NCUA 5300 Call Report Tutorial

Please Note: Due to quarterly changes to the 5300 Call Report, please check this tutorial out every quarter prior to Quarter End.

Setup and Parameters

Follow this tutorial on setting up, creating the 5300 Report, and uploading the 5300 Report to the NCUA. We start with Setup of the program in 4.0 and setting parameters.

Requirements needed to use the Integrated Call Report Program in 4.0:

From the Master Menu, select 3 - Reports Menu, 6 - Additional Reports Menu, C - Regulatory Reports Menu, 5 - NCUA 5300 Call Report, and 4 - Build 5300 Call Report Temp Files.



Option 1: Build Files from Current Period
It’s recommended that this option get added to the Month End Job Stream so it gets generated automatically. Regardless of how this is generated, it should be done prior to closing out the period.

Option 2: Build Files from History Period
This option is put in place as a precautionary step in case the files generated in Option 1 (above) damaged, missing, had errors or the process was never completed prior to the period closing.

Downloading The National Credit Union Administration (NCUA) Quarterly Booklet

To assist you in this task, it’s a good idea to print the National Credit Union Administration (NCUA) Quarterly Booklet that is available on NCUA Website.

You will need a copy of the Template and Instructions.

To download this information, you need to go to the NCUA website. Click here to visit the site from this page or enter the following URL in the address field of an Internet browser: http://www.ncua.gov/data/5300/5300.html.

Note: All forms on the NCUA website come in PDF format. You will need Adobe Acrobat on your computer to view these files. If you do not have Adobe Acrobat, click here to download the latest version.



Click the Template and Instructions link for the quarter you are reporting (1 on the graphic). This will open this file in Adobe software.

Note: You can download this for the following quarter soon from this site when the NCUA posts this information. That is above #2.

Once in Adobe, click the Print icon to send this file to your printer. This booklet will be useful when mapping the required fields into the Call Report.

Edit 5300 Call Report Control File

Follow these directions to set the 5300 Control File Fields.

1. From the Master Menu, select 3 - Reports Menu, 6 - Additional Reports Menu, C - Regulatory Reports Menu, 5 - NCUA 5300 Call Report, and 3 - 5300 Call Report Control File.
   
   
   
   
2. Enter the Delinquent Loan Ranges. You will need to establish the Delinquent Loan Month Ranges on the top of the screen to match those displayed on page 8 of your NCUA Call Report Booklet.
   
   
   
   
3. Enter the XML File Detail. This information is provided to you by the NCUA.
   
   
   
   The Cycle Date is always the last day of the quarter this report is being submitted for (i.e. - 1st Quarter = 03/31/20XX, 2nd Quarter = 06/30/20XX, 3rd Quarter = 09/30/20XX, and 4th Quarter = 12/31/20XX).

Defining the Loan Type Parameters

The goal in this stage of the process is to map the Credit Union’s loan types to the loan types established by the NCUA. It would be helpful to print a Members Quick Trial Balance with Type Stats for a list of all your loan types.

1. Enter the Loan Ranges for each loan type.
   
   When entering type(s) or type ranges use commas to separate each type and colons to indicate type ranges. For example the definition 1,2,4..7,10 would use types 1, 2 and 10 and would also include types 4,5,6,7.
   
   

When you have completed filling out the 5300 Call Report Control File Maintenance, press the Escape key and select Update Maintenance Entry.

You have completed setting up the parameters for the 5300 Call Report.

5300 Call Report Page Definitions: Setup for Report

Build Page Definition Overview

To set the Page Definitions, follow these directions:

1. From the Master Menu, select 3 - Reports Menu, 6 - Additional Reports Menu, C - Regulatory Reports Menu, 5 - NCUA 5300 Call Report, and 1 - 5300 Call Report Maintenance.
   
   
   
   
2. Select the Edit File Definition option.
   
   
3. In the Account Code field, enter the XML code for the field you want to update. This is the XML Code that is found in the Call Report Booklet. Each field that needs to be defined will have its own XML code.
   
