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Document Title:
Document Type:
Release:
Abstract:
Document Status:
Author & Dept:
Internal Distribution:
External Distribution:
Reconciliation and Incident Management Joint Working Document
Joint Working Document
HNG-X
Joint Working Document to support the Reconciliation Service
provided to Post Office Ltd by Fujitsu Services
Approved
Penny Thomas, CS Security, Fujitsu Services
Anne Chambers: Post Office Account Third Line Support (SSC)
Steve Parker: Post Office Account Third Line Support (SSC)
Raj Bains, Post Office Account CS Security
Andy Dunks, Post Office Account CS Security
Michelle Stevens: Post Office Ltd, POLSAP & Control Manager
Jane Smith: Post Office Ltd, Change Analyst
Allison Walton: Post Office Ltd, Government Services Team
Sue Oxley: Post Office Ltd, Banking Manager
Katrina Holmes: Post Office Ltd, Banking and Financial Services
Team Leader
Security Risk YES, security risks have been assessed, see section 0.9 for details.
Assessment Confirmed
Approval Authorities:
Name Role
Mark Weaver Post Office Ltd: Senior IT
Services Manager
Signature Date
Mark Gordon Fujitsu Services: Head of
Service Management
Note: See POA HNG-X Reviewers/Approvers Role Matrix (PGM/DCM/ON/0001) for guidance.
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0 Document Control
0.1 Table of Contents
DOCUMENT CONTROL.........cscscsssssessnssssescesssssssesssessseeseasaestecseenenseeesensneseeeesaeaee 2
0.1 Table of Contents........ wi 2
0.2 DOCUMENT HISTORY.......ccscssssssesessssssssssssssssssssssseseseseacasarscensnsseeseseseeesteeesaseeeee 4
0.3 Review Details..............-.+04 sovienssrensesen 4
0.4 Associated Documents (Internal & External, 5
0.5 Abbreviations. 5
0.6 Glossary... 6
0.7 Changes Expecte 6
0.8 Accuracy... 7
0.9 Security Risk Assessmen' 7
1 INTRODUCTION.......:cccsssssssssssseseseesssssrsrscsnsssssessssesessescecarscesensaearsescesensneseosssenseoee 8
1.1. WHAT IS RECONCILIATION?.......cccsscscscsssssesesssasessesecessrerseesesensenesscensenesasasenaeeesees 8
1.2 WHAT DOES RECONCILIATION LOOK LIKE?.........cccssssssseseeseneeeseeeeeeeeeensneeeeees 8
1.3 HOW IS RECONCILIATION USED?.........cccccsssssssssssseseeseeeseseseenenseeesesensseeseceseeees 8
2 SCOPE.....sscssssssssesesessssssssssssssesseseessnarecssescesecesesssesecasesacarsecesececeeeessenenesasansenecese 10
3 BANKING AND RELATED SERVICES (ONLINE SERVICES)..........s:scsssssseseeees 1
3.1. DRS REPORTS.
3.2 REPORT DISTRIBUTION.........cscssscsessesssssssesssessessssseseeeeseseasanecensatstsceseeseenseseaee® 13
3.2.1 Contingency in the Event on Non delivery of reports to Post Office Ltd...........ccceeeereeeree 14
3.3. RECONCILIATION & INCIDENT HANDLING.........cccesecssssseseseeseseseseeseeseeseeseseeee 14
3.3.1 Generation of Business INCidents.............-.:sseesceeseceesteseeseesecesneeeeseeeeenesneessneeneeneeneeeeneeeeeeee 1S
3.4 BUSINESS INCIDENT REPORTING. ........cccccsssssssssssssssesseesseteeseeseseeneeseseneeeeses 16
3.4.1 BIM Reports...........cc cc ceeccee cee ceeseseseseneteeeeeneeeeneneeee
3.4.2 BIMS for Banking and Related Services - SLT conditions.
3.5 SYSTEM STATES & EXCEPTION TABLEG..........s:scsscssssssssessensseesesssessseeeseeeeee 20
3.5.1 Banking and Related Services Exceptions explained.........0...0...08 12d
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3.5.2 — Incomplete State:
