ASTRA
AiB Supervision of Trust Deeds, Registration & Advertisement System
USER GUIDE
User Guide Issue 7
27/6/17
ASTRA User Guide
Issue date: 27 June 2017
Version: Issue 7
Table of Contents
1
Introduction
4
2
Overview
4
2.1
2.2
2.3
2.4
Features
Roles
Navigation
Other Concepts
4
4
4
5
General Functions
6
3.1 User Details
3.2 Changing User Password
3.3 Changing User Details
6
8
9
Maintenance
11
4.1 Maintaining Users
11
User Dashboard
15
5.1 Workflow Queue
5.2 Message Queue
16
16
Trust Deed Search
17
6.1 Case Reference Search
6.2 Trust Deed Search
18
18
Creating a New Trust Deed – Form 1
19
7.1 Creating a New Trust Deed
19
3
4
5
6
7
7.1.1
7.1.2
7.1.3
7.1.4
7.1.5
8
Personal Details and Also Known As
Current and Previous Addresses
Trading As and Previous Trading As Addresses
Creditors
Actions
20
21
24
24
26
Processing, Navigating and Obtaining Details of a Case
27
8.1 Form 3 Process
28
8.1.1
8.1.2
8.1.3
8.1.4
Creating a Form 3
Attach Form 3 Supporting Documents
Validating, Saving and Submitting a Form 3
Upload Documents
28
31
32
32
8.2 Form 4 Process
8.2.1
8.2.2
34
Dashboard Search
Creating a Form 4
35
35
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8.2.3
8.2.4
8.2.5
8.2.6
Attach Form 4 Supporting Documents
Form 4 Statements
Validating, Saving and Submitting a Form 4
Export Form 4 to PDF
38
39
39
40
8.3 Form 5 Process
8.3.1
8.3.2
8.3.3
8.3.4
40
Creating a Form 5
Attach Form 5 Supporting Documents
Validating, Saving and Submitting a Form 5
Export Form 5 to PDF
40
43
43
44
8.4 Form 6 Process
8.4.1
8.4.2
8.4.3
8.4.4
8.4.5
44
Creating a Form 6
Attach Form 6 Supporting Documents
Form 6 Statements
Validating, Saving and Submitting a Form 6
Export Form 6 to PDF
44
48
48
49
49
8.5 Form 7 Process
8.5.1
8.5.2
8.5.3
8.5.4
8.5.5
50
Creating a Form 7
Attach Form 7 Supporting Documents
Form 7 Statement
Validating, Saving and Submitting a Form 7
Export Form 7 to PDF
50
52
52
53
53
8.6 Form 11 process
8.6.1
8.6.2
8.6.3
8.6.4
53
Creating a Form 11
Attaching Form 11 supporting documents
Validating, Saving and Submitting a Form 11
Export Form 11 to PDF
54
55
55
56
8.7 Case Summary Screen
8.7.1
8.7.2
8.7.3
8.7.4
56
Accessing the Case Summary Screen
Details
Previous Events
Navigation to Other Functions
57
57
58
59
8.8 Case Details
8.8.1
8.8.2
8.8.3
8.8.4
59
Case Details: Debtor
Case Details: Trustee
Case Details: Trust Deed
Case Details: Creditors
59
60
61
61
8.9 Form 1
8.10 Form 3
8.11 Create Notes
8.12 View Case Notes
8.13 View Case Documents
8.14 Create Message
8.14.1
62
62
62
63
64
64
Diary Reminders
64
8.15 Transactions
65
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Issue date: 27 June 2017
Version: Issue 7
1
Introduction
The purpose of this document is to provide users with a description of
the functionality available in the ASTRA system and instructions on
how to use this functionality.
The guide provides users with all the necessary information to use
ASTRA as required in order to complete the various steps in the Trust
Deed process. As new functionality is added to ASTRA, the User
Guide will be updated to reflect this.
2
Overview
2.1
Features
ASTRA is a web based application with the following main features:

It allows secure access via the AiB website www.aib.gov.uk and
standard web browsers such as Internet Explorer, Chrome, Safari, and
Firefox;

It provides comprehensive functionality, and provides clearly defined
roles for all ASTRA Users;

It allows maintenance of records in a central database. This means
that all users see the latest information relevant to their role;

It has a robust security system that provides appropriate access in
accordance with the role of an ASTRA user.
2.2
Roles
ASTRA has roles set up for each main user type in order to make the system
easier to use and to ensure that users only see information appropriate to
their role.
2.3
Navigation
Navigation through ASTRA is designed to be consistent throughout the
system. The following principles apply to all screens:

The application is web based and uses a series of screens for
presentation and update of data;
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
Each screen has text and active components such as text entry fields,
drop down lists, check boxes, hyperlinks and buttons;

Some data entry fields are greyed out. This means that the user does
not have sufficient permissions to change the data or that the values in
these fields are automatically calculated;

The screens are accessed by clicking on appropriate links on the top
menu. The menu is structured as a hierarchy. Menu items appear or
are hidden according to the logged in user’s role;

Date entry fields accept dates in the form ‘dd/mm/yyyy’, however popup calendars are available to allow easy selection of dates;

The user returns to their customisable homepage (User Dashboard)
from any point in the system by clicking the AiB logo on the menu bar
(on the left).
Where screens include additional navigation options, these are covered in the
relevant specific sections of this User Guide.
2.4
Other Concepts
This section summarises other key concepts which users need to be aware of
when using ASTRA. These are listed below:

If a field is marked with an asterisk, then it is mandatory that a user
completes the mandatory information before attempting to submit the
record;

If mandatory information has not been entered into a screen, or data
has been entered in an incorrect format, error messages are displayed
to inform the user of the mandatory information that must be
completed. These validation errors are displayed in red and appear at
the top of the screen or next to the mandatory field to be completed.
As an example, if the user has not entered the first line of an address,
when the user clicks save, validate or submit, a message is displayed
informing them that they have not entered the first line of the address;

Validation logic is applied to entries in defined fields. As an example
an end date must be later than a start date;

When a screen form is completed or changed, it is necessary to save
the changes by clicking on the save or submit button as appropriate. If
the user navigates to another screen without performing this step, any
changes are likely to be lost.
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3
General Functions
This section describes functions which all ASTRA users’ access irrespective
of their defined system role.
3.1
User Details
Each user is issued with a username and password by their Administrator who
adds users to the ASTRA system (as described in 4.1 Maintaining Users).
3.2
Logging On
ASTRA can be accessed using the link on the AiB website:
www.AiB.gov.uk
Alternatively the user can access ASTRA by entering the following address
into the address bar at the top of your Internet browser:
https://astra.aib.gov.uk/Astra/
Enter the username and password in the appropriate text boxes as shown in
Figure 3.1 and click the ‘Login’ button.
Figure 3.1 ASTRA LOGIN Screen
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AiB can display system messages on the ASTRA login screen to notify users
of important updates and issues.
If a user has forgotten their password, they click on the ‘Forgot your
password?’ link and enter the username on the screen as shown in Figure
3.2. A password is then emailed to the user’s registered email account.
Figure 3.2 ASTRA Regenerate Password Screen
If the username entered is invalid, the system displays an error message as
shown in Figure 3.3 and does not send out a new password.
Figure 3.3 Regenerate Password Error Screen
In the event that a user cannot remember their username, they must contact
their system administrator.
Once the user has successfully logged in to ASTRA, the name of the loggedin user is displayed at the top right of the screen as shown in Figure 3.4. A
menu of available options is presented at the top left hand corner of the page.
The options displayed are dependent on the roles granted to the logged-in
User. In the example below (Figure 3.4) the User is a System Administrator
(aib.systemAdmin). Clicking on a menu option displays the required screen.
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Figure 3.4 ASTRA Successful Login
3.2
Changing User Password
A user registered in ASTRA changes their password by selecting ‘Change
Password’ under ‘User’ menu option as shown in Figure 3.5.
Figure 3.5 Navigate to Change Password Screen
In order to change their password the user must complete 3 fields:

Current Password;

New Password;

Confirm New Password.
Once the required information is entered, click the ‘Change Password’ button.
If the password change is successful the User Dashboard screen is displayed
(Figure 3.6). If the Current Password entered does not match the Current
password stored by the system, an error message is displayed. Likewise if
the New Password and Confirm New Password fields do not match an error
message is displayed.
The next time a user logs in to ASTRA the new Username and/or password
become valid.
For security reasons, all Passwords must be at least 8 characters and contain
each of the following features:

An uppercase letter;

A digit (0-9);

A non-alphanumeric character (e.g. #,@,?).
Non-adherence to these rules results in an error message being displayed.
When choosing a New Password, the system does not allow user to re-use
any of their 12 previous passwords.
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Figure 3.6 Change Password Screen
3.3
Changing User Details
Users maintain their personal details stored in ASTRA, including Name,
Address and Contact Details. This is done on the ‘Maintain My User Details’
screen, which is accessed by selecting the ‘Maintenance’ option from the
Main Menu toolbar, then by selecting ‘My Details’ from the sub-menu (Figure
3.7).
Figure 3.7 Navigation: Maintenance  My Details
The ‘Maintain My User Details’ screen, as shown in Figure 3.8, allows users to
edit all fields, except for their Username and Organisation which are readonly.
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Figure 3.8 Maintain My User Details Screen
The ‘Maintain My User Details’ screen offers users a secondary location within
the system in which they can change their password (the first is described in
Section 3.4). The user must enter their new password and then confirm the
new password.
To assist users when entering addresses, a postcode lookup feature is used
throughout the ASTRA system. Users input their Postcode into the ‘Postcode’
field then click the ‘Find Address’ button. If a valid UK postcode is entered,
the ‘Addresses’ drop-down list is populated with all the addresses in the
postcode supplied. The user must then select the appropriate address from
the ‘Addresses’ drop-down list as shown in Figure 3.9. If the address is not
shown in the drop down list, the user should select ‘none of the above’ which
will allow the user to enter the address manually.
Figure 3.9 Postcode Lookup Feature
If the changes made are valid, a ‘Validation Success’ message is displayed at
the top of the page (Figure 3.10) and the changes are saved. Otherwise an
appropriate error message is displayed highlighting any validation errors that
have occurred (Figure 3.11).
Figure 3.10 My Details Successfully Updated
Figure 3.11 My Details Validation Error
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If the user does not wish to make changes or wishes to cancel the changes
they began making to their details they simply click the ‘Cancel’ button which
takes the user to the ‘User Dashboard’ screen. To save any changes made to
their personal details, users simply click the ‘Save’ button.
4
Maintenance
This section describes the processes of adding, editing and deleting of Users,
Roles, Organisations and Lists to the ASTRA system.
4.1
Maintaining Users
The User Maintenance screen, as shown in Figure 4.1, is only available to
users with the necessary Roles and Permissions. AIB Admins see all system
users, whereas IP Admins only see system users within their own
organisation. The User Maintenance facility is used by Administrators to add,
edit and delete users from the ASTRA system.
Figure 4.1 – User Maintenance Screen
This screen allows you to search for a particular user within your organisation
by specifying your search criteria and clicking the ‘Search Users’ button. The
search results will be displayed, allowing you to select the relevant user
account.
Figure 4.2 – Add New User Option
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To add a new User to the system, click the ‘Add New User’ button and the
‘Create User’ screen, as shown in Figure 4.3, will be displayed. As with all
screens in ASTRA, mandatory fields are marked with an asterisk (*). Failure
to complete a mandatory field results in an error message being displayed.
Each new User created is assigned a Role or a number of Roles which are
selected from a list of Roles in the ‘Role Details’ section of the ‘Create User’
screen. Each Role has an associated list of permissions which govern user
activities throughout ASTRA. After clicking ‘Create’ the user is added to the
list of system users as shown in Figure 4.4.
Figure 4.3 – Create User
Figure 4.4 – User Maintenance – New User Added
Existing user details are updated by clicking once on the relevant User in the
list on the ‘User Maintenance’ screen (Figure 4.4) and the ‘User Details’
screen will appear (Figure 4.5).
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Figure 4.5 – User Details
To update the user details, click the ‘Update’ button, which can be found at
the bottom of the screen. The Update User Details screen is displayed (Figure
4.6).
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.
Figure 4.6 – User Maintenance Edit Update User Details
User details are edited by making a valid amendment to the appropriate field
and then completed by clicking the ‘Update’ button at the bottom of the page.
If the update is successful, the User Maintenance screen is displayed. If the
update is unsuccessful due to validation reasons, an appropriate error
message is displayed at the top of the page indicating why the error has
occurred. An example of this is shown in Figure 4.7 (below) where a User’s
Telephone Number has been removed then the save button clicked, but due
to Telephone Number being a mandatory field this triggered a validation error
which displays an appropriate error message.
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Figure 4.7 – User Maintenance – Edit/Update User Error
Users are deleted by clicking once on the row of the relevant User in the list of
Users, which highlights that row, then by clicking the ‘Delete’ button. The
Delete User screen for the highlighted User is displayed, as shown in Figure
4.8. The User deletion is completed by clicking ‘Delete’ on the ‘Delete User’
screen. A successful deletion results in the User Maintenance screen (Figure
4.1) being displayed and the deleted User is no longer visible in the list of
system users.
It is not possible for a User to delete their own user account from ASTRA.
Figure 4.8– User Maintenance – Delete User
5
User Dashboard
After successfully logging in to ASTRA the User is directed to the User
Dashboard screen as shown in Figure 5.1.
The dashboard contains a search facility, which allows users to obtain lists of
cases at a particular status in ASTRA to create a workflow queue, for
example, Notice of Trust Deed - Created. Users can also select their
preferred way of sorting the results, for example, Published ROI Date (Oldest
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First). The list of cases will appear in the Trust Deed Results section of the
screen.
Figure 5.1 – User Dashboard
Below the workflow queue there is also a Message Queue.
5.1
Workflow Queue
The queues to which a User has access are defined by the User’s Role. For
example, an AiB Administrator sees all queues whereas a non-AiB
Administrator User only sees queues to which the Administrator has granted
their Role access to.
Similarly, the content of the queues is controlled by the Organisation to which
a User belongs. An AiB User sees all Trust Deed cases in a particular queue,
whereas a Trustee User only sees Trust Deed cases related to their own IP
organisation.
If a user moves away from the User Dashboard screen and then returns to the
screen, the search criteria previously entered will be retained. To carry out a
new search and create a new workflow, the user will be required to reset the
search before entering new search criteria.
5.2
Message Queue
A Message Queue is located on the user Dashboard, below the Workflow
queue, which contains details of the latest messages received (Figure 5.2).
Figure 5.2 – Latest Messages Received
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Users can also access their Sent and Received messages by selecting the
‘Messages’ option from the Main Menu toolbar, then by selecting ‘Received’ or
‘Sent’ from the sub-menu (Figure 5.3).
Figure 5.3 – Messages
The ‘Subject’ column in the Message Queue contains a hyperlink which when
clicked takes the user to the ‘View Message’ screen (Figure 5.4).
The ‘View Message’ screen shows a read-only view of the Message Details
and a list of viewable attachments which can be opened or saved by clicking
the ‘View’ hyperlink. It also contains Message Thread list which shows the
messages sent between two users. Each of the messages in the Message
thread is also viewable by clicking the hyperlink in the ‘Subject’ column.
Figure 5.4 – View Message
6
Trust Deed Search
The ASTRA system allows users to perform a Trust Deed search in two ways:

Using the ‘Case Reference’ search box located on the main menu bar
(Figure 6.1). This functionality is available to all system users and does
not require the user to have any specific permissions;

Selecting ‘Trust Deed Search’ from the ‘Trust Deed’ menu item. This
functionality is only available to users with the required permission.
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6.1
Case Reference Search
To use the Case Reference Search users are required to either enter the full
case reference number e.g. ‘2014/500000’ or alternatively make use of
ASTRA’s wild card search functionality using an asterisk (*) to stand for one or
more unspecified characters.
Figure 6.1 – Case Reference Search
Figure 6.2 – Case Reference Search - Wildcards
An example wild card search is shown in Figure 6.2, where the an AiB user
has entered ‘2014/50000*’ into the Case Reference search box then clicked
the ‘Search’ button which then returned 10 cases in the search results.
6.2
Trust Deed Search
To search for a Trust Deed based a number of different criteria, ASTRA’s
‘Trust Deed Search’ facility (Figure 6.3) can be used. The ‘Trust Deed
Search’ is available to all users with the required permissions, however the
following three of the search criteria fields are only visible to AiB and IP users:
‘Under Review’, ‘Under Audit’ and ‘Direction Issued’.
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Figure 6.3 – Trust Deed Search
The Trust Deed Search offers the user the following three options: ‘Search’,
‘Clear’ and ‘Export to Excel’.
Button Label
Action Performed
Search
System uses all the specified search criteria to search and
display matching trust deeds.
Clear
System clears and resets all search criteria fields to blank\default
values.
Export to Excel Exports the users search results to Microsoft Excel
7
Creating a New Trust Deed – Form 1
This section describes the ASTRA functionality relating to processing and
viewing Trust Deed Details.
7.1
Creating a New Trust Deed
To begin creating a New Trust Deed, simply click the ‘Trust Deed’ button on
the menu bar at the top of the screen and select the ‘New Trust Deed’ option
as shown in Figure 7.1.
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Figure 7.1 – Trust Deed > New Trust Deed
Once the User has completed this step, the New Trust Deed screen is
displayed. This is a single screen on ASTRA however for illustrative purposes
this guide shows the screen split into the following sections:

Personal Details and Also Known As;

Current and Previous Residential Addresses;

Current and Previous Trading As Addresses;

Creditors;

Actions.
The details to be entered on this screen match the information required and
layout of the statutory Form 1.
7.1.1
Personal Details and Also Known As
The first set of information that the User must enter are the details of the
Trustee, personal details of the Debtor, including contact information, as
shown in Figure 7.2.
Mandatory fields are marked with an asterisk
(*).
Figure 7.2 – Form 1 – Personal Details
If the Debtor has changed their name or are known by another name, the
User must add this to the ‘Debtor’s other Names’ section (Figure 7.3). To add
a name/names to the list, the User clicks the ‘update debtor other names’
button which takes the user to a separate screen (Figure 7.3).
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Figure 7.3 – Form 1 – Add Debtor Other Name
Once the mandatory fields (Title, First Name, Last Name) which are marked
with an asterisk (*) are populated, the user clicks the ‘Add and return’ button.
If successfully added the User is taken back to the Form 1 and the name
entered is now visible in the ‘Debtor Other Names’ section. If the debtor has
more than one other name then the user would click the ‘add’ button and the
relevant fields completed as above.
After selecting ‘Add and return’ the User is returned to the New Trust Deed
screen and the added name is displayed in the ‘Debtor Other Names section’
as shown in Figure 7.4.
Figure 7.4 – Form 1 – Debtor Other Name Added
Once a name has been added to the list the User can delete an entry by
clicking on ‘Update Debtor Other Names’ as shown in Figure 7.4. The User is
taken to the Update Debtor other Names screen The user would then select
the name that requires to be deleted and click ‘Remove selected names’.
7.1.2
Current and Previous Addresses
The next sections of the New Trust Deed screen to be completed relate to
main residence, other owned and previous addresses, as shown in Figure 7.5.
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Figure 7.5 – Form 1 – Residence & Previous Address
Main residence address
The User is required to add the current and residential addresses of the
Debtor. The User inputs the Debtor’s Postcode into the ‘Search Postcode’
field then clicks the ‘Find Main Residence Address’ button. If a valid UK
postcode is entered, the ‘Matched Addresses’ drop-down list is populated with
all the addresses in the postcode supplied. The User must then select the
appropriate address from the ‘Matched Addresses’ drop-down list as shown in
Figure 7.6. Once selected this will pre-populate the address fields.
Figure 7.6 – Form 1 – Postcode Lookup feature
If the address is not shown in the drop down list, the user should select ‘none
of the above’ which will then open the address fields (Figure 7.7) to allow the
user to enter the address manually.
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Figure 7.7 – Form 1 – entering an address manually
Other Owned Addresses
To enter an ‘other owned address’ the User clicks on ‘update other owned
addresses’. (Figure 7.8) This takes the user to the ‘update other owned
addresses’ screen. The user inputs a postcode in the ‘search postcode’ field
and clicks ‘find addresses’. If a valid UK postcode is entered, the ‘Matched
Addresses’ drop-down list as shown in Figure 7.6. The User must then select
the appropriate address from the drop-down list. Once selected this will prepopulate the address fields. The User then clicks ‘Add’ to add another other
owned address or ‘Add and Return’ to return to the New Trust Deed screen.
Figure 7.8 – Entering Other Owned addresses
Previous Addresses
To enter a previous address the User clicks on ‘Update Previous Addresses’.
(Figure 7.9). This takes the user to the ‘Update Previous addresses’ screen
and an address can be added in the same way as the ‘other owned
addresses’ steps shown above.
The deletion of previous addresses or other known addresses is achieved in
the same way to the deleting of ‘Also known as’ names described previously.
Both adding and editing addresses takes the User to a separate screen to
perform the operation before returning the user to the New Trust Deed screen.
Both the screens for the adding and editing of the Previous Addresses also
contain the postcode lookup feature as shown in Figure 7.6.
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Figure 7.9 – Entering previous address
7.1.3
Trading As and Previous Trading As Addresses
The next section of the New Trust Deed screen the User completes, is to
enter the Debtor’s current and previous Trading As Addresses, if applicable,
as shown in Figure 7.10.
Figure 7.10 – Form 1 – Trading As & Previous Trading As Addresses
The addition and deletion of ‘Previous Trading As Addresses’ is achieved in
the same way as the addition and deletion of previous residential addresses.
The screen for the adding and editing of the Previous Trading As Addresses
also contains the postcode lookup feature as shown in Figure 7.6.
7.1.4
Creditors
The final section to be completed on the New Trust Deed page is the addition
of Creditors. To enter creditors the User clicks on ‘update creditors’ (Figure
7.11).
Figure 7.11 – Form 1 – Choosing Creditors
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This will take the User to the Update creditors screen. (Figure 7.12). To enter
a Creditor a User can select a creditor from the drop down list then click ‘add
selected creditors’. This process is repeated until all creditors have been
added. Once all the creditors have been selected the User will click ‘add
selected creditors and return. This will take the User to the New Trust Deed
screen.
Figure 7.12 – Update creditors
To add a new creditor the User will click ‘create new creditor’. This will take
the User to the Create Creditor screen. (Figure 7.13) The creditors details
should be completed in the appropriate fields and the address is completed by
using the postcode lookup features as shown previously. When all fields have
been completed, the User will click ‘create creditor’.
Figure 7.13 – Create creditor
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7.1.5
Actions
There are 3 action buttons at the bottom of the New Trust Deed Screen
(Figure 7.14).
Figure 7.14 – Form 1 – Action Buttons
The action performed when each button is clicked is described in Table 7.1
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 1
System performs validation when Save is clicked and highlights any
errors
Validate
System performs validation and highlights any errors (Figure 6.9)
Submit
Allows user to submit progress of a valid Form 1
System performs validation when Save is clicked and highlights any
errors
Table 7.1 – Form 1 – Action Performed on Button Click
An example of validation errors after a user clicks the ‘Validate’ button is
shown in Figure 7.15 and shows the validation errors a User receives if they
click validate on a blank New Trust Deed. All validation errors must be fixed
before the user is allowed to Save or Submit.
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Figure 7.15 – Form 1 – Validation Errors example
8
Processing, Navigating and Obtaining Details of a Case
Once a New Trust Deed is created, the User has a number of options
available as the case progresses. These are:

Form 3 process - Creating, Validating, Saving and Submitting;

Form 4 process – Creating, Validating, Saving and Submitting;

Form 5 process – Creating, Validating, Saving and Submitting;

Form 6 process – Creating, Validating, Saving and Submitting;

Form 7 process – Creating, Validating, Saving and Submitting;

Viewing the Case Summary screen;

Changing the Case Status;

Viewing Case Details;

Creating a Note;

Viewing a Note;

Viewing Case Documents;
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These options are described in the remainder of Section 8.
8.1
Form 3 Process
Once the Create a New Trust Deed process is complete, the next step in the
Trust Deed process covered by the ASTRA system is entering a Form 3.
8.1.1
Creating a Form 3
To create a Form 3, the User selects the Form 3 button on the Case Summary
screen, described in section 8.3.
Form 3 contains a mixture of pre-populated data and fields that require user
input. Figure 8.1 shows the first section of Form 3 which contains prepopulated data regarding the Trust Deed.
If the Trust Deed is linked to another Trust Deed case which is in the ASTRA
system, the User checks the Linked to another Trust Deed? checkbox which
then populates the PTD Ref. dropdown list with any valid PTD References
that are linked to the current Trust Deed. After selecting a PTD Reference
from the drop-down list, the Name of Linked Applicant field is automatically
populated with the relevant read-only value.
If the Trust Deed Granted is linked to another Trust Deed which is in the
previous system (MIDAS) and not in ASTRA then the user does not check
the Linked to another Trust Deed? checkbox.
Figure 8.1 – Form 3 – Trust Deed Granted section
The Debtor’s Detail section (Figure 8.2) contains mainly pre-populated fields.
The only required input from the User is to select ‘Yes’ or ‘No’ to the Does
debtor own property field.
If the User selects ‘Yes’ to ‘Does debtor own property?’:

The User then selects a response from ‘Is property excluded?’ dropdown
list;
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
If the user selects ‘Yes’ from the ‘Is property excluded?’ dropdown list,
when they click ‘Validate’ or ‘Submit’ a validation error message is
displayed informing the user that if the property is excluded then a Form
1A must be attached.

The User fills in the full amount of the debtor's share of equity in property
field before any selling costs
Figure 8.2 – Form 3 – Debtor’s Details section
The third section of Form 3 is for entering the Trustee and Third Party Fees
information (Figure 8.3).
Figure 8.3 – Form 3 – Trustee and Third Party Fees section
The fourth section of Form 3 is for entering the Expected Realisation for
Creditors information (Figure 8.4).
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Figure 8.4 – Form 3 – Expected Realisation for Creditors section
The Notes section at the foot of the Form 3 page contains two notes (Note 1
and Note 3) which provide the User with additional information. The user is
diverted to these Notes when they click the ‘See Note 1’ or ‘See Note 3’
hyperlinks in the Trustee and Third Party Fees section (Figure 8.3) of Form 3
page. Note 2 contains two input boxes, Third Party Details which is a nonmandatory field and a mandatory field for explaining the reasons for
insolvency and details of any non-standard arrangements including details
and reasons for the non-realisation of any assets.
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Figure 8.5 – Form 3 – Notes section
8.1.2
Attach Form 3 Supporting Documents
There are a number of documents which must be uploaded to ASTRA prior to
submitting a Form 3 and these can be uploaded when completing the Form 3.
To attach Form 3 supporting documents, the user must click the Update
Documents button on the Form 3, as shown in Figure 8.6.
Figure 8.6 - Attach Form 3 Supporting Documents
The process for attaching a document is the same throughout the ASTRA
system and further instructions are given in section 8.1.4.
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8.1.3
Validating, Saving and Submitting a Form 3
There are 4 action buttons at the bottom of the Form 3 Screen (Figure 8.7).
Figure 8.7 – Form 3 – Action Buttons
The action performed when each button is clicked is described in Table 8.1
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 3
System performs validation when Save is clicked and highlights any
errors
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 3
System performs validation when Submit is clicked and highlights any
errors
Status becomes ‘Form 3 Submitted’ if it’s the first time being submitted
Status becomes ‘Form 3 Resubmitted’ if it’s been submitted and rejected
previously
Export to PDF
User can open or save Form 3 as a PDF
Table 8.1 – Form 3 – Action Performed on Button Click
Users can also return to the case summary screen by clicking Case Summary
at the bottom of the screen.
8.1.4
Upload Documents
Situations arise during the Trust Deed process where users are required to
upload necessary documents. Users can upload documents when completing
a form, where required to do so. They may also upload a document at any
point by clicking on Documents in the options list, Figure 8.8 and selecting
Upload. The process for upload documents is the same throughout the
ASTRA system.
Figure 8.8 – Case Summary Options Documents
The User is presented with the Upload Documents screen shown below
(Figure 8.9). Next the User selects the Document Type from the drop-down
list, the User also adds a note to accompany the Document being uploaded.
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Figure 8.9 – Attach Document
The User is then required to choose a file from the local file system, the file
system browser appears in a pop-up window and the User navigates to and
selects the relevant file to upload. The example below (Figure 8.10) shows
the User selecting a Form 1A text document to upload.
Figure 8.10 – Select Document to Upload
If the User is only uploading a single document, they select the appropriate
document and then choose ‘Save and Exit’, which attaches the document to
the case and returns the user to the Case Summary screen. If the User
intends to add more than one document they must choose ‘Save and Upload
Another’.
After a valid Form 3 is submitted, the case status is automatically changed to
Form 3 Submitted to reflect this. The User views the submitted Form 3 by
clicking the ‘Form 3’ button at the bottom of the Case Summary screen for the
relevant case. Each of the fields of a submitted Form 3 is read-only as shown
in Figure 8.11.
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Figure 8.11 – Form 3 Submitted – Read-Only
8.2
Form 4 Process
On each anniversary of a trust deed having been granted, a Form 4 must be
completed. This can be prepared and submitted electronically through the
ASTRA system.
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8.2.1
Dashboard Search
ASTRA will prompt a User when a Form 4 is due. The dashboard search will
allow users to pull lists of cases where a Form 4 is “Due” or “Overdue”.

