GEMS TUTORIAL

SETTING UP AND SUBSCRIBING TO NOTIFICATIONS

CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS

Document History
The below table details updates to this tutorial:
Table 1: Document History

Date Related GEMS Version Comments

11th Feb 2011 8.0 First release
May 2013 8.0 Added ownership notifications
October 2013 8.0 Added section on searching for notifications
May 2015 9.1 Updated with new user interface changes
May 2016 9.3 Added information on scheduling when a job fails

Version Compatibility
The below table indicates which versions of GEMS this tutorial is compatible with:
Table 2: Version Compatibility

GEMS Version Compatible Comments

6.0 No
6.1 - 9.2 Yes
9.3 Yes

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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS

Table of Contents
Document History ..................................................................................................... 1
Version Compatibility ............................................................................................... 1
Introduction ............................................................................................................. 3
Searching for Notifications ....................................................................................... 4
Setting up Notifications ............................................................................................ 5
Setting up a General Notification ........................................................................................ 5
Setting up an Ownership Notification .................................................................................. 8
Setting up an Automated Voting Group ............................................................................ 8
Setting up an Ownership Notification ............................................................................... 9
Setting up Threshold Criteria......................................................................................... 11
Adding Subscribers to a Notification ................................................................................. 12
Scheduling of Ownership Notifications .................................................................. 14
Ownership Notification Emails ............................................................................... 15
Notification Emails and Digests.............................................................................. 16
Configuring Notifications on the Alerts Panel ..................................................................... 16
Email Digests .................................................................................................................. 18
Notification Criteria for E-Filing Jurisdictions ........................................................ 19

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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS

Introduction
Notifications are an important feature of GEMS, particularly in relation to working with Electronic Filing
Documents. Administrators define Notifications to which Users subscribe, though it is also possible for Edit
Users to set up Notifications. There are four types of Notification you can set up in GEMS:
 General Notifications - these are used to notify subscribers of specified data changes within the GEMS
system of corporate records - for example, company name changes, task status changes, document status
changes, appointments or resignations from an entity and so on
 Ownership Notifications - these are used to notify subscribers of specified changes directly relating to
ownership percentages
 Contract Notifications - these are used to notify various parties of milestones and other indicators
relating to contracts. See the ‘Contract Management Tutorial’ for details about this type of notification.
 FR Y-10 Notifications - these are used to notify various concerned parties about any changes in GEMS
data that are reportable as part the FR Y-10 form (applicable for the US jurisdiction only). See the ‘FR Y-10
Tutorial’ for details about setting up this type of notification.

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Searching for Notifications

To view a list of all currently available notifications, navigate to Notification Management > Manage
Notifications. The results are determined by the conditions of the default Saved Search specified in the Search.
However, you can revise the contents of the list by choosing an alternate Notification Search.
The Notification Search includes the following searchable sections and fields:
Category Search Fields
General  Group Information Parameters (Automated)
 Nominated Holding Company
 Owner Type
 Include Unconfirmed Transactions
 Include Non Current Entities
 Report On
 Date From
 Date To
 Recurring Period
 Recurring Amount
 Company
 Shareholders
 Email Template
Threshold Criteria  Type of Interest
 Condition
 Threshold
 Is Reserved
Subscribers  User Name
 First Name
 Surname
 Initials
 Email
Documents  Description
 Keyword
 Category
 Type
 Document Type
 Related Entity
 Jurisdiction
 Jurisdiction ISO
 Submission / Accession #
 User
 Batch #
 Sub-Category
 Attached File

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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS

Setting up Notifications
The following sections describe how to set up the different types of notifications. This is a task that can only be
done by an administrator user.

