RITS
Reserve Bank Information and Transfer System
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
This is the third RITS User Interface Project: Member Information Paper. It provides
an update on project developments since Member Information Paper No 2 (issued in
June 2005), and gives additional detail about key aspects of the User Interface (UI)
project, including the timetable for Member involvement.
The latest Technical
Information Paper is also enclosed.
In this edition:
™
RBA UI project status
™
Migration strategy and timetable
™
Network connectivity
™
Digital certificates and user details
™
Implications for user/branch relationships and role allocation
™
Contact details
1.
RBA PROJECT STATUS SUMMARY
1.1
12 December 2005 – RBA users access to new UI on production
The RBA has continued internal testing of the new RITS functionality and the
processes associated with the introduction of digital certificates. The software is now
near to the final form that will be available for Members around the middle of this year
(refer section 2). Production-strength digital certificate processes to be used to
access the new UI have also been proven. The RBA has also been preparing the RITS
production environments for the addition of the new functionality.
The first stage of this work culminated on 12 December 2005 when the production
environment was accessed by internal RBA users using the new UI and digital
certificates. The new interface is now being used by the RBA for a range of RITS
production administration and monitoring tasks.
1.2
Review of users and branches
The new access arrangements involve the secure issuance of digital certificates to
individuals identified by the Member’s authorised RITS signatories as requiring access
to RITS. Accordingly, in November last year the RBA asked Members to review their
February 2006
1
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
User IDs and User Names. Under the new arrangements each User ID must relate to
a specific individual who will be issued with a digital certificate. It will not be possible
for members to maintain spare or generic User IDs (for more detail refer to section 4).
The RBA has previously requested Members to authorise deletion of unused branches.
Members that have not yet reviewed their branch structures in RITS are requested to
do so. A number of Members advised that, due to use of branch relationships, the
closure of apparently “surplus” branches would require creation of a number (or all)
users in another branch and that they would prefer not to do this at this stage. This
reluctance is understood. These Members, in particular, should take note that branch
relationships will not be used for the new UI (refer section 5). It is recommended that
these Members plan for the creation of new users to occur with or before the
enrolment of their users for digital certificates (refer section 4).
1.3
UI slide show presentation
We have also provided the Business Focus Group with more detail about the new RITS
screens and functionality. A presentation was sent to this group that covered various
aspects of the new interface – its main features, look and feel, navigation, ESA
management, cash transfers, queue management, and settled payments enquiries.
Some members of the group have taken the opportunity to view the operation of the
new interface and others are also welcome to do so (at the RBA’s Head Office, in
Sydney). The slide show presentation is also available on request. Please contact the
RITS Help Desk on 1800 659 360 or Bob Howe (02) 9551 8921.
1.4
Amendments to the RITS Regulations and Conditions of Operation
Changes are required to the RITS Regulations and Conditions of Operation to reflect
the introduction of digital certificates and digitally signed transactions.
These
amendments are expected to be provided to Members’ operational and legal contacts
during April. These contacts will also be advised of other scheduled changes to the
Regulations, including revised Exhibits A and B (to reflect cut-over to the 2000 Global
Master Repurchase Agreement).
1.5
UI Project Information available on www.rba.gov.au
In December last year, the RBA expanded the Payments System area of the RBA’s
web site, www.rba.gov.au, to include “RITS Operational Notes”. This area provides a
link to all UI project information papers in addition to a range of other RITS
information. More detailed material that Members will require concerning the new UI,
including software downloads, will be available from the RBA over the internet. A link
will be provided directly to project contacts. This link will access a RITS Information
Facility similar to that which will in due course be available from within RITS (UI).
Further information will be provided with the next Information Paper.
February 2006
2
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
2.
MIGRATION STRATEGY AND TIMETABLE
The high level timetable outlined in Member Information Paper No 2 has slipped
slightly.
Implementation of the new RITS interface (for internal RBA users)
commenced on schedule in December 2005; however availability to Members is now
expected to be from around the middle of 2006.