3.5.3 Exception States.
4 AUTOMATED PAYMENT SERVICE (APS).
4.1 APS REPORTS.
4.1.1 Report Distributior
4.1.2 APSS2133c report explained.
4.2 APS RECONCILIATION & INCIDENT HANDLING
4.2.1 APS Business Incidents.....
4.2.2 APS Business Incident Originators.
4.2.3. Generation of Business Incidents.
4.3 INCIDENT REPORTING..........cccscscsssssesesessssssssssssesssssessrsnsenesstersesseneneeeesasaeeeeseaees 35
4.3.1 BIM Reports...........
4.3.2 Reporting Timescales.
4.4 CLIENT FILE DELIVERY.........cccsssssesesssssesesesssesessseseseessararsceseseneasecesaseesnensaeaeee
44.1 Variable File Transfer............... cesseeeeeeeeeeeeeeneee oe
4.4.2 Reconciliation in the event of non delivery of the CTS to Post Office Ltd
4.4.3 Clerical Reconciliation Example in the event of non delivery of CTS to Post Offic
5 TPS RECONCILIATION...
5.1 TPS REPORT SET.
5.2 RECONCILIATION AND INCIDENT HANDLING..
5.2.1 Incident Originators........0.0..ccceeeeeeeeeneneeeeeeeee
5.3. INCIDENT REPORTING
5.3.1 BIM Reports...........
5.3.2 Reporting Timescales.
5.3.3 Repairing Data. 41
5.4 LINKS TO PROBLEM MANAGEMENT..........:s:ssssssssssseseseseeseereeesensesenecasereneeeeter 41
6 BIM REPORT.......s:scsscsssssssesesessessssessensssecasasseseesesesesessesenessetecseesensnseseasensaeasenenees 42
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0.2 Document History
Version No. Date Summary of Changes and Reason for Issue Associated Change -
CP/PEAK/PPRR
Reference
4 06/03/2007 First Draft for review NIA
1.0 20/04/2007 Issued for approval NIA
14 14/06/2011 Post HNG-X Migration and change of owner
12 11-aug-2011 Issued for review and version number change
2.0 14.Jun 11 Document Approved
24 23 Nov 11 Release 5.5 Review
3.0 30-Apr-2012 Approved version na
0.3 Review Details
Review Comments by 17-Jan-2012
Review Comments to
Mandatory Review
Post Office Ltd: POLFS & Control Manager
Penny Thomas & POA DocumentManagemen
Michelle Stevens
Post Office Ltd: Banking and Financial Services
Sarah Haywood
Post Office Ltd: Banking and Financial Services I Paul Smith
Manager
Post Office Ltd: Banking Manager Sue Oxley
Post Office Ltd: Government Services Manager
Katrina Holmes
Fujitsu Services POA Commercial Manager
Tim Healy
Fujitsu Services, POA Technical Design Authority
Pete Jobson
Fujitsu Services, POA SSC Manager
Steve Parker
Fujitsu Services, POA Security Operations Service
Manager
Fujitsu Services: POA SSC (Third Line Support)
Donna Munro
Optional Review
Anne Chambers
Post Office Ltd: Change Analyst
Jane Smith
Post Office Ltd: POLSAP Team
Mark Wardle
Post Office Ltd: Government Services Team
Allison Walton
Issued for Information — Please restrict this
distribution list to a minimum
CS Security Operations Raj Bains
CS Security Operations Andy Dunks
(“) = Reviewers that returned comment:
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0.4 Associated Documents (Internal & External)
Reference Version Date Title Source
PGM/DCM/TEM/0001 Fujitsu Services Post Office Account I Dimensions
(00 NOT REMOVE) HNG-X Document Template
SVM/SDM/SD/0020 End to End Reconciliation Reporting I Dimensions
SVM/SDM/SD/0015 Reconciliation Service: Service I Dimensions
Description
Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.
