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 5.0 and setting parameters.

Requirements needed to use the Integrated Call Report Program in 5.0:

• The Credit Union must run the Management Report prior to Period End. There are files that are generated in this report for the 5300 Call Report.
  
  
• General Ledger and the Member side need to be closed before the Call Report can be started. The integration utilizes the history files created in these closings.

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. You can enter the following URL into your Internet browser to download Acrobat: http://www.adobe.com/products/acrobat/readstep2.html.

1. From the Master Menu, click 3 - Reports Menu, 6 - Additional Reports Menu, D - Regulatory Reports Menu, and 5 - NCUA 5300 Call Report. The first time you go into the NCUA 5300 Report this screen will be blank because the parameters have not been set up.
   
   
2. Click Options and select the Edit Parameter File menu choice.
   
   
   
   
3. Click on the Loan Ranges/XML File Detail tab if not already selected.
   
   
   
   
4. Fill out the Delinquent Loan Ranges section. These are the ranges (in months) of Delinquent Loans. These fields need to be populated as detailed in the printed Call Report. This information is found on page 8 of the NCUA 5300 Call Report Software. See screen shot below.
   
   
   
   
5. Fill out the XML File Detail information. This information is supplied 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).

You have completed the Loan Ranges/XML File Detail page.


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.

Follow these directions to set up the Loan Type Parameters.

1. Click the Loan Type Parameters tab.
   
   
   
   
2. Click the Browse Button at the end of each line to get a list of the available loan types.
   
   
   
   
3. Click the box for each loan type that corresponds to the loan category that you are defining. A check mark will appear for each loan type chosen.
   
   Example: To include Loan Types 62,63,64,65,68, and 80 in the ‘Other Real Estate Fixed Rate’, click on the browse button at the end of the line and click each designated box.
   
   
   
   Note: 62..65 equates to the loan types of 62 thru 65 that are included in this type. All other loan types (68 and 80) will be listed individually and separated by a comma.
   
   
   
   If you want to select all the types, click the Select All button. To clear any checked types, click the Clear All button.
   
   
4. When you have selected the types you want, click Ok.
   
   
   
   
5. Repeat Steps 1 to 4 for each loan type.
   
   
6. When you finish with the Loan Type Parameter tab, click Save.
   
   

Troubleshooting the 5300 Report

After you set the parameters, you will get information about what files are created and if the XML file has been created for this quarter.



Note: If the Cycle Date was changed to a different quarter, the XML file will not be found since it is looking for the XML for this quarter.

If you get a screen that looks like this, the required files for the G/L and the Share/Loan sections were not created. You did not run the Management Report or Close the General Ledger for the prior quarter. Follow the steps below if you see this screen.

1. If you have not closed the G/L or the Share/Loan side, exit this program, run the Management Report (if member side is not closed) and close the G/L (if the G/L is not closed for the prior quarter).
   
   
2. If you have closed the Member Side and the Share/Loan files are not created, the Management Report was not ran prior to Quarter End. Click Options and select the Build Call Report Files option.
   
   Note: Do NOT use this option if you have closed for the quarter at this time. The files you need are created in the Management Report and the G/L Close programs.
   
   
   
   You will be prompted on which data you would like to create the files from. You can create the files from the last history directory or current directory. You would only create in the current directory if you are starting to work on the 5300 Report prior to close and do not have history data. Normally, you would select Create From History.
   
   
   
   Once this is completed, all the menu options will be enabled and you can continue.

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

Build Page Definition Overview

Each page of the Call Report is listed within CompuShare. Within each page, there are Line Items. Each Line Item needs to be mapped properly to report accurate information in the Call Report.

To access and set Page Definitions, follow these directions:

Click Options and select Build Page Definitions.





Notice: The page numbers listed on the above screen correspond to the page numbers within the Call Report booklet. Page Three of the booklet (below) is the beginning of the reporting of the Credit Union’s assets.



Those line items correspond to the line numbers within the Call Report booklet.

Line Items as listed in CompuShare:

Instructions when Mapping Information from the General Ledger

1. Double click on Page 3 - Statement of Financial Condition - Assets. The following screen will appear.
   
   
   
   
2. Double click on 1) Cash on Hand. The following screen will appear.
   
   
   
   
3. Click on the General Ledger tab.
   
   
   
   
4. Double click on all the G/L Accounts that make up Cash On Hand. Notice that once you have selected a G/L Account from the lower panel to move to the center panel, it is no longer available in the lower panel.
   
   
   
   

   Deleting Items from the Center Panel If you wish to delete an item from the center panel, follow these directions: Click inside the box before the line item. A check mark will appear in the box. Click Remove Tag. The item will be deleted from the center panel and moved back to the bottom panel.

