Abstract:
A method is provided of an auditor operating an auditor terminal to query an audit log for a database which contains records of check deposit transactions. The method comprises on a first display screen, entering in a customer name, on a second display screen, selecting a link which corresponds with a particular check deposit transaction associated with the customer name, and on a third display screen, receiving audit details associated with the particular check deposit transaction.

Description:
BACKGROUND 
       [0001]    The present invention relates to audit logs for a database which contains records of image-based check deposit transactions, and is particularly directed to methods of an auditor querying an audit log for a database which contains records of image-based check deposit transactions. 
         [0002]    In a typical image-based check deposit transaction, check image data is lifted from a check being deposited. Also, check deposit transaction data is generated. The captured check image data and the associated check deposit transaction data are transmitted to and stored in a database server at a data center. A unique identification (ID) number is associated with each record stored in the database server at the data center. When the check image data and the check transaction data are initially stored in the database server at the data center, this event is recorded in an audit log. 
         [0003]    At a later time, certain bank personnel may need to access the check image data and the associated check transaction data stored in memory at the data site. For example, an operator working at a terminal of a keying and balancing workstation may need to access the check image data and check deposit transaction data of particular check items to perform known functions such as amount keying, codeline completion, or balancing. The keying and balancing workstation is typically located at a back office facility of a financial institution such as a bank. When check image data and check deposit transaction data for a check item has been retrieved, this event is also recorded in the audit log. 
         [0004]    From time to time, an auditor needs to query the audit log. The auditor may be an employee of the bank or may be an outside third party. The audit log contains many event recordings and is usually quite large. The auditor would ideally like to have the unique ID number associated with each record contained in the audit log when a query is made to the audit log. However, the auditor usually does not know the unique ID number associated with each record contained in the audit log. 
         [0005]    Since the audit log is usually quite large and the auditor usually does not know the unique ID number associated with each record, it is often quite cumbersome and inefficient for the auditor to even query the audit log, let alone analyze results found from queries. It would be desirable to provide an improved method for an auditor to query the audit log and conduct a search on records contained in the audit log. 
       SUMMARY 
       [0006]    In accordance with an embodiment of the present invention, a method is provided of an auditor operating an auditor terminal to query an audit log for a database which contains records of check deposit transactions. The method comprises on a first display screen, entering in a customer name, on a second display screen, selecting a link which corresponds with a particular check deposit transaction associated with the customer name, and on a third display screen, receiving audit details associated with the particular check deposit transaction. 
     
    
     
       BRIEF DESCRIPTION OF THE DRAWINGS 
         [0007]    In the accompanying drawings: 
           [0008]      FIG. 1  is a block diagram of an auditor terminal which communicates with a data center which communicates with a remote check image capture device; 
           [0009]      FIG. 2  is a schematic block diagram showing one form (a table-top check processing terminal) of the remote check image capture device of  FIG. 1 ; 
           [0010]      FIG. 3  is a schematic block diagram showing another form (an image-based check processing system) of the remote check image capture device of  FIG. 1 ; 
           [0011]      FIG. 4  is a flowchart depicting steps taken by an auditor at the auditor terminal of  FIG. 1  performing an audit in accordance with an embodiment of the present invention; 
           [0012]      FIGS. 5 and 6  are display screens provided in accordance with certain steps shown in the flowchart of  FIG. 4 . 
       
    
    