Setting up a General Notification

To set up a general notification for an appointment change within an entity, proceed as follows:
1. Navigate to Menu > Notification Management > Manage Notifications.
2. Select ‘General Notifications’ from the dropdown menu and click the New Notification Type hyperlink to
display the New Notification screen.
Figure 1: New General Notification

3. On the New Notification screen, enter a description for the new notification, for example, ‘Entity
Appointment Changes’.
Figure 2: New Notification screen

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4. In the Item Type drop down menu, choose ‘Entity’. The other options in the Item Type menu are Task and
Document.
Figure 3: Choose Item Type ‘Entity’

5. In the Event field, the available options for item type Entity are Name Change, Status Change, Reporting
Status Change, Group Parent/Subsidiary, Entity Creation, Ownership Change, and Official
Appointed/Resigned.
6. Choose ‘Official Appointed/Resigned’ from the Event drop down list to set this as the notification event.
Figure 4: Choose the notification event

7. You must now click Criteria to specify the entity types that you want to be notified about.

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8. On the Criteria query builder screen, before you set up any criteria elements, the existing search list
returns all entities in the system.
Figure 5: Criteria builder screen

In this example, we will set up a notification to notify subscribers when there has been an appointment
change in a ‘Private Company Limited by Shares’ in the UK jurisdiction.
9. To specify the entity type, choose ‘Entity Type’ from the Category drop-down list and enter Private
Company limited by shares in the ‘Value’ field.
Figure 6: Specify entity type in criteria builder

10. Click the Search button to update the results list, which will now display Entities of type ‘Private Company
limited by shares’ only.
Figure 7: Updated entities list in Query Builder

Click the Add Another icon to specify the next criteria.

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11. In the Query Builder, choose ‘Incorporation’ in the Category field and then type England in the Value
field.
12. Click the Search button. This will refresh the screen to now show private companies in the England
jurisdiction only.
Figure 8: Updated Entities list with 2nd criteria

13. Click Done to return to the New Notification screen and then click Save. The Entity Appointment Changes
notification is now listed in the Notifications search.
Subscribers to this notification will receive emails when any appointments / resignations are done to
companies incorporated in England whose entity type is private company limited by shares. See the ‘Email
Manager Tutorial’ for details on how to modify the contents of the email.

Setting up an Ownership Notification

Ownership notifications are used to notify subscribers of specified changes directly relating to ownership
percentages. You can create notifications based on specific threshold criteria either on a group or non-group
basis. During the creation of the notification you can specify a particular group, company and/or shareholder
to report on. If you wish to report on a particular automated voting group, you can set up the group in
advance or you can define it while setting up the notification.

Setting up an Automated Voting Group

To define an automated voting group based on the ultimate holding company, do the following:
1. Navigate to Menu > Lookup Lists > Lookup Items > Group Information Parameters (Automated).
2. Click ‘New Group Information Parameters (Automated)’ in the top right hand corner.
Figure 9: Group Information Parameters (Automated) Lookup List

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3. Enter a name for the group you are setting up and select the ultimate holding company from the
dropdown list or by using the search icon. Select whether the owner type should be the registered owner
or the beneficial owner. You can also specify whether unconfirmed transactions and non-current entities
should be included in the group.
Figure 10: Group Information Parameters (Automated) Lookup List

4. Select the location of the Deutsche Bundesbank Head Office, if applicable.

NOTE: This is required only for the German KWG forms.
5. Click the Save button to save the group information parameters details. It can now be used when setting
up ownership notifications. Specified changes in the ownership for the subsidiaries of the selected ultimate
holding company will be reported.

Setting up an Ownership Notification

To set up an ownership notification for a group, company and/or shareholder, proceed as follows:
1. Navigate to Menu > Notification Management > Manage Notifications .
2. Select ‘Ownership Notification’ from the dropdown menu and click the New Notification Type hyperlink to
display the New Notification screen.
Figure 11: New Ownership Notification

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3. On the New Notification screen, enter a description for the new notification, for example, ‘Stakeholder
Reporting’. This should be unique.
Figure 12: New Notification screen