Form 4 – Due
Cases will appear in this list two weeks prior to the anniversary of the trust
deed being granted. Users can create a Form 4 but will not be able to
submit it until the anniversary date has passed.

Form 4 – Overdue
Cases will appear in this list when the anniversary of the trust deed being
granted has passed.
Users can select the case, for which they wish to create a Form 4, from the
cases listed in the search results.
8.2.2
Creating a Form 4
To create a Form 4, the User selects the “Form 4” button on the Case
Summary screen (Figure 8.12).
Figure 8.12 – Case Summary Screen – Form 4
The Form 4 Index will appear which contains links allowing Users to view
Form 4 information that has been recorded, to date. Users may also create a
new Form 4 by selecting the “Create Form 4” button (Figure 8.13).
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Figure 8.13 – Form 4 Index – Create Form 4
Form 4 contains a mixture of pre-populated data and fields that require user
input. Figure 8.14 shows the first section of Form 4 which contains prepopulated data regarding the Trust Deed.
Figure 8.14 – Create Form 4 – Trust Deed Details
The second section of the Form 4 (Figure 8.15) is for entering information
regarding the management of the protected trust deed during the period in
question.
Figure 8.15 – Create Form 4 – Statement of Performance of Protected
Trust Deed
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
Expected Trustee Discharge Date
Populated from the information entered on the Form 3.

Column 1 – Form 3
Populated from the information entered on the Form 3.

Column 2 – Actual In Year
User enters the required information for the annual accounting period in
question. The fields marked with an asterisk (*) are mandatory fields
and a figure must be entered, even if that figure is ‘zero’.
Any interim dividend paid should be recorded in the relevant dividend
to preferred or ordinary creditors fields, Row R and S.
ASTRA will calculate the following figures on the Form 4 when the user
clicks the calculate button:
o
o
o
o
Total realisation from assets – Row F
Total cost of administration – Row L
Net realisation – Row M
Total debts due – Row Q
Migrated Cases
Protected trust deeds registered under The Protected Trust Deeds
(Scotland) Regulations 2008 have now been migrated to ASTRA. Users
can use ASTRA to submit Form 4s for PTDs registered under both the
2008 and 2013 PTD Regulations and the Bankruptcy (Scotland) Act 2016
Users will be required to make some changes to the way the Form 4
information is presented on ASTRA for migrated cases:

When Users complete their first Form 4 for migrated cases on ASTRA,
you must enter the total amount realised to date figures in Column 2 –
Actual in Year.
This will ensure that the ASTRA correctly calculates the figures
provided on any subsequent Form 4s.

Users must separate the amounts realised from moveable assets and
heritable assets.
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
There is a separate field in which Users can enter any bank interest.

Users must separate trustee remuneration and any fees and outlays.
As the fixed fee structure does not apply to protected trust deeds
registered under the 2008 PTD Regulations, this information must be
entered as follows:
 Trustee remuneration must be entered in the Trustees
Remuneration Taken (% of assets and contributions realised)
field – Row J.
 Outlays (including statutory fees and third party fee) must be
entered in the Outlays (including statutory fees and third party
fee) field – Row K.

Figures entered in the fields for debt due to preferred, ordinary and
postponed creditors should be entered as zero “0.00” unless an interim
dividend has been paid. Any amendments to the level of debt due to
preferred, ordinary and postponed creditors should be recorded in
column 4 – Final Expected.

Column 3 – Total Realised to Date
ASTRA will calculate the Actual In Year figures entered on each Form
4 recorded to populate this column with the total realised to date.

Column 4 – Final Expected
The figures in this column will be populated with the figures that have
previously been entered on the Form 3 or the latest Form 4. These
figures can be amended, if required.
8.2.3
Attach Form 4 Supporting Documents
Users must upload a copy of the Receipts and Payments prior to submission.
This document, along with any other supporting documentation, may be
uploaded to the ASTRA Form 4 screen by clicking the Update Documents
button, as shown in Figure 8.16. The process for uploading documents is
described in section 8.1.4. The document type ‘Form 4 receipts and
payments’ must be selected or the system will not allow you to submit the
Form 4.
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Figure 8.16 – Create Form 4 – Upload Form 4 Supporting Documents
8.2.4
Form 4 Statements
Users must complete the relevant Form 4 statements prior to submission:
 Statement 1 – Interim dividend
This statement should only be completed, if relevant.
 Statement 2 – Variation to expected final dividend
If there has been a change to the expected final dividend to
creditors, an explanation must be provided. This applies to
PTDs registered under the 2008 and 2013 PTD regulations
and must be completed, if relevant.
 Statement 3 – Expected final dividend reduced by 20% or
more
This statement only applies to PTDs registered under the
2013 Regulations and must be completed, if relevant.
8.2.5
Validating, Saving and Submitting a Form 4
There are 3 action buttons at the bottom of the Form 4 Screen (Figure 8.17).
Figure 8.17 – Form 4 – Action Buttons
The action performed when each button is clicked is described in Table 8.2
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 4
System performs validation when Save is clicked and highlights any
errors.
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** If user wishes to re-open a previously saved Form 4 and amend the
information, the user must select the relevant Form 4 on the Form 4
index list and click the Update button.**
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 4
System performs validation when Submit is clicked and highlights any
errors.
Table 8.2 – Form 4 – Action Performed on Button Click
Users can also return to the Form 4 Index list by clicking Return to Form 4
Index at the bottom of the screen.
8.2.6
Export Form 4 to PDF
When the Form 4 has been submitted, a button “Export to PDF” will appear to
allow the User to export the Form 4 information entered on ASTRA, to a PDF
Form 4 template. This Form 4 may then be issued to creditors, the debtor and
saved to the case file.
8.3
Form 5 Process
When a Trustee is satisfied that a debtor has met their obligations under the
terms of their trust deed, the trustee must submit a Form 5 to AiB in order that
the debtor’s discharge may be registered in the Register of Insolvencies. The
Form 5 can be prepared and submitted electronically through the ASTRA
system.
8.3.1
Creating a Form 5
To create a Form 5, the User selects the Form 5 button on the Case Summary
screen (Figure 8.18).
Figure 8.18 – Case Summary Screen – Form 5
.
The Form 5 List will appear and Users can create a new Form 5 by selecting
the “Create” button (Figure 8.19).
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Please note that in order to create a Form 5, all of the required Form 4s for
the relevant accounting periods, must have been submitted. If the Form 5
create button cannot be seen, Users should check the Form 4 index to ensure
that this has been done.
Figure 8.19 – Form 5 List – Create Form 5
Form 5 contains a mixture of pre-populated data and fields that require user
input. Figure 8.20 shows the first section of Form 5 which contains prepopulated data regarding the Trust Deed.
Figure 8.20 – Create Form 5 – Trust Deed Details
The second section of the Form 5 (Figure 8.21) is for entering information
regarding the current and expected realisation of the estate.
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Figure 8.21 – Create Form 5 – Current and Expected Realisation of
Estate
Migrated Cases
Previously, under the 2008 Regulations, a trustee had to submit a Form 5 to
confirm that the debtor had met their obligations and were being discharged
from their liabilities. This statutory form did not require you to complete any
information regarding the realisation of estate.
Form 5s can be submitted on ASTRA for PTDs registered under both the
2008 and 2013 PTD Regulations and the Bankruptcy (Scotland) Act 2016.
Users will be required to provide some additional information on the ASTRA
Form 5 for migrated cases.