0.5 Abbreviations
Abbreviation Definition
APS Automated Payments Service
A&L Alliance and Leicester
BIMS. Business Incident Management Service
BRDB Branch Database
CAPO Card Account for the Post Office
ccD Contract Controlled Document
cTS Client Transaction Summaries
D&CC Debit & Credit Card
DBTN Disputed Banking Transaction Notice
Dcs Debit & Credit Card Services
DRS Data Reconciliation Service
EBBT Enquiry Based Banking Transaction
EDSC Third Line Support (SSC)
ETS Electronic Top Up Services
ETU Electronic Top Up
FI Financial Institution
HSD IMT Horizon Service Desk Incident Management Team
LINK Link Interchange Network
MA Merchant Acquirer
MER Manual Error Report
NBS. Network Banking Services (A&L, CAPO, LINK)
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NBSC Post Office Ltd Network Business Support Centre
POL RDT Post Office Ltd Reference Data Team
POLSAP Post Office Ltd Consolidated SAP System
POLMIS Post Office Ltd Management Information Systems
POL Finance Post Office Ltd Finance Department
POA Fujitsu Post Office Account
ee Service Support Centre (Fujitsu Third Line Support - EDSC )
TES Transaction Enquiry Service
TPS Transaction Processing Service
0.6 Glossary
Term
Business Incident
Definition
‘Any exception (as defined below) reported via NB102 or via the HSD requiring
investigation and the provision of corrective information to allow Post Office Ltd to
settle or reconcile. A Business Incident relates to the ‘Symptom’ and not to the root
cause of the exception.
Customer Critical
Exception
A Priority Exception (see below for definition) where Fujitsu have received a DBTN,
(see below for definition)
DBTN
Disputed Banking Transaction Notice: Where Fujitsu has received notification from
Post Office Ltd via the Enquiry Service following a query by the ‘End’ customer
relating to the state of his / her account.
EBBT
Enquiry Based Banking Transaction: Where Fujitsu has received notification from
Post Office Ltd via the HSD wishing to query a particular transaction
Exception Types
Within all reports the ‘Exceptions’ category will include:
* ‘Incomplete States’, i.e. those transactions where one or more transaction
component is missing — a C4 without a C12 etc
* Genuine exceptions where transaction components belonging to the same high
level transaction have been exceptioned, e.g.. C12 (amount) not = to C4
(amount) etc
* DRS corruptions
Reconciliation Service
Day
Between 08.00hrs and 17.30hrs Monday — Friday inclusive, excluding English bank
holidays
On Line Services
Transactions completed via the Horizon system within the Post Office branch that
require real time communication with Post Office Ltd Financial Institutions or
Clients. Currently this includes: Banking transactions (Alliance & Leicester, Card
Account for the Post Office (CAPO) & LINK), Debit & Credit Card transactions and
Electronic Top Up (ETU) transactions.
Priority Exception
An exception reported within NB102 section 5 relating to system states 4 or 12
following confirmation of a corresponding C4 or D message
‘System Incident
Any exception (as defined above) reported via NB102 or via the HSD requiring the
investigation and repair of the root cause of the exception.
0.7 Changes Expected
Possible changes following review and discussion
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0.8 Accuracy
Fujitsu Services endeavours to ensure that the information contained in this document is correct but, whilst every
effort is made to ensure the accuracy of such information, it accepts no liability for any loss (however caused)
sustained as a result of any error or omission in the same.
0.9 Security Risk Assessment
Security risks have been assessed and it is considered that there are no security risks relating specifically to this
document.
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1 Introduction
This document provides a summary of Reconciliation within the HNG-X solution.
This document also outlines the Reconciliation incident management procedures required to investigate,
report and resolve all reconciliation incidents which are identified via the DRS (Data Reconciliation
Service) reports and also incidents raised via HSD (Horizon Service Desk).
1.1. What is Reconciliation?
End to end Reconciliation within HNG-X is the mechanism by which Post Office Ltd (POL) and Post
Office Account (POA) establish which transactions are complete and correct, and which are not. An
incomplete transaction is not necessarily a Reconciliation error, but it might become one if it is not
completed in a timely manner. An incorrect transaction is a Reconciliation error.