   
   
   
4. In the Account Type field, enter the account type that is being reported as defined below.
   
   
   1. Shares
   2. Loans
   3. Drafts
   4. Clubs
   5. Certificates
   6. IRAs
   7. G/L
   8. Investments
   9. Investment Intent
   10. Text - free form information such as phone numbers, addresses, etc.
   
   
   
5. In the Data Code field, enter the type of information that needs to be reported for this field. Options are:
   
   
   1. Balance - The balance within a particular Account Type.
   2. Count - The number of items within a particular Account Type.
   3. Rate - The interest rate within a particular Account Type.
   4. Interest - The interest paid/earned within a particular Account Type.

   Note: Data Code is set automatically to zero (0) for G/L, Investments, Investment Intent, and Text Account types.
   
   

6. In the Accounts field, enter the list of G/L Accounts or Account Types from the member side required to define this particular field. When listing Accounts, use commas to separate each account and two periods (..) to indicate a range of accounts.
   
   This field can also be used if the information that’s being imported into the Call Report is text information. This would be the case for fields such as phone numbers, addresses, additional contact information, etc.

Instructions When Mapping Information From the General Ledger

A portion of the definitions required to complete the 5300 Report come from mapping G/L Accounts to specific XML codes outlined the Call Report booklet. At this time, it would be helpful to print a copy of your G/L Consolidated Quick Trial Balance (include zero balances).

Locate the first page (page 1 of 16) of the printed 5300 Call Report booklet:



Line 1: Cash on Hand (Coin and Currency)

You have to map all the G/L accounts that make up ‘Cash On Hand’ to the XML code for this item (730A).



Notice: When listing accounts, individual accounts are separated by commas and range of accounts are separated by two periods (..). This needs to be done for all definitions that are initiated from the G/L.

This needs to be done for all definitions that are initiated from the G/L.

Instructions When Mapping Information from the Management Report

A portion of the definitions required to complete the 5300 Report come from mapping information from the Management Report to specific XML codes outlined in the Call Report booklet. At this time, it would be helpful to have a copy of the Management Report for the period that is being reported.

Let’s use ‘New Vehicle’ loans for our example of data coming from the Management Report.

Locate (Page 2 of 16) in the NCUA 5300 booklet you printed:



Definition: "New Car Loan" Interest Rate

Account Code: 523 (XML Code)
Account Type: 2 (Loans)
Data Code: 3 (Rate)
Accounts: List all new car loan type numbers here.



Field #4 – Accounts: You will have to list all the loan types that your Credit Union has designated for New Car Loans. When listing accounts, individual accounts are separated by commas and range of accounts are separated by two periods (..).

When finished, press the Escape key and select Update Maintenance Entry.

Definition: Number of "New Car Loans"

Account Code: 958 (XML Code)
Account Type: 2 (Loans)
Data Code: 2 (Count)
Accounts: List all new car loan type numbers here.



When finished, press the Escape key and select Update Maintenance Entry.

Definition: Total Amount (Balances) of "New Car Loans"

Account Code: 385 (XML Code)
Account Type: 2 (Loans)
Data Code: 1 (Balance)
Accounts: List all new car loan type numbers here.



When finished, press the Escape key and select Update Maintenance Entry.

Repeat this process for each field.

Creating XML File and Printing Report

In this section, we are going to Create the XML File and Print the XML report. Follow these directions.

1. From the Master Menu, select 3 - Reports Menu, 6 - Additional Reports Menu, C - Regulatory Reports Menu, 5 - NCUA 5300 Call Report, and 2 - 5300 Call Report Creation.
   
   
   
   
2. Select between 1 - Print 5300 Report Only or 2 - Print 5300 Report and Create the XML File.
   
   Suggestion:
   Perform 1 - Print 5300 Report Only and review the report to make certain the results are acceptable. If you find any problems, make the necessary changes in the 5300 Call Report Control File or the Build Page Definitions file. Once you are satisfied with the results, perform 2 - Print 5300 Report and Create XML File.
   