The functionality available to Members has been described in previous Information
Papers as “Phase 1”, and will include most of the functionality required for day-to-day
tasks. “Phase 2” comprises the remaining Member functionality, including reports and
additional enquiries (including information on SWIFT messages to RITS), and is
expected to be available in the fourth quarter of this year.
2.1
UI Project Milestones
Activity
Date/Status
Presentation for Business Focus Group
Available to all Members
Production implementation (RBA users)
12 December 2005
Member checklist for access to UI pre-production
Mid March 2006
RITS Information Facility available over the internet Mid March 2006
(including User Guides)
Proving of initial Member connectivity (at least one user From April 2006
per Member)
User training commences
From April 2006
Issue of revised RITS Regulations & Conditions of April 2006
Operation (effective June 2006)
User certificate enrolment and access to pre-production From May 2006
environment (phase 1 functionality)
Members to confirm target implementation plans
By end May 2006
Member migration to UI production can commence
First migration
June/July 2006
All Members expected to have migrated all users to UI
By end October 2006
Phase 2 Member functionality available
Quarter 4, 2006
Current Member functionality no longer available (target)
End 2006
window
Migration will be on a member-by-member basis, with each Member able to choose a
date convenient to them, within windows specified by the RBA.
Within each
organisation, individual users will be able to use both the existing and new
functionality in parallel if required. Prior to migration, all Members will be required to
test their connectivity with the RBA to ensure that there are no problems relating to
February 2006
3
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
user software, firewalls and networks. The rollout of software and connectivity testing
will occur during the second quarter of 2006.
2.2
Training
Training sessions for users will also be held around this time, with group sessions at
the RBA offices in Sydney and Melbourne. A number of general sessions will show
users how to navigate around the new interface, how to perform their required
functions, and how to obtain digital certificates for access to the system. The roles of
password administrators and new certificate administrator will also be briefly covered.
In addition, there will be more detailed sessions for key users (including
password/certificate administrators). It is strongly recommended that all users attend
a general session. At least one user from each Member will be required to attend a
detailed session. Detailed sessions in Sydney will have the option of hands-on
training. It will be necessary for each Member to confirm to the Bank that their users
have been trained. This may be by attending a general session or being trained by a
key user who has attended an in-depth session.
2.3
Migration process
Members will be able to commence their migration to the new interface after user
training has been successfully completed. There will be four Member implementation
windows, in which individual Members can migrate at their own convenience. By end
May 2006, each Member will need to advise the RBA of their migration plans. All
Members are expected to have migrated their users to the new interface by the end of
October 2006.
The migration process for an individual Member will begin with enrolment of their
users for digital certificates. One certificate per user will be used for access to the
RITS Production and Pre-production (previously called ”Industry Test”) Environments.
Users will initially only be activated in the Pre-Production Environment and will be
required to perform certain activities on that environment to familiarise themselves
with the new interface and to practise the provisioning of users with roles and other
privileges.
As the new Pre-Production Environment will not allow for “‘test” banks, we encourage
Members to partner up with other Members in order to perform test transactions in
that environment. The Reserve Bank will assist Members to find partners if required.
Within the Member migration period, Members will retain access to functionality via
the existing RITS interface until such time as the Member confirms that all users can
adequately perform all of the relevant operations using the new interface. Members
will be required to signoff their readiness prior to access to Production.
February 2006
4
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
3
NETWORK CONNECTIVITY
Access to the new RITS User Interface will be via either an ANNI (Austraclear National
Network Infrastructure) leased line connection (provided by SFE Austraclear) or via an
internet connection.
RITS Members that are also participants in the Austraclear System will be aware that
SFE Austraclear and the RBA have determined minimum network requirements that
are dependent on the member’s market importance.
These requirements are
summarised in three “connection models”.
In terms of the SFE’s November 2005 letter, Members whose RTGS transactions
comprise more than 2 per cent of total (and/or meet the Austraclear Model 1 criteria)
must use ANNI for their primary connection and have either ANNI or resilient internet
connection from their DR site.