4. If you wish to create the notification based on a particular automated voting group, select the search icon
beside the ‘Group Information Parameters (Automated)’ field. A new pop-up window will be launched,
displaying a list of group parameters that have been previously set up as described in section ‘Setting up
an Automated Voting Group’. Choose an existing item or create a new set of parameters by selecting the
‘New Group Information Parameters (Automated)’ hyperlink.
5. In the ‘Report On’ drop down field, select what information you wish to report on. There are two options
available:
o All Transactions within Dates Specified - This allows you to report on each transaction that
occurs within the date range you specify, which corresponds with the threshold criteria you set up. For
example, you create two threshold criteria to alert you when the % Parent Interest Held passes 3%
and 6% for the date range 20/02/2008 – 21/02/2008, with the Recurring Period set to 'Day' and the
Recurring Amount set to '1'. If any transaction occurs during the date range which causes the %
Parent Interest Held to pass either 3% or 6%, the subscribers will be alerted to each transaction.
o Daily Differences between Balances within Dates Specified - This allows you to report on the
daily differences within the date range specified, which corresponds with the threshold criteria you set
up. For example, using the sample figures above, if the % Parent Interest Held figure passes 3%
during a day, then falls to 2%, and then passes 3% again, the system alerts the subscribers that the
3% threshold has been passed as at the end of the day balance. Only one notification will be sent out
for each affected entity, even though the 3% threshold was passed twice during the day. If the end of
day balance is less than 3%, no alert is sent. The system will then continue to check if the % Parent
Interest Held balance passes either the 3% or 6% thresholds daily e.g. between 21/02/2008 and
22/02/2008, then between 22/02/2008 and 23/02/2008 etc.
6. Enter a date in the ‘Date From’ field to specify the initial reporting period. This date must be less than the
‘Date To’ value.

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7. Enter a date in the ‘Date To’ field to specify the initial end period.
8. Specify the ‘Recurring Period’ for the notification. It can be specified on a daily, weekly, monthly or yearly
basis. The recurring period specified will be used to update the ‘Date From’ and ‘Date To’ values, when the
initial notification has been run. For example if the ‘Date From’ is set to 01/03/2008 and the ‘Date To’ is set
to 02/03/2008 and the ‘Recurring Period’ is set to ‘1 Week’, when the notification is run, the Date From of
the notification will be set to 02/03/2008, while the ‘Date To’ of the notification will be set to 09/03/2008.
This will continue to run on this basis unless the notification is updated or suspended.
9. The ‘Suspend’ field is used to suspend the notification, without the need to delete your notification details
i.e. thresholds and subscribers.
10. The ‘Company’ field enables the notification to be set so that you are notified about changes within all
companies or specific companies, by either choosing All from the drop down list, or selecting Apply Filter
and using the Criteria hyperlink to set up your required criteria.
11. The ‘Shareholder’ field, works in a similar manner to the Company field, and again you can choose to
report on all shareholders or specific shareholders using the Apply Filter option
12. Click Save to save the new notification event or Cancel to exit this screen without saving a record of the
notification event.
When the notification has been saved, a new Output section appears on the lower section of the screen
which will specify the email that will be sent to users. This section will be read-only in Edit mode. The
email sent is dependent on whether or not a group has been specified in the Group Information
Parameters (Automated) section of the notification.
13. If you want to run the notification immediately instead of waiting for the scheduler, select ‘Create
Notification(s) Now’ from the drop down menu and click the Go button.

Setting up Threshold Criteria

When you have set up the notification basics information, select the ‘Threshold Criteria’ in the menu on the left
of the screen so that you can specify the threshold criteria you wish to report on. The types of interests the
thresholds can be based upon are dependent on whether or not a group has been specified in the ‘Group
Information Parameters (Automated)’ section of your notification.
If a group has been specified, you can set up threshold criteria on the following types of interest:
 % Nominated Entity Control Held
 % Nominated Entity Interest Held
 % Nominated Entity Voting Interest Held
 % Nominated Entity Interest Held Greater Than 50%
 % Nominated Entity Voting Interest Held Greater Than 50%
 % Parent Interest Held
 % Parent Voting Interest Held
If no group has been specified, you can set up threshold criteria on the following types of interest:
 % Parent Interest Held
 % Parent Voting Interest Held
To set up the threshold criteria, do the following:
1. Select the ‘New Threshold Criteria’ hyperlink.
2. Choose the ‘Type of Interest’ you wish to report on.

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3. Select the ‘Condition’ which should be met. There are four options available:
o Any Change – this reports any change on the ‘Type of Interest’ selected. You will not have to specify
a specific Threshold value.
o Falls Below – this reports on when the selected ‘Type of Interest’ falls below the ‘Threshold’ value you
have entered.
o Passes – this reports on when the selected ‘Type of Interest’ goes above the ‘Threshold’ value you
have entered.
o Reaches– this reports when the selected ‘Type of Interest’ is equal to the ‘Threshold’ value you have
entered.
4. Enter a ‘Threshold’ value if you have selected any condition other than ‘Any Change’.
5. Click the Save button to save the new threshold. You can set up additional thresholds in the same way, if
required.

