesco Cavallo 06 4792 6101 Daniela D Amicis 06 4792 6943 Technical CIPA Secretariat 06 4792 6803 Y 06 4792
22. unit Type Type indicates whether the response requested is e Obligatory if an obligatory response is missing or inexact the questionnaire cannot be exported in XML format and the file cannot be sent to CIPA The obligatory fields are o The bank s ABI code o The bank s business name o The family name of the person filling in the questionnaire o The first name of the person filling in the questionnaire o The e mail address of the person filling in the questionnaire e Warning if the response is missing or inexact the reply to the question is invalidated and this may mean that the data supplied by the institution filling in the questionnaire will not be included in the analysis Question The number of the question being asked Message An explanation of the error indicating how to resolve the problem e g response with no value yy tl given the field cannot contain negative numbers The Check for errors function is always enabled 6 YY Figure 6 Result of error check Obligatory Data on the compiler and the unit ABl Code The field must not be left blank Obligatory Data on the compiler and the unit Company name The field must not be left blank Obligatory Data on the compiler and the unit Name The field must not be left blank Obligatory Data on the compiler and the unit Family name The field must not be left blank Obligatory Data on the compiler and the unit First n
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