     DETAILED DESCRIPTION 
       [0013]    The present invention is directed to methods of an auditor querying an audit log for a database which contains records of image-based check deposit transactions. Referring to  FIG. 1 , a remote check image capture device  10  is illustrated. The remote check image capture device  10  captures data from a physical check which has been deposited and being processed. The captured image data is representative of an image of the check. 
         [0014]    There are many forms that the remote check image capture device  10  may take. One example of the remote check image capture device  10  is in the form of a table-top check processing terminal  10   a  as shown in  FIG. 2 . The terminal  10   a  may be located at a bank branch, for example, where bank personnel use the terminal to perform check processing functions. As another example, the terminal  10   a  may be located at a commercial client&#39;s facility where check image capture processing is performed. 
         [0015]    The table-top terminal  10   a  comprises the following elements: a hand-drop check feeder  12 , a check transport mechanism  14  including an alignment mechanism for aligning a check; a magnetic ink recognition character (MICR) head  16  for reading magnetic details on a code line of a check; an imager  18  including a front imaging camera  20  and a rear imaging camera  22  for capturing a grayscale image of each side of a check (front and rear); a printer  24  for endorsing a check; and a number of check storage bins  26  in the form of pockets for storing processed checks. An automated check feeder may be used instead of the hand-drop check feeder  12 . Also, the use of the MICR head  16  in some applications may be optional. The elements are conventional and will not be described in detail herein. The terminal  10   a  also includes a controller  28  for controlling the operation of the elements within the terminal. 
         [0016]    Another example of the remote check image capture device  10  of  FIG. 1  is in the form of an image-based check processing transport  10   b  as shown in  FIG. 3 . The specific construction and use of the image-based check processing system  10   b  may vary. The check processing system  10   b  may be, for example, a sorting machine or a proof machine wherein financial document items are processed in a bank. The financial document items may be in any number of forms. For examples, a financial document item may be in the form of a check, a deposit slip, a cash-in slip, or a cash-out slip. 
         [0017]    The check processing transport  10   b  has a document track  44  along which financial document items, such as checks, can be transported from an upstream end to a downstream end. The transport  10   b  includes a number of different check processing modules positioned along the document track  44 . Each check processing module includes a number of devices associated with the particular check processing module for performing specific document processing operations on document items moving along the document track. The transport  10   b  includes a hopper  46  into which a stack of financial document items including checks are placed. A document feeder  48  adjacent the hopper  46  selectively feeds or drives each document item from the stack of document items in the hopper to transport the document item from the upstream end to the downstream end along the document track  44 . 
         [0018]    The check processing transport  10   b  also includes a codeline reader  50  such as a magnetic ink character recognition (MICR) reader located along the document track  44 . The MICR reader  50  reads a MICR codeline from each check being processed in a known manner. The check processing system  10   b  further includes an image capture device  52  located along the document track  44 . The image capture device  52  captures images of the front and rear of each document item for a number of different purposes well known in the financial industry. More specifically, the image capture device  52  includes a front imaging camera and a rear imaging camera (both not shown) which are controlled to capture images of document items moving along the document track  44 . The structure and operation of MICR readers, OCR readers, and imaging cameras are well known and, therefore, will not be described. 
         [0019]    The check processing transport  10   b  may optionally include an encoder  54 , an endorser  56 , or a bank stamper  58 , as shown in  FIG. 3 . The encoder  54  encodes missing fields on each check. The endorser  56  applies an endorsement in a known manner to each check. The bank stamper  58  stamps each check to identify the bank institution processing the check. The structure and operation of encoders, endorsers, and bank stampers are well known and, therefore, will not be described. Processed checks are directed and sorted into pockets of a pocket device  60 . 
         [0020]    Referring again to  FIG. 1 , captured check images and associated check deposit transaction data are transmitted from the remote check image capture device  10  to a data center  70 . Check images and associated check deposit transaction data are stored in a database server  72  at the data center  70 . The event of the check images and associated check deposit transaction data being stored in the database server  72  is recorded in an audit log  74  located at the data center  70 . 
         [0021]    The audit log  74  is for the database server  72  which contains records of check deposit transactions which have been previously remotely captured such as at the remote image capture device  10 . More specifically, the audit log  74  stores events which have occurred for each record contained in the database server  72 . As an example, an event of a particular record being retrieved, changed, and then stored again is recorded in the audit log  74 . As another example, an event of a particular record being deleted is recorded. Still as another example, an event of a particular record being accessed for read-only is recorded. These events are examples only, and other events are possible. 
         [0022]    As shown in  FIG. 1 , an auditor terminal  76  is located remote from the data center  70 . The auditor terminal  76  includes a controller  78  which communicates with the audit log  74  at the data center  70 . A human operator at the auditor terminal  70  interacts with the controller  78  to query the audit log  74 . The audit log  74  may be queried for any number of reasons. As an example, the audit log  74  may be queried to show all transactions conducted by a particular customer. As another example, the audit log  74  may be queried to show activity details of transactions conducted by a particular customer. Still as another example, the audit log  74  may be queried to all details of a particular transaction conducted by a particular customer. These queries of the audit log  74  are examples only, and other queries are possible. 