Each and every Reconciliation error is the result of some system fault. That fault might, for example, be
a software bug (introduced through either design or coding), a system crash, or a telephone line being
dug up. Such faults may affect transactions, thus it is the job of Reconciliation Service to detect when
and how any transaction is affected by any system fault.
A reported Reconciliation error provides:
e A business impact in terms of an error report on a transaction, and
e Evidence of a system fault that may need some corrective action.
It is acknowledged that not all system faults will lead to corrective action as this is generally done on a
contractual and/or cost benefit basis.
1.2 What does Reconciliation look like?
Reconciliation is delivered as a set of printable electronic reports (typically .txt files). The content and
layout of the reports reflect the system architecture. This has been detailed in the SVM/SDM/SD/0020:
End to End Reconciliation Reporting document.
1.3. Howis Reconciliation used?
Reconciliation is used by Post Office Ltd:
e To provide Financial and Business Reconciliation at transaction level, i.e. to prove that each
transaction is complete and correct and to report any transaction that is either not complete or
not correct. Whilst zero value transactions might not affect settlement or accounts, excessive
numbers can represent lost business. In addition, some APS transactions are zero value, but
they must still be passed through to the end client, e.g. Card Account transactions, some DVLA
transactions.
e To prove the accounts are correct and to enable individual transactions to be identified that are
causing discrepancies in or incompleteness of the accounts.
e For settlement with Clients either by providing information to contribute towards the invoice or
payment generation.
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Reconciliation is used by Reconciliation Service:
e For system diagnostics (fault finding) and to prove system integrity. Normally, all transactions
are of interest including those with zero value. Zero value on-line transactions may indicate
some ‘network’ issue that caused the transaction to time out at the Counter. While it may be
acceptable for there to be a background level of these, they must be monitored so that
corrective action can take place if the volumes become excessive.
e For explaining to Post Office Ltd why transactions are incomplete or incorrect and to provide
evidence to support statements made;
e To prove that corrective action is effective.
Typically, Reconciliation reports fulfil the purposes of both Post Office Ltd and Post Office Account
without the need for separate reporting for each organisation.
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2 Scope
This document is intended to supplement the CCD SVM/SDM/SD/0020 - End to End Reconciliation
Reporting document.
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3 Banking and Related Services (Online Services)
The Banking and Related Services Reconciliation Report Set or the DRS Report set are used by Post
Office Ltd for Reconciliation and settlement with Clients and by Reconciliation Service as input to error
resolution and as evidence when advising Post Office Ltd of the true state of transactions.
Five different report sets are produced for transactions categorised below for the different Clients:
Network Banking transactions for Clients:
e Alliance & Leicester,
e Card Account for Post Office (CAPO),
e LINK
e Electronic Top Ups transactions for Client EPAY
e Debit & Credit Card (D&CC) transactions for Client MA
3.1. DRS Reports
The DRS is the Data Reconciliation Service for NBS, DCS and ETS. It is an implementation of a state
table based on five input flows, [C12], [C112], [S], [C4], and [D]. It also has a [C2] output flow that is
generated from the [C12] input flow.
e [C12] flow comes direct from the Counter at the time of transaction
e [C112] flow comes from the Counter via TPS at the End of Day
e [S] flow is optional and is used by DCS only to reflect the extended [C2] feed to MA to enable
Post Office Ltd to view a preliminary settlement position
« [C4] flow reflects the bank view of the transaction, and the
e [D] flow represents an error form of the [C4] flow when it can be determined that a transaction is
inconsistent from the bank point of view.
e [C2] flow comes from the [C12] input flow.
The diagram below ‘Reconciliation in HNG-X’ gives the overview of the following data flows:
e [R] Request message, [A] Authorisation message, [CO] Confirmation for 0 Value (which starts
the reversal process) and [E] Reversal that form the RACE that is captured by the NPS (NBX
Persistent Store).
e REC (Reconciliation file) to A&L, CAPO
e LREC (Link Reconciliation file) from LINK,
* DTF (Daily Transaction Feed) from EPAY,
« Payment file to MA
e EMIS (Electronic Management Information Service) from MA
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« APS Client transaction files to Clients
.