Adding Subscribers to a Notification

When a notification event is triggered, all subscribers to the event will be emailed with details of the change.
Users of GEMS, if they have the relevant security access, can choose to subscribe to notifications at any stage
through their User Preferences > Notification Subscription section.
NOTE: The following example follows on from the example in the ‘Setting up a General Notification’ section.
However, the process of adding subscribers is the same for all types of notifications.
To add subscribers to a notification, proceed as follows:
1. On your new Entity Appointment Changes notification, in the left hand menu, click Subscribers.
Figure 13: Click Subscribers link

2. On the Notification Subscribers Search screen, click the Add Subscribers link.
Figure 14: Click Add Subscribers link

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3. Select the users from the pop up screen that is displayed. You can select multiple users and then click Go
to assign these user names as subscribers to the notification.
4. The subscribers you added are then listed in the Entity Appointment Changes notification on the
Subscribers list.
Figure 15: Subscribers added for notification

Each of the subscribers in the above list will be notified whenever an Entity of type ‘Private Company
Limited by Shares’ in the English jurisdiction has a change to its list of appointments.

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Scheduling of Ownership Notifications

Scheduling of ownership notifications involves use of the Queue Manager. When you set up and save an
Ownership Notification, GEMS automatically creates the ‘Check and Notify Ownership Changes’ job in the Job
Queue to schedule the checking of all Ownership Notifications. You can view the Job Queue by navigating to
Menu > Data Management > Job Queue.
Once the job has been run on the Job Queue, GEMS checks if any of the criteria for the notifications have been
met. If so, GEMS sends out the relevant email to the appropriate subscribers. It also creates a new job on the
Job Queue based on the recurring periods set up in the notifications.
The Scheduling Details are initially based on the earliest Date To of the created Ownership Notifications, while
the Time field is initially set to 00:00. When the job is run, a new job is created on the Job Queue and the
Date Due of the new job is set to the next earliest Date To of the created Ownership Notifications, based on
the Recurring Period field.
However, you can interrupt the normal scheduled delivery of a specific notification, and send notifications at
any time by selecting the ‘Create Notification(s) Now’ option that is available on the relevant ownership
notification record in browse mode.
If a recurring ownership notification job in the job queue fails to work for any reason for more than 1 day,
when it restarts, GEMS runs the job repeatedly until it ‘catches’ up to the current day. This ensures that you
receive up-to-date notifications from the job.
For example, you set up an ownership notification to run every day and report if any new shareholders are
added to a company. If this notification fails to run for three days and is then restarted, GEMS will run it three
times on the same day until it has caught up to the present day. It will then schedule the next job for the
following day so that it is back on schedule once again.

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Ownership Notification Emails

If the threshold criteria relating to an Ownership Notification has been met, all subscribers to the event are
emailed with details of the change. The email sent, is dependent on whether or not a group has been specified
in the ‘Group Information Parameters (Automated)’ section of the relevant notification and are generic to all
ownership notifications.
If a group has been specified, the following email template is sent to the subscribers:
 Notification Email - Automated Ownership Changes
If a group has not been specified, the following email template is sent to the subscribers:
 Notification Email - Automated Group Ownership Changes
If you wish to edit the contents of the email that is sent to the subscribers, you can do so by navigating to the
Menu > Email Management > Manage Email Settings > Email Templates section and editing the relevant email
template.

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Notification Emails and Digests

There is a scheduled process which runs at set intervals and checks whether the criteria of a notification has
been met. If the criteria has been met, an email is created and placed in the email outbox. This is viewable in
Menu > Email Management > Manage Email Settings > Email Outbox. When the email queue is run, the mail
is sent to the recipient, and the message is moved to Email Messages.