         [0023]    Referring to  FIG. 4 , a flowchart  100  depicts steps performed by an auditor located at the auditor terminal  76  and performing an audit of the audit log  74  in accordance with one embodiment of the present invention. The auditor interacts with the controller  78  to log onto the auditor terminal  76  (step  102 ). After the auditor logs on, a determination is made as to whether the auditor has permission to access the audit log  74  (step  104 ). Methods of granting permission to a user are conventional and well known and, therefore, will not be described. If the determination in step  104  is negative (i.e., the auditor has no permission to access the audit log  74 ), then a message will be displayed on a display screen of the auditor terminal  80  to inform the auditor that access to the audit log  74  has been denied (step  106 ). However, if the determination in step  104  is affirmative (i.e., the auditor has permission to access the audit log  74 ), then a determination is made as to whether the auditor has unique database identification codes (IDs) to query the audit log  74  (step  108 ). 
         [0024]    If the determination in step  108  is affirmative (i.e., the auditor has unique database IDs for querying the audit log  74 , the auditor proceeds to make queries to the audit log  74  by entering unique database IDs (step  110 ). The process then proceeds from step  110  to step  120 . However, if the determination in step  108  is negative (i.e., the auditor does not know or have unique database IDs for querying the audit log  74 ), the auditor proceeds to enter a customer name (“Eaton” in this example) and selects from a display screen  80  (such as shown in  FIG. 5 ) a tab  82  labelled “DEPOSITS” (steps  112  and  114 ). As shown in  FIG. 5 , the DEPOSITS display screen  80  includes a number of deposit transactions which have been conducted by customer Eaton. Four deposit transactions  84  (i.e., 000053, 000054, 000055 and 000056) are shown in  FIG. 5 . 
         [0025]    In accordance with this embodiment of the present invention, four task icons  86  are associated with the four deposit transactions  84 . More specifically, each one of the icons  86  is associated with a corresponding one of the four deposit transactions  84 . When the auditor selects one of the icons  86  (step  116  in  FIG. 4 ), a display screen  90  (such as shown in  FIG. 6 ) is presented on the display of the auditor terminal  80  for the auditor to view. In this particular example, the auditor selected from the display screen of  FIG. 5  the icon which is associated with “Deposit Number 000056” to provide the display screen  90  of  FIG. 6 . 
         [0026]    As shown in the display screen  90  of  FIG. 6 , details associated with Deposit Number 000056 are either displayed or can be obtained by selecting one of a number of icons  92 . When the auditor selects one of the icons  92  from the display screen  90  of  FIG. 6 , another display screen (not shown) showing particular transaction details associated with Deposit Number 000056 will be displayed on the display of the auditor terminal  80 . Also, as shown in the display screen  90  of  FIG. 6 , the unique database ID (i.e., “3200000000051” in this particular example) is shown in box  94 . 
         [0027]    It should be apparent that the unique database ID shown in box  94  in the display screen  90  of  FIG. 6  was previously unknown to the auditor until the auditor selected the corresponding one of the icons  86  shown in the display screen  80  of  FIG. 5 . When the auditor selected the one of the icons  86  shown in the display screen  80  of  FIG. 5 , this selection linked the auditor to the display screen  90  of  FIG. 6  which contains all of the search criteria pre-filled so that the auditor can easily find the audits for the particular deposit transaction (i.e., Deposit Number 000056 in this example). If the auditor had gone directly to the display screen  90  shown in  FIG. 6  without having to first go through the one of the icon links  86  shown in the display screen  80  of  FIG. 5 , then the auditor would have needed to provide the unique database ID (i.e., “3200000000051”) before the auditor could have continued the search from the display screen  90  shown in  FIG. 6 . Thus, by providing the auditor with the icon links  86  shown in the display screen  80  of  FIG. 5 , the auditor was able obtain transaction details associated with a particular deposit transaction without having to provide the unique database ID associated with the particular deposit transaction. This is advantageous as the auditor will usually not know the unique database ID associated with a particular transaction when the auditor is logged onto the auditor terminal  76  and querying the audit log  74 . 
         [0028]    After the auditor is presented with the display screen  90  shown in  FIG. 6 , the auditor obtains search results from this display screen (step  120  in  FIG. 4 ), and analyzes search results (step  122 ) as needed. A determination is then made as to whether there is another search of the audit log  74  which needs to be conducted (step  124 ). If the determination in step  124  is negative (i.e., there is no other search of the audit log  74  needed), the process terminates. However, if the determination in step  124  is affirmative (i.e., there is another search of the audit log  74  needed), the process proceeds back to step  108  to allow the auditor to conduct the next query of the audit log  74 . 
         [0029]    Although the above description describes four deposit transactions in the display screen  80  shown in  FIG. 5 , it is conceivable that there could be any number of deposit transactions in the display screen. 
         [0030]    Also, although the above description describes the audit log  74  as being located at the data center  70 , it is conceivable that the audit log may be located remote and away from the data center. Also, although the above description describes the auditor terminal  70  as being located remote from the data center  70 , it is conceivable that the auditor terminal may be located in the data center. 
         [0031]    Further, although the above description describes the remote check image capture device  10  ( FIG. 1 ) as being in the form of the image-based check processing system ( FIG. 3 ), the remote check image capture device may be in other forms. As previously mentioned with reference to  FIG. 2 , the remote check image capture device  10  may comprise a table-top check processing terminal  10   a  which is located at a bank branch or at a commercial client&#39;s facility at which check image capture processing is performed. These locations are only examples of where the table-top check processing terminal  10   a  can be used. The table-top check processing terminal  10   a  may be used in other locations at which grayscale images of original physical checks are captured. 
         [0032]    The particular arrangements disclosed are meant to be illustrative only and not limiting as to the scope of the invention. From the above description, those skilled in the art to which the present invention relates will perceive improvements, changes and modifications. Numerous substitutions and modifications can be undertaken without departing from the true spirit and scope of the invention. Such improvements, changes and modifications within the skill of the art to which the present invention relates are intended to be covered by the appended claims.