Financial Institutions
‘4 Ss
Ra @ REC LREC DIF
I \ Payment
mee x ot
Se oo a = = “ae I
rag “1.
R AO I
v cz f
. I TPS TPS Ting; POL SAP
prune Soves Branch 18h
eet —— I Sites bade’ i
crs
APS Txns {
APS.
APS Tans
. Reconciliation In HNG -X.
forzon Chents
‘Counter
If any of the transaction data flows are unavailable, this results in the creation of an ‘Exception State’ as
defined in Section 3.5 of this document.
In addition, a transaction may well receive the full set of transaction sub components described above
however one or more of these sub components may be for a differing or corrupt value when compared to
the others. In such cases, an “ERROR STATE” will be created as defined in Section 3.5 of this
document.
The reports produced are:
« NBO0O DRS Summary Report. This is a single daily report covering NBS, DCS, and ETS. It lists
all reports produced and identifies those not produced as there is no data with which to populate
them.
e NB101 Network Banking Settlement Statement. This is a separate daily report for each Client. It
is the baseline used for Client settlement subject to corrections based on the error reports.
Essentially, it reports the [C4] position.
« NB102 section 1 All Uncleared Confirmed, Unconfirmed & POLSAP exceptions. This is a
separate daily report for each Client. It is an error report used to correct the settlement figure.
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e NB102 section 2 Uncleared Exception Client Transactions. This is a separate daily report for
each Client. It is an error report used to correct the settlement figure.
e NB102 section 3 Uncleared corruptions. This is a separate daily report for each client. It is an
error report used to correct the settlement figure.
e NB102 section 4 Uncleared Timing Differences. This is a separate daily report for each Client. It
is an error report used to correct the settlement figure.
« NB102 section 5 Uncleared Confirmed, Unconfirmed & POLSAP exceptions >24 hours. This is a
separate daily report for each Client. It is an error report used to correct the settlement figure.
Transactions do not appear on it unless they have not changed state for more than 24 hours (i.e.
there is no transaction progression).
e NB102 section 6 Uncleared Future Dated Transactions by Client. This is a separate daily report
for each of NBS and DCS (ETS is treated as though it is a Client within NBS). It is used to report
summaries of transactions that are ‘future dated’ and therefore do not fall into the normal scope
of Reconciliation until a future Reconciliation overnight. Future Dated refers to the Reconciliation
date, not the date on which the transaction took place.
e NB102 section 7 All Cleared Confirmed, Unconfirmed & POLSAP exceptions. This is a separate
daily report for each Client. It is used to demonstrate that errors were ‘cleared’ from the DRS
correctly.
e NB102 section 8 Cleared Exception Client Transactions. This is a separate daily report for each
Client. It is used to demonstrate that errors were ‘cleared’ from the DRS correctly.
e NB102 section 9 Cleared corruptions. This is a separate daily report for each Client. It is used
to demonstrate that errors were ‘cleared’ from the DRS correctly.
« NB102 section 10 Cleared Timing Differences. This is a separate daily report for each Client. It
is used to demonstrate that errors were ‘cleared’ from the DRS correctly.
« NB102 section 11 Cleared Confirmed, Unconfirmed & POLSAP exceptions >24 hours. This is a
separate daily report for each Client. It is used to demonstrate that errors were ‘cleared’ from the
DRS correctly.
e NB102 section 12 Cleared Future Dated Transactions by Client. This is a separate daily report
for each of NBS and DCS (ETS here is treated as though it is a Client within NBS). It is used to
report summaries of transactions that were future dated but are now entered in to the main
Reconciliation stream.
The report definitions are common to all applications although differences of the RAC model mean that
for each of NBS, DCS and ETS the interpretation of the reports for each application must vary
significantly.