Smaller Members may use the internet for connection to the new RITS UI (resilient
internet is required for Members that participate in priority settlement arrangements
such as CHESS).
The SFE’s November letter also advised Members of an upgrade to the ANNI network,
in particular standardising line sizes and an increase in line size to 2MB. This letter
outlined the minimum connection type required and any options available for
upgrading connection, including from backup sites. Your letter will have indicated
whether you are required to have an ANNI connection, or whether you may use the
internet to connect to RITS and the Austraclear System. If you are eligible to use the
internet, you may still elect to use an ANNI leased line connection.
Members with an ANNI connection will have two 2MB leased lines to their primary
site. This connection will be used for connectivity to both RITS and the Austraclear
System. As now, a network connection fee will be payable to SFE. These Members
may use the internet for connectivity to their backup site, or may elect to have a
leased line connection, for an additional fee.
It is important to note that if you connect to RITS and the Austraclear System via the
internet, these connections are not ANNI connections. Your RITS internet connection
is a separate connection directly to the Reserve Bank and does not use any ANNI
equipment. Any fee payable to SFE for internet connectivity to the Austraclear
System does not cover internet connectivity to RITS. Members connecting to ANNI for
access to RITS and the Austraclear System will continue to pay a network connection
fee to the SFE for access to both systems.
All Members that connect to RITS via the internet are recommended to have resiliency
of their internet connection. This may be provided by the member’s ISP, or might
require the member to have two ISPs. This resilience is mandatory for all RITS
Members whose RTGS transaction values account for more than 0.25 per cent of total
RTGS transactions or who participate in a priority settlement arrangement, defined to
include the 9am Settlement, CHESS batch or CLS.
Members that currently connect to RITS and the Austraclear System via a dial up
connection will need to retain that connection until they have completed migration to
the Phase 2 RITS User Interface functionality in 2007.
February 2006
5
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
4.
DIGITAL CERTIFICATES AND USER DETAILS
Member Information Paper No.2 outlined the introduction of digital certificates, the
use of tokens to store those certificates, and the signing process that occurs within
RITS when certificates are used. The process of issuing certificates is briefly outlined
below, and is followed by a discussion of the significance of user details.
Members will need to apply for a certificate for each RITS user in order for them to
have access to the new interface. The steps in obtaining a certificate are:
•
User obtains a token (provided to Members by the RBA), formats it and sets a
password (known as the token codeword).
•
Member submits a User Access Request Form (UARF) for each user to the RITS
Help Desk. This contains all of the user’s details and is signed by RITS
Authorised Signatories.
•
RITS Help Desk pre-enrols the user in RITS using the UARF details.
•
Enrolment details/secret information is forwarded to the user and the Member’s
Password Administrator.
•
User enrols in RITS and collects their certificate by downloading it onto the
token.
•
Certificate administrator (who may also be a Password Administrator,
depending on Member’s internal control arrangements) activates the user in
RITS Production and/or Pre-Production Environment (as appropriate).
To access the new RITS interface, a user will then insert their token containing the
digital certificate into their PC, enter their RITS User ID and password and the
codeword for the token.
The user’s certificate will contain a “Distinguished Name” that is made up of the user’s
first name, last name, email address, and ABN of the member that they belong to (all
supplied in the UARF). When the user logs on, this is matched with the details that
were stored in RITS when the user enrolled for the certificate.
As a certificate will require an individual user’s details, it will not be possible to have
generic names with User IDs. Each RITS user must have their own digital certificate
and cannot share a certificate with other users.
A user cannot have more than one User ID for a particular Member. However, users
that belong to more than one Member will have a separate User ID, and separate
certificate, for each member.
Certificates will have expiry dates and will need to be re-issued on a regular basis
(around every two years). Certificate administration facilities will also allow members
to revoke certificates and inactivate users.
As advised in earlier Information Papers, Members may at their option use RITS
tokens to store a user’s Austraclear certificate.
February 2006
6
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
5.