   
3. Press the Escape key to exit the program.

Downloading Call Report Software

Quarterly 5300 Reporting

In this section, we are going to review the steps to download the software from the NCUA website.

If you have received a NCUA Call Report CD from the NCUA, you can install the software from the CD. You can skip the rest of this section and go directly to Section Five.

Follow these steps for downloading the software from the NCUA website.

1. The first time you use the CompuShare NCUA 5300 Call Report Program you will have to create a NCUA directory. We suggest you make this directory on your local drive "C", of the PC you are going to use for the NCUA 5300 Call Reporting.
   
   Note: Every quarter the NCUA compiles new Call Report files. You will need to download these files in the NCUA folder each quarter. With changes to the 5300 report, make sure you have the lasted service pack from CompuSource loaded as well.
   
   
2. Click here to visit the NCUA 5300 Software home page. You can also enter this URL into an Internet browser: http://www.ncua.gov/data/5300/5300.html.
   
   
   
   
3. Scroll down the page until you get to the Call Report Software and Installation Instructions.
   
   
   
   If you are unsure of what is required for the call report, click the Please Read the System Requirements link.
   
   
4. Click on the zip file that is formatted - MM-YRCU5300.ZIP file.
   
   
5. The File Download box will appear. Click Save.
   
   
   
   
6. Select the NCUA Folder you created on the C Drive and click Save on the Save As dialog box.
   
   
   
   The file will download to your machine as you see the progress.
   
   
   
   Note: Make sure the Close this dialog box when download completes is NOT checked.
   
   
7. When the download is complete, click Open Folder. This will open a Windows Explorer window to the NCUA folder you just saved the file to.
   
   
   
   
8. Right click on the highlighted zip file and select WinZip in the menu. Click on Extract to Here.
   
   
   
   You have now extracted the files you need to load the NCUA Call Report Software.

Installing Software

Install the NCUA 5300 on your PC

Now the files have been extracted, the Call Report needs to be loaded on the PC. The NCUA folder contains the following files.

1. Double click on Setup.exe.
   
   Security Warning: If you get a Security Warning dialog box after clicking Setup.exe, please click Run. There is no issue with this program.
   
   
   
   The system will now run the NCUA Call Report - Install Shield Wizard.
   
   
2. On the first screen, click Next.
   
   
   
   
3. On the second screen, the Destination Folder is default to C:\Program Files\NCUA Call Report\. You want to keep this folder. Click Next to continue.
   
   
   
   
4. On the third screen, the Ready to Install the Program screen, click Install to continue.
   
   
   
   
5. When the installation program is complete, the Install Shield Wizard Completed screen will appear. Click Finish to complete the install.
   
   
   
   You have now installed the NCUA Call Report Software.

Delete All Files in the NCUA Folder

Once you have run the Setup program, you will need to delete all the files in the C:\NCUA folder per the NCUA's Instructions. This is a good idea so that next quarter, you will have new programs down anyway and this breaks down future confusion.

Note: If you are loading the NCUA software from CD, you can skip this section and go directly to Section Six.

Follow these directions:

1. From the Windows Desktop, double click My Computer, double click on the C: drive, and double click on the NCUA Folder.
   
   
   
   
2. Select Edit from the menu and click on Select All. All the files in the folder will turn blue (pending on your Windows settings).
   
   
3. Press the Shift and Delete key on your keyboard at the same time.
   
   
   
   
4. The Confirm File Delete dialog box will appear to make sure you want to delete a Read-Only file. Click Yes to All to continue.
   
   
   
   
5. The Confirm File Delete dialog box will appear again to make sure you want to delete an exe file. Click Yes to All to continue.
   
   
   
   
6. Click File and Close to complete this task.

You have now completed all the steps to install the NCUA Call Report Software. You can now continue with importing the XML File in the next section.

Import the XML into the 5300 Call Report Software

These steps import the data in the XML file that was created in CompuShare into the corresponding fields in the 5300 Call Report Software.