3.2 Report Distribution
Reconciliation reports will be delivered to Server ‘ng171tdapp35' in Post Office Ltd in accordance with
the Service Level Targets as stipulated in the Data Centre Operations Service - Service Description
document SVM/SDM/SD/0003. At the time of writing the following Service Level Targets apply:
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Delivery of reconciliation and settlement report (normal) By 08.05hrs day B
Delivery of reconciliation and settlement report (where DRS I By 10.05hrs day B
failure in overnight batch window)
Delivery of reconciliation and settlement report (where there is I By 12.00hrs day B
system failure that is not DRS or TES)
Delivery of reconciliation and settlement report (where there is I By 18.00hrs day B
DRS or TES failure)
Enrichment with LREC data
LREC received Added to reconciliation and
settlement report
LREC received by 23.59.59hrs day A By 08.05hrs day B
LREC received by 01.59.59hrs day B By 08.05hrs day B
LREC received between 02.00hrs and 22.00hrs day B By 08.05hrs day C
All reports will be produced as ASCII text files - one for each report. The report layout will be fixed
format with space characters providing the blank space. This will allow for ‘Excel’ input, using fixed field
width facilities. Any formatting, (lines and shading) will not be included within the file.
3.2.1 Contingency in the Event on Non delivery of reports to Post
Office Ltd
If Fujitsu Services is unable to deliver any or all reports to the Post Office Ltd. / POLFS gateway by
08.00hrs the day following the run date of the report, Fujitsu Reconciliation Service will liaise with POL
Finance to arrange an e-mail transmission via the Fujitsu corporate account. Fujitsu Reconciliation
Service will operate this contingency under ‘reasonable endeavours’ and will aim to have the reports with
POL Finance by 09.00hrs in contingency. However, this timescale may not be achievable if processing
problems have also delayed receipt of the reports into the DRS workstation
NB: Should the Fujitsu corporate e-mail service be unavailable, Fujitsu Reconciliation
Service will liaise with POL Finance and agree facsimile of reports NB101 and NB102
section 1 and 2.
Any distribution list for these reports is considered by both Fujitsu and Post Office Ltd to be of a dynamic
nature and therefore specific addressees are not covered within this document
3.3. Reconciliation & Incident Handling
Reconciliation Service shall study and monitor the DRS reports and report on any Banking and Related
Services transaction states which are:
e intrinsically anomalous, in that their occurrence implies malfunction in End to End On Line
Services; or
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* anomalous in that an expected state has persisted for an unexpected duration (e.g. where C1
Confirmations are received from the Confirmation Agent and C4 Confirmations are received
from Alliance and Leicester, LINK CAPO, D&CC and ETU but the Confirmation from the TPS
Host has not been received after an abnormal delay),
Exceptions reported within the DRS Report Set will be applicable to:
* Communication difficulties between the Post Office branch and the BRDB, Authorising,
Agents, , etc.
e Errors within the DRS (with corresponding errors returned via the TES)
* Corruptions within the DRS
3.3.1 Generation of Business Incidents
It is envisaged that Business Incidents will only be generated by the following groups within Fujitsu and
Post Office Ltd.
e Fujitsu Reconciliation Service for all exceptions reported via the DRS report set.
e POL Finance for any ‘Enquiry Based Banking Transactions’ (EBBT) or ‘Disputed Transaction
Notice’ (DBTN) discovered by Post Office Ltd. that has not been reported by Fujitsu
Reconciliation Service via the DRS report set
e Fujitsu Third Line Support (SSC) for any system fault or database adjustment which is
considered by Fujitsu to have a reconciliation or settlement implication within Post Office
Ltd. in respect of banking and related transactions.
3.3.1.1. Business Incident raised by Reconciliation Service
Reconciliation Service will raise an appropriate Business Incident when needed via the BIMS database
for all exceptions that require reconciliation reported on the NB102 Section 2, 3, 4 and 5 of the DRS
report set.
3.3.1.2 EBBT incidents raised by POL Finance via HSD
It is important that POL Finance supply sufficient information to the HSD when generating a Business
Incident in respect of an EBBT to ensure the timescales for the resolution of Business Incidents referred
to in section 3.4.2 can be achieved. Achievement of such timescales is dependent upon the following
information being provided by POL Finance when generating a Business Incident via the HSD:
1. ATES call is to be raised.
2. Prefix all narrative with ‘This is a Business Incident for Reconciliation Service, PLEASE
ROUTE THIS CALL TO EDSC’ The following transaction detail:
« Branch code
e HNG-X Transaction ID number
¢ Value of transaction
« Date of transaction
NB: Where POL Finance raise a business incident for an EBBT Business which may require a large
amount of supporting information, summary detail only may be given to the HSD and the additional
information may be sent via e-mail to the Fujitsu’ Reconciliation Service at
Subject to agreement by the parties to the contrary, Post Office branch calls to the HSD will not generate
Business Incidents. However, calls from Post Office branches will be monitored and if it is considered
necessary by Fujitsu, such reports to the HSD will be elevated to Business Incident status.