Expected Final Distribution Date
User must enter the expected date for the final distribution of the
debtor’s estate.

Column 1 – Actual Totals
User must enter the following information in this column:






Number of contributions in-gathered – Row A
Total realisation from contributions – Row B
Other Miscellaneous funds – Row C
Total realisation from moveable assets – Row D
Total realisation from heritable assets – Row E
Total bank interest – Row G
ASTRA will calculate the following figures on the Form 4 when the user
clicks the calculate button:
o Total amount realised from assets - Row F
o Gross realisation - Row H
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
Column 2 – Expected Totals (Form 3)
The figures in this column will be populated from the information
entered on the Form 3 and cannot be changed.

Column 3 – Actual Expected Final Totals
The figures in this column will be populated from the most recent Form
4, or if there is no Form 4, the information from the Form 3.
8.3.2
Attach Form 5 Supporting Documents
Supporting documentation may be uploaded to the ASTRA Form 5 screen by
clicking the Update Documents button, as shown in Figure 8.22. The process
for uploading documents is described in section 8.1.4.
Figure 8.22 – Create Form 5 – Upload Form 5 Supporting Documents
8.3.3
Validating, Saving and Submitting a Form 5
There are 3 action buttons at the bottom of the Form 5 Screen (Figure 8.23).
Figure 8.23 – Form 5 – Action Buttons
The action performed when each button is clicked is described in Table 8.3
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 5
System performs validation when Save is clicked and highlights any
errors.
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 5
System performs validation when Submit is clicked and highlights any
errors.
Table 8.3 – Form 5 – Action Performed on Button Click
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Users can also return to the Form 5 Index list by clicking Form 5 Index at the
bottom of the screen.
8.3.4
Export Form 5 to PDF
When the Form 5 has been submitted, a button “Export to PDF” will appear to
allow the User to export the Form 5 information entered on ASTRA, to a PDF
Form 5 template.
8.4
Form 6 Process
The trustee is required to seek their discharge from creditors within 28 days of
the final distribution under the PTD. The trustee applies to the creditors in
Form 6 and must submit a copy of the Form 6 to AiB if it is a case registered
under the Protected Trust Deed (Scotland) Regulations 2013. The Form 6
can be prepared and submitted electronically through the ASTRA system.
Users must enter the Form 6 information to ASTRA for cases registered under
both the 2008 and 2013 PTD regulations and the Bankruptcy (Scotland) Act
2016. (see Migrated Cases note).
The information entered on the Form 6 will populate the Form 7.
8.4.1
Creating a Form 6
To create a Form 6, the User selects the Form 6 button on the Case Summary
screen (Figure 8.24).
Figure 8.24 – Case Summary Screen – Form 6
The Form 6 List will appear and Users can create a new Form 6 by selecting
the “Create Form 6” button (Figure 8.25). Please note that in order to create a
Form 6, all of the required Form 4s for the relevant accounting periods, must
have been submitted. If the Form 6 create button cannot be seen, Users
should check the Form 4 index to ensure that this has been done.
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Figure 8.25 – Form 6 List – Create Form 6
Form 6 contains a mixture of pre-populated data and fields that require user
input. Figure 8.26 shows the first section of Form 6 which contains prepopulated data regarding the Trust Deed.
Figure 8.26 – Create Form 6 – Trust Deed Details
The second section of the Form 6 (Figure 8.27) is for entering information
regarding the realisation and distribution of the estate.
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Figure 8.27 – Create Form 6 – Statement of Realisation and Distribution
of Estate

Final Distribution Date
User enters the date of the final distribution in the relevant field.

Column 1 – Final Total
User enters details of the final distribution of estate in the relevant
fields. The fields marked with an asterisk (*) are mandatory fields and
a figure must be entered, even if that figure is ‘zero’.
ASTRA will calculate the following figures on the Form 6 when the user
clicks the calculate button:
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o
o
o
o
o
o
o
o
Total realisations from assets – Row F
Gross realisation – Row H
Total cost of administration – Row L
Net realisation – Row M
Total debts due – Row Q
Dividend paid to preferred creditors (if relevant) – Row R
Dividend paid to ordinary creditors – Row S
Dividend paid to postponed creditors (if relevant) – Row V
Migrated Cases
Protected trust deeds registered under The Protected Trust Deeds
(Scotland) Regulations 2008 have now been migrated to ASTRA. In order
that migrated cases may be administered on ASTRA, Users must enter the
Form 6 information to ASTRA.
Users can create and submit Form 6s for PTDs registered under both the
2008 and 2013 PTD Regulations and the Bankruptcy (Scotland) Act 2016
using ASTRA.
Users will be required to make some changes to the way the Form 6
information is presented on ASTRA for migrated cases:

Users must separate the amounts realised from moveable assets and
heritable assets.

There is a separate field in which Users can enter any bank interest.