Configuring Notifications on the Alerts Panel

When you have subscribed to a particular notification, you can organise the email settings in GEMS to send the
notifications to your alerts panel and email inbox as follows:
1. Add the Alerts Panel if you haven’t already done so using the Panel Catalog in User Menu > Page Settings.
Figure 16: Page Settings

2. On the Alerts Panel, click Menu > Settings to open the panel configuration.
Figure 17: Alerts Panel

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3. Click the Email Settings tab to display the options for setting up email and notifications.
Figure 18: Alerts Panel - Email Settings

4. In the Receive Emails field, choose ‘Email Digests’ from the drop-down list.
5. Enter a figure in ‘Email Digest Days’ to set the frequency of the Email Digests arriving in the alerts panel.
For example, if you want an email digest every three days, enter the number 3.
6. To specify that you only want emails related to Notifications you have subscribed to, select the ‘Digest
Notifications Only’ checkbox.
Figure 19: Digest Notifications Only

7. Click the ‘Arrange List By’ drop down and select from the list to set the order in which the emails will be
displayed. The options are Date Sent, From Name, From Email Account, Email Subject.

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8. When you have selected all of the Email Settings, click Save.
9. You can check the Notifications you are subscribed to in the Subscriptions tab.
Figure 20: Subscriptions

This displays all of the notifications you are set up to receive.

If you want to receive your notifications immediately, click on Menu > Notification Management >
Process Notifications. This will check whether the criteria of any notification have been met and if so,
generate the notification emails. You can then click on Menu > Email Management > Send/Receive Mail
to get those notification emails sent to your Alerts Panel and/or Inbox.

Email Digests
An Email Digest is a single email, sent periodically, which includes all of the individual GEMS mails in one large
email. You can choose if you want to include all GEMS mail in this digest, or just Notification Type emails. If
you choose Notification Emails Only, you will receive other mails individually, but all Notification Subscription
emails will be received periodically in the Digest Email.

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Notification Criteria for E-Filing Jurisdictions

The following are the criteria that are set up in the Query Builder to enable notifications when an efiling
document status changes. These have been shipped with GEMS v7.1, and are automatically available as
notifications; however, the subscribers must be added to each notification.
Companies House filing in UK:
Description: Companies House Electronic Filing Status Change Notification
Item Type: Document
Event: Status Change
Criteria: The following criteria are applied:
AND General - [ Document Type ] Is equal to EF Form
AND ( Status - [ Status ] Is equal to Accepted
OR Status - [ Status ] Is equal to Rejected
OR Status - [ Status ] Is equal to Problem with Submission
OR Status - [ Status ] Is equal to Parked
OR Status - [ Status ] Is equal to Unknown Status )
AND Template - [ Filing Body ] Is equal to Companies House

Companies Registration Office filing in Ireland:

Description: Companies Registration Office Electronic Filing Status Change Notification
Item Type: Document
Event: Status Change
Criteria: The following criteria are applied:
AND General - [ Document Type ] Is equal to EF Form
AND ( Status - [ Status ] Is equal to Registered
OR Status - [ Status ] Is equal to Sent Back
OR Status - [ Status ] Is equal to Returned
OR Status - [ Status ] Is equal to Rejected
OR Status - [ Status ] Is equal to Problem with Submission )
AND Template - [ Filing Body ] Is equal to Companies Registration Office

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Delaware electronic filing in the United States

Description: Delaware Electronic Filing Status Change Notification

Item Type: Document
Event: Status Change
Criteria: The following criteria are applied:

AND General - [ Document Type ] Is equal to EF Form

AND ( Status - [ Status ] Is equal to Accepted
OR Status - [ Status ] Is equal to Rejected
OR Status - [ Status ] Is equal to Problem with Submission )
AND Template - [ Filing Body ] Is equal to Delaware Division of Corporations

ASIC electronic filing in Australia

Description: ASIC Electronic Filing Status Change Notification

Item Type: Document
Event: Status Change
Criteria: The following criteria are applied:

AND General - [ Document Type ] Is equal to EF Form

AND ( Status - [ Status ] Is equal to Registered
OR Status - [ Status ] Is equal to Rejected
OR Status - [ Status ] Is equal to Problem with Submission )
AND Template - [ Filing Body ] Is equal to Australian Securities and Investment Commission

The above examples are shipped with GEMS as the default criteria for Electronic Filing Status Change
Notifications, to ensure that users don’t set up duplicate notifications.

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