NEW STRUCTURE OF MEMBERS, BRANCHES AND USERS
The redevelopment of the RITS user interface provided the opportunity to review the
relationships between Members, branches and users. The result of this review is a
structure in which most actions are undertaken by users directly on behalf of the
Member, while those actions which still relate to branch activities are undertaken by
users that are linked specifically to the branch.
Users now belong to the Member, not a branch. This change enables users to operate
directly on behalf of the Member in activities like ESA and credit management, which
means, for example, that a credit manager no longer needs to “belong” to the 2B (or
3B) branch to undertake these duties.
Existing User IDs will continue to be used, but the branch code that is included in the
first 6 digits no longer has any special meaning.
To perform transactions on behalf of a branch, a user must be linked to that branch.
A user may be linked to multiple branches and links are set by the Member’s Password
Administrator. This linking to branches replaces the existing method of branch
relationships.
The main changes in the relationships between members, branches, users, roles,
functions, and authorisations are as follows:
•
Users now represent the Member, not a branch (although they will be linked to
branches to perform some functions).
Existing user mnemonics will be
retained.
•
The purpose of branches has changed. Currently, branches have their own
users, have functionality allocated to them and own one or more RITS cash
accounts (with the exception of 2B, 3B etc branches which do not have cash
accounts). In the new interface, the only purpose of branches is to own RITS
cash accounts. There will be no change to the way that transactions flow
through RITS cash accounts, e.g. the Austraclear feeder payments will continue
to flow through the cash account of the A1 branch.
•
Branch relationships (where one branch can operate on behalf of another
branch) are replaced by linking users to branches. A user that is linked to a
particular branch will be able to undertake operations that affect the cash
account of that branch (subject to the user having access to the appropriate
functions).
•
Branch relationships that involve access to two different RITS members via a
single user ID are not supported in the new interface.
•
Operations that require a user to be linked to a branch include the entry,
authorisation and enquiry of cash transfers, the management of queued
payments at the cash account level (currently QM), the setting of override cash
account status (currently QMSTATUS), the setting of cash account sub-limits
(currently SLIMIT), and for actions in the new batch processing facility, which
will be implemented with the new RITS interface.
February 2006
7
RITS USER INTERFACE PROJECT: MEMBER INFORMATION PAPER No. 3
6.
•
Reflecting the changed role of branches, authorisations will be placed on
functions at the member level, not the branch level.
Therefore, if an
authorisation is required for a particular function it will apply for all actions
undertaken in that function regardless of the branch for which the entry is
made.
•
Functions are allocated to users in the new interface using roles. Most roles
contain only one function. This means that the high degree of flexibility that is
currently available in RITS will be maintained. It will be possible to tailor the
allocation of functions to individual users according to each Member’s
requirements.
•
Password Administrators will continue to be responsible for the maintenance of
user details and the allocation of roles. They will also maintain users’ links to
branches, set up authorisation privileges for users and play a role in
administering the issuance of digital certificates and the on-going management
of users’ certificates. They will service users across the member, not at the
branch level as before. In addition, the concept of a “Certificate Administrator”
has been added. These users are responsible for activation and revocation of
certificates.
They may be the same or different users to Password
Administrators.
Both roles are very important and require trained staff
delegated by the Member to administer RITS security for that Member.
RBA CONTACTS & INFORMATION
If you have any questions about any of the material in this Information Paper, please
contact:
Business questions
Peter Gallagher Senior Manager (Planning & Client Relations)
Telephone: (02) 9551 8941, Email gallagherp@rba.gov.au
Bob Howe
Manager (New Projects), Payments Settlements
Telephone: (02) 9551 8921, Email: howeb@rba.gov.au
Technical questions
David Noble
Senior Manager (RTGS Systems), Payments Settlements
Telephone: (02) 9551 8981, Email: nobled@rba.gov.au
Internet links
RITS Operational Notes:
http://www.rba.gov.au/PaymentsSystem/RITSOperationalNotes/index.html
RITS User Interface Project:
http://www.rba.gov.au/PaymentsSystem/RITSOperationalNotes/rits_ui_project.html
February 2006
8