Users must separate trustee remuneration and any fees and outlays.
As the fixed fee structure does not apply to protected trust deeds
registered under the 2008 PTD Regulations, this information must be
entered as follows:
 Trustee remuneration must be entered in the Trustees
Remuneration Taken (% of assets and contributions realised)
field – Row J.
 Outlays (including statutory fees and third party fee) must be
entered in the Outlays (including statutory fees and third party
fee) field – Row K.
 Column 2 – Expected Form 3
Populated from the information entered on the Form 3.
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 Column 3 – Variance
ASTRA will calculate any variance between the estimated figures
entered on the Form 3 and the final totals as entered in Form 6.
8.4.2
Attach Form 6 Supporting Documents
Users must upload a copy of the Receipts and Payments prior to submission.
This document, along with any other supporting documentation, may be
uploaded to the ASTRA Form 6 screen by clicking the Update Documents
button, as shown in Figure 8.28. The process for uploading documents is
described in section 8.1.4. The document type ‘Form 6 receipts and
payments’ must be selected or the system will not allow you to submit the
Form 6.
Figure 8.28 – Create Form 6 – Upload Form 6 Supporting Documents
8.4.3
Form 6 Statements
Users must complete the relevant Form 6 statements prior to submission:
 Statement 1 – Protected trust deed ceases to be operative
User must provide an explanation as to why the trust deed has
failed, if relevant.
 Statement 2 – Final dividend to creditors
User must select the statement relevant to that particular PTD,
either:
o The final dividend is the same as the estimated
dividend declared on the Form 3
Or
o The final dividend has varied from as the estimated
dividend declared on the Form 3 (reasons for the
variation must be provided).
 Statement 3 – Debtor discharged?
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User must select the statement relevant to that particular PTD,
either:
o Debtor has been discharged from the protected
trust deed.
Or
o Debtor has not been discharged from the protected
trust deed and is liable to pay the balance of all
debts owed to creditors.
8.4.4
Validating, Saving and Submitting a Form 6
There are 3 action buttons at the bottom of the Form 6 Screen (Figure 8.29).
Figure 8.29 – Form 6 – Action Buttons
The action performed when each button is clicked is described in Table 8.4
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 6
System performs validation when Save is clicked and highlights any
errors.
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 6
System performs validation when Submit is clicked and highlights any
errors.
Table 8.4 – Form 6 – Action Performed on Button Click
Users can also return to the Form 6 Index list by clicking Form 6 List at the
bottom of the screen.
8.4.5
Export Form 6 to PDF
When the Form 6 has been submitted, a button “Export to PDF” will appear to
allow the User to export the Form 6 information entered on ASTRA, to a PDF
Form 6 template. This Form 6 may then be issued to creditors and saved to
the case file.
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8.5
Form 7 Process
A Form 7 must be submitted when the creditors have agreed to the trustee’s
request to be discharged from a PTD. The Form 7 can be prepared and
submitted electronically through the ASTRA system.
The information previously entered on Form 6 will populate the Form 7.
8.5.1
Creating a Form 7
To create a Form 7, the User selects the Form 7 button on the Case Summary
screen (Figure 8.30).
Figure 8.30 – Case Summary Screen – Form 7
Form 7 contains a mixture of pre-populated data and fields that require user
input. Figure 8.31 shows the first section of Form 7 which contains prepopulated data regarding the Trust Deed.
Figure 8.31 – Create Form 7 – Trust Deed Details
The second section of the Form 7 (Figure 8.32) is for entering the statement
of realisation and distribution of the estate.
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Figure 8.32 – Create Form 7 – Statement of Realisation and Distribution
of Estate

Date creditors consented to discharge of trustee
User enters the date the creditors consented to the discharge of the
trustee in the relevant field.

Column 1 – Form 6 Totals
Populated by information previously entered on Form 6

Column 2 – Final Totals
Populated by information previously entered on Form 6, however, the
figures in this column may be amended, if required.
Migrated Cases

Users must separate the amounts realised from moveable assets and
heritable assets.

There is a separate field in which Users can enter any bank interest.
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
Users must separate trustee remuneration and any fees and outlays.
As the fixed fee structure does not apply to protected trust deeds
registered under the 2008 PTD Regulations, this information must be
entered as follows:
 Trustee remuneration must be entered in the Trustees
Remuneration Taken (% of assets and contributions realised)
field – Row J.
 Outlays (including statutory fees and third party fee) must be
entered in the Outlays (including statutory fees and third party
fee) field – Row K.
ASTRA will calculate the figures on the Form 7 when the user clicks the
calculate button.

Column 3 – Expected (Form 3)
Populated by information previously entered on Form 3

Column 4 – Variance
ASTRA will calculate any variance between the estimated figures
entered on the Form 3 and the final totals as entered in column 2 on
Form 7.
8.5.2
Attach Form 7 Supporting Documents
Users must upload a copy of the Receipts and Payments prior to submission.
This document, along with any other supporting documentation, may be
uploaded to the ASTRA Form 7 screen by clicking the Update Documents
button, as shown in Figure 8.33. The process for uploading documents is
described in section 8.1.4. The document type ‘Form 7 receipts and
payments’ must be selected or the system will not allow you to submit the
Form 7.
Figure 8.33– Create Form 7 – Upload Form 7 Supporting Documents
8.5.3
Form 7 Statement
Users must complete a statement regarding the distribution of the estate prior
to submitting the Form 7.
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The user must confirm that the final distribution is unchanged from that which
was stated on the Form 6 or that the information provided on the Form 7 is a
revised statement of the final realisation and distribution of the estate.
8.5.4
Validating, Saving and Submitting a Form 7
There are 3 action buttons at the bottom of the Form 7 Screen (Figure 8.34).
Figure 8.34 – Form 7 – Action Buttons
The action performed when each button is clicked is described in Table 8.5
below.
Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 7
System performs validation when Save is clicked and highlights any
errors.
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 7
System performs validation when Submit is clicked and highlights any
errors.
Table 8.5 – Form 7 – Action Performed on Button Click
Users can also return to the Case Summary screen by clicking Case
Summary at the bottom of the screen.
8.5.5
Export Form 7 to PDF
When the Form 7 has been submitted, a button “Export to PDF” will appear to
allow the User to export the Form 7 information entered on ASTRA, to a PDF
Form 7 template.
8.6
Form 11 process
A Form 11 must be submitted when the creditors have agreed to the trustee’s
request to be discharged from a PTD signed prior to 1 April 2008. The Form
11 can be prepared and submitted electronically through the ASTRA system.
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8.6.1
Creating a Form 11
To create a Form 11, the User selects the Form 11 button on the Case
Summary Screen. (Figure 8.35)
Figure 8.35 – Case Summary Screen – Form 11
The Form 11 contains pre-populated details of the trust deed and fields that
require user input. (Figure 8.36)
Figure 8.36 – Create Form 11 – Receipts and Distribution of Estate
The fields marked with an asterisk (*) are mandatory fields and a figure must
be entered, even if that figure is ‘zero’.

Receipts
User enters the amount of realisations and bank interest into the
relevant fields.
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
Distribution of Estate
User enters details of the final distribution of estate in the relevant
fields.