5. Once you have selected all the G/L accounts that affect the category: Click Save.
   
   This will return you to the Line Items screen.
   
   
6. Repeat steps 1 to 5 until you have completed all the lines on that page.
   
   
7. Once you have completed all the lines for a page, click Exit to return to the Select Page to Define screen

Instructions when Mapping Information from the Management Report

From the Select Page to Define screen, follow these directions.

1. Double click on Page 4 - Statement of Financial Condition - Assets (Continued).
   
   
   
   
2. Double click on 17) New Vehicle Loans (Rate).
   
   
   
   Note: We will be using New Vehicle Loans for this example. We’ll need to map the loan rate, number of loans, and total balance for this type of loan.
   
   
3. Click on the Share/Loan tab if not already selected.
   
   
   
   
4. Click the Rate option button if not already selected. Default setting is Balance.
   
   
5. Scroll down until you get to Loan Rate Type fields. Select the loan type you want, double click that type, and repeat until all the types you want are in the middle section.
   
   
6. Click Save.
   
   
   
   We will now need to configure the number of New Vehicle Loans.
   
   
7. Double click on 17) New Vehicle Loans (Cnt).
   
   
   
   
8. Click on the Share/Loan tab if not already selected.
   
   
   
   
9. Click the Count option button if not already selected. Default setting is Balance.
   
   
10. Scroll down until you get to the Loan Count Type option on the list box. Select the loan type you want, double click that type, and repeat until all the types you want are in the middle section.
    
    
11. Click Save.
    
    
    
    We will now need to configure the total balance for all New Vehicle Loans.
    
    
12. Double click on 17) New Vehicle Loans (Amt).
    
    
    
    
13. Click on the Share/Loan tab if not already selected.
    
    
    
    
14. Click the Balance option button if not already selected.
    
    
15. Scroll down until you get to the Loan Balance Type option on the list box. Select the loan type you want, double click that type, and repeat until all the types you want are in the middle section.
    
    
16. Click Save.
    
    

You need to repeat the above steps for each item in the Call Report.

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.

The Print Only the 5300 Call Report

1. From the Master Menu, click 3 - Reports Menu, 6 - Additional Reports Menu, D - Regulatory Reports Menu, and 5 - NCUA 5300 Call Report.
   
   
   
   Note: If the Share/Loan File and G/L File information is not listed on the form or is from a previous 5300 submission, please refer to Section One on Troubleshooting the 5300 Report.
   
   
2. Click Reports and select Print 5300 Report Only.
   
   
   
   Note: If the Print options are not enabled, you have either not setup the Parameter file or the Share/Loan and G/L files have not been created.
   
   
3. Click OK when prompted at the completion of the report.
   
   
   
   Review the report and be assured that you are satisfied with the results. If you find any problems, make the necessary changes in the Loan Range/XML File or the Build Page Definitions file. Once you are satisfied, print the 5300 Report and Create the XML file.

Print NCUA 5300 Call Report and Create the XML File

1. Click Reports and select Print 5300 Report and Create XML File.
   
   
   
   

   Pages Are Not Completed If you have not built files for pages 1, 8, 11, and 12, the creation of the XML file will be stopped. Click on Options and select Build Page Definitions. Select the pages that are needed to be created (1, 8, 11, and 12). Fill out the information needed on each page, click Save, and re-run Print 5300 Report and Create XML File again.

2. You will prompted on whether you want to create the XML File for the Cycle listed in the parameter file. Click Yes to continue.
   
   
   
   
3. Click OK when prompted after the completion of the report.
   
   

You have now created the XML file for the NCUA Call Report software. You are done with the CompuShare side of the NCUA report. The only time you may need to revisit the first 3 sections is if you forgot to define a item. With each item change, a new XML file will need to be created.

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.

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.

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. From the Master Menu, click 3 - Reports Menu, 6 - Additional Reports Menu, D - Regulatory Reports Menu, 5 - NCUA 5300 Call Report.
   
   
2. Select Options in the menu and select Launch NCUA 5300 Call Report.
   
   
   
   Note: The menu option will be disabled if the NCUA 5300 program is not loaded on the PC you are working on. If the software was loaded in a different location than the default setting of C:\Program Files\NCUA Call Report\, the menu option will be disabled. You can double-click on the icon on the desktop to open the program.
   
   
3. In the Call Report Software, click Data and select Import.
   
   
   
   
4. 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.
   
   

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

Submitting the Completed 5300 Report

Follow these directions on submitting your 5300 Report.

1. From the Desktop, double click on the Call Report icon. You can also enter this program from the NCUA 5300 Call Report in CompuShare.
   
   
   
   
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.