Follow these directions:

1. Double click on the Call Report icon on your desktop.
   
   
   
   
2. In the Call Report Software, click Data and select Import.
   
   
   
   
3. The Select a Transmission File to Import dialog box will appear. Select the XML file you want to import. The format of the file is the Charter Number + Year + Month.xml. The XML file is located in your data directory.
   
   
   
   The Initializing screen will appear, followed by the Call Report.
   
   

   Errors on the Import Wrong XML File If you receive the following error, you have tried to import the wrong XML file. Most likely this file was from a previous period. Click OK on this error. You will notice that this will appear on the home page of the NCUA Call Report Software. Follow the directions below. Clearing Previous Reports If this is not your first time using the Call Report software, you may notice your previous file is still there. If you want to clear this out, follow these directions: Select File in the menu and click on Open. The Select a Call Report dialog box appears. Select the report to delete and click Delete. You will be prompted to confirm the deletion. Click Yes to continue. Click Cancel to close the Select a Call Report dialog box.

   5. Review the 5300 Report entries. You may need to add entries that are not able to be carried over to the program by the XML file.
      
      
   6. When you have completed the review, click File and Exit to leave the NCUA Call Report Software.
      
      
      
      You have now imported an XML file into the Call Report software.

   Review the Actual 5300 and Fill in any Fields that were not Populated
   
   Follow these directions to update the 5300 report after you have imported the file.
   
   Note: The XML File imported is saved in the Program Files/NCUA Call Report/ folder on your C Drive. The XML File in your data directory is the original XML file you imported.
   
   

   1. Double click on the Call Report icon on your desktop. You can also enter through the NCUA 5300 Call Report program in CompuShare.
      
      
      
      
   2. Click on the Credit Union Name and Cycle you are working on.
      
      
      
      
   3. Click on the Page Number Tab on the pages you want to review.
      
      If you have any errors, you will see it posted on the bottom status bar.
      
      
      
      
   4. Review the bottom status bar on each page for Errors.
      
      You must correct all of the errors and warnings before you can send the report to the auditor. The Pink boxes are errors.
      
      
   
   
   

   Special Assistance in the NCUA Call Report Software There are four things that will help you with the 5300 Call Report and the editing of fields. The Error Browser - this allows you to see where the errors are specifically with an explanation of what is needed to correct the error. Follow these steps to use the Error Browser. Click on the Data menu and select Browser and Error. On the Error Browser, select any field on the left. The description of the error will appear in the Description field and the Page Number will be listed in the combo box below. You can click on Go to Page to directly go to the page with the error. The Account Browser - this allows you to find fields in the report and go directly to the page with that account. Follow these steps to use the Account Browser. Click on the Data menu, select Browser, and Account. On the Account Browser, select an field on the left. The description of the field will appear in the Description field and the Page Number will be listed in the combo box below. You can click on Go to Page to directly go to the page the field is on. The Warning Browser - this shows the warnings that are listed on the status bar on each page. You need to enter a comment in the Comments field for each warning before submitting the Call Report. Follow these steps to use the Warnings Browser. Click on the Data menu, select Browser, and Warnings. On the Warning Browser, select the field on the left. The description of the warning will appear in the Description field on the right and the Page Number will be listed on the combo box below. You can click on Go to Page to directly go to the page the field is on. Help Menu - the Help Menu will help you with how to operate the 5300 Call Report software. Simply click Help and Contents for the help screen.

   You have now completed the 5300 Report. You can continue to the last section on sending the file to your auditor.

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   Submitting the Completed 5300 Report
   
   Follow these directions on submitting your 5300 Report.
   
   

   1. From the Desktop, double click on the Call Report icon.
      
      
      
      
   2. Select the report from the list in the 5300 Report.
      
      
      
      
   3. Select the Data menu and click on eSend to NCUA.
      
      
      
      Note: If there are errors on the report, the following message box will appear. Review the 5300 Report, correct the errors and re-submit the 5300 Report.
      
      
      
      When you have successfully submitted the 5300 Report, you will receive a confirmation email from the NCUA that they received the report. If there are any errors submitting, contact the NCUA for more information.

   You have now completed the 5300 Call Report tutorial.