Dividend Paid to Ordinary Creditors
User must manually enter the dividend paid to ordinary creditors in the
relevant field

Date Creditors Consented to Discharge of Trustee
User enters the date the creditors consented to the discharge of the
trustee in the relevant field.
User must press the ‘calculate’ button to pre-populate the Total Receipts and
Total Distributions fields.
8.6.2
Attaching Form 11 supporting documents
Users can upload any supporting documentation to the ASTRA Form 11
screen by clicking the Update Documents button, as shown in Figure 8.37.
The process for uploading documents is described in section 8.1.4.
Figure 8.37 – uploading a document
8.6.3
Validating, Saving and Submitting a Form 11
There are three action buttons at the bottom of the Form 11 screen (Figure
8.38).
Figure 8.38 – Form 11 – Action Buttons
The action performed when each button is clicked is described in Table 8.6
below.
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Button Label
Actions Performed When Button Clicked
Save
Allows user to save progress of a valid Form 11
System performs validation when Save is clicked and highlights any
errors.
Validate
System performs validation and highlights any errors
Submit
Allows user to submit progress of a valid Form 11
System performs validation when Submit is clicked and highlights any
errors.
Table 8.6 – Form 11 – Action Performed on Button Click
Users can also return to the Case Summary screen by clicking Case
Summary at the bottom of the screen.
8.6.4 Export Form 11 to PDF
When the Form 11 has been submitted, a button ‘Export to PDF’ will appear to
allow the User to export the Form 11 information entered on ASTRA, to a PDF
Form 11 template.
8.7
Case Summary Screen
The Case Summary Screen, as shown in Figure 8.39, provides a User with a
high level summary of a Case and provides access to other functions within
ASTRA which allow Users to access lower level details.
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Figure 8.39 – Case Summary
8.7.1
Accessing the Case Summary Screen
The Case Summary Screen for a particular Case is accessed by locating a
Case within the relevant queue on the User Dashboard (see Section 5) and
clicking on the underlined Case Reference number, as shown in Figure 8.40.
Figure 8.40 – Accessing the Case Summary Screen
8.7.2
Details
The top section of the Case Summary screen provides high level information
of the Case for example, the Trustee, the Debtor and the date the Trust Deed
was granted. An example is shown in Figure 8.41, below.
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Figure 8.41 – Case Summary – Details
8.7.3
Previous Events
The Case Summary screen also contains a list of the previous activities
undertaken on the Case. This list can be accessed by clicking on the previous
events link, as shown in Figure 8.42.
Figure 8.42 – Case Summary – Previous Events for Trust Deed
This list contains details of the date the activity was completed and the
username of the user who undertook the activity. An example is shown in
Figure 8.43, below.
Figure 8.43 – Case Summary – Previous Events
Examples of the types of events recorded in the Previous Events table
include:

Updates to the Case Status;

Documents uploaded to the Case;

Case Notes added (accessed by clicking on the event description);
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8.7.4
Navigation to Other Functions
The Case Summary screen also provides the User with the facility to navigate
to other forms and functions within ASTRA. The forms and functions
accessible from the Case Summary screen (shown in Figure 8.44) by clicking
the corresponding buttons:
Figure 8.44 – Case Summary Navigation
The information and functionality available in each of these options are
described in sections 8.7 – 8.15.
8.8
Case Details
The Case Details screen is accessed by selecting the ‘Case Details’ option on
the Case Summary screen (Figure 8.45). It provides the User with low-level
details regarding the Case and is split into four separate tabs:

Debtor (Figure 8.46);

Trustee (Figure 8.47);

Trust Deed (Figure 8.48);

Creditors (Figure 8.49).
On entering the Case Details screen, the User is shown the debtor details.
The information contained in each of these screens is described in the
following sections.
8.8.1
Case Details: Debtor
The Case Details: Debtor screen presents the Debtor’s personal information.
This information is captured during the New Trust Deed process.
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Figure 8.45 – Case Details – Debtor Details
8.8.2
Case Details: Trustee
Information regarding the Trustee can be viewed by selecting Trustee Details
at the bottom of the Case Summary screen, as shown in Figure 8.47. This
screen displays information regarding the Trustee(s) currently appointed to or
that have previously been involved on the case.
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Figure 8.47 – Case Details – Trustee Details
8.8.3
Case Details: Trust Deed
The Case Details: Trust Deed screen clearly presents the key information
regarding the Trust Deed.
Figure 8.48 – Case Details – Trust Deed Details
8.8.4
Case Details: Creditors
The Case Details: Creditors screen lists the name and contact details of each
of the Creditors involved in the case.
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Figure 8.49 – Case Details – Creditor Details
8.9
Form 1
Selecting the Form 1 option from the Case Summary screen presents the
User with a read-only copy of the New Trust Deed screen described in
Section 7.1.
8.10
Form 3
Selecting the Form 3 option from the Case Summary screen presents the
User with different results depending on the status of the Case:

If a Form 3 is submitted, the User is shown a read-only copy of the Form
3;

If a Form 3 is not yet submitted and needs to be updated with additional
information, the User is shown an editable version of the Form 3;

If no Form 3 details are previously entered, then the User is presented
with a blank form 3 which must be completed in order for the case to be
progress (details on how to fill in the Form 3 are included in Section 8.1
– Form 3 Process).
8.11
Create Notes
The Create Note screen, shown in Figure 8.51, is accessed by clicking the
‘Create Note’ option on the Case Summary screen, as shown in Figure 8.50.
Figure 8.50 – Case Summary – Create Note
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Figure 8.51 – Case Summary – Create Note
After clicking the ‘Create Note’ button on the Create Note Screen, the User is
returned to the Case Summary Screen and the note created appears in the
list of Previous Events related to the Case (Figure 8.52)
Figure 8.52 - Case Summary – Previous Events
Notes are viewed by both AiB staff and IP staff with the requisite permissions
and can be used as a means of communication between AiB and IPs.
8.12
View Case Notes
Case Notes are viewed by clicking on the relevant underlined note link held in
the previous events section on the Case Summary screen. On clicking the
link the User is shown a read-only version of the Note, as shown in Figure
8.53.
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Figure 8.53 – Case Summary – View Note
As previously stated, notes are viewed by both AiB staff and IP staff with the
requisite permissions and are used to communicate between AiB and IPs.
8.13
View Case Documents
Case Documents can be viewed by selecting the ‘Documents’ option on the
Case Summary screen (Figure 8.54).
Figure 8.54 –Documents Option
This takes the user to the ‘Case Documents’ screen (Figure 8.55).
Figure 8.55 – Case Documents
A previously uploaded Case Document can be viewed by clicking on the
relevant hyperlink in the ‘Name’ column. Upon clicking the hyperlink the user
is prompted to Open or Save the Document.
8.14
Create Message
The ASTRA system allows users to create and send messages (Figure 8.56)
to each other. The Create Message screen is accessed by clicking the
‘Create Message’ option on the Case Summary screen.
Messages can be used to get clarification on case issues but can also be
used as diary reminders. Users can add attachments to their messages,
similar to how emailing operates.
8.14.1 Diary Reminders
Messages can be used as a diary reminder by create a message containing
the details of the task or event and setting the due date to the date that the
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task or event is due or is occurring. To set a personal reminder the user
creates a message from ‘Myself’ and set the Recipient to be your username or
your Role.
Figure 8.56 Create Message
8.15
Transactions
Any financial transactions relating to a case can be viewed in ASTRA.
To view transactions, click on the transactions option as show in Figure 8.57.
Figure 8.57 – Case Summary – Transactions
This takes the user to the transaction screen and shows all fees and credit
notes that have been raised on the case as shown in Figure 8.58.
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Figure 8.58 – Transaction screen
To view an invoice/credit note, click on the relevant link and this will show the
invoice/credit note on PDF format.
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