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3.3.1.3. DBTN incidents raised by POL Finance via HSD
This facility is to support requirements in respect of Disputed Banking Transaction Notice (DBTN) where
Post Office Ltd. has received notification via either the Post Office branch or the Network Business
Support Centre (NBSC). POL Finance will contact Reconciliation Service directly by telephone, or email,
requesting urgent investigation within the timescales quoted in section 3.4.2
Achievement of such timescales is dependent upon the following information being provided by POL
Finance when generating a DBTN enquiry via the Enquiry Service:
e Client Account Number (the PAN)
¢ Branch code
¢ HNG-X Transaction ID Number
e Value of transaction
¢ Date of transaction
NB: If incorrect or insufficient information is provided by POL Finance to allow resolution of the DBTN
enquiry, no further action will take place until the requisite information is supplied and the enquiry will not
be monitored in accordance with the timescales referred to in section 3.4.2.
3.4 Business Incident Reporting
3.4.1. BIM Reports
« The Business Incident Management System (BIMS) has been designed to report the progress to
resolution of a Business Incident to allow Post Office Ltd. to complete an accurate reconciliation
or settlement with their clients. For ease of identification and association, BIM report references
will take the Fujitsu internal Incident and Problem Management System (PEAK) reference
number. In all cases each BIM report will have a unique identifier.
e A BIM report will be issued for each Business Incident generated. BIM reports are designed to
notify POL Finance of the detail required to assist in the reconciliation or settlement process
within Post Office Ltd. domain. BIM reports communicate information concerning the resolution
of the symptom of an underlying cause, not the cause itself; this information would be supplied
via the Problem Management route, if escalated to this level.
« Where a System Incident is generated to eradicate the cause of a particular problem and there
is one or more associated Business and Related Services Business Incidents, cross-references
will be supplied on the Business and Related Services Business Incident BIM report and via the
Problem Management process to allow tracking of the System Incident.
3.4.1.1. BIM Report Distribution
e The Reconciliation Service will distribute BIM reports to POL Finance, using the Fujitsu
corporate e-mail network. In the event that the Fujitsu or Post Office Ltd corporate email
systems are unavailable, Fujitsu will discuss with POL Finance appropriate means of information
transfer.
e _BIM reports distributed in accordance with this section will be deemed to have been issued to
POL Finance at the time of transmission by email.
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e Anexample of a BIM report is shown at Section 6.
3.4.1.2 Clearance Criteria
e Reconciliation Service provides information concerning On Line Services Business Incidents to
POL Finance on a ‘drip feed’ basis, by issuing updated versions of the initial BIM report.
e A BIM report is ‘Cleared’ when the Reconciliation Service has provided the necessary
reconciliation / settlement information.
e Additionally, the exception is cleared from the appropriate section of NB102 after necessary F99
authorisation has been obtained from POL.
e MER charges are detailed in the Reconciliation Service: Service Description document
reference SVM/SDM/SD/0015.
3.4.2 BIMS for Banking and Related Services - SLT conditions
Reconciliation Service will raise an initial BIM report relating to a new Business Incident on the same
working day as the Business Incident is generated via the HSD or the Enquiry Service, or in any event
on the morning of the next working day. This will be made available in accordance with Section Error!
Reference source not found. to POL Finance. This initial, incomplete, BIM report will serve to notify
POL Finance that a Business Incident has occurred and that the completed BIM report will be provided
to POL Finance within the agreed timescales below.
In the event of the DRS Report Set not being available to Fujitsu Reconciliation Service in time to
enable any exceptions to be notified within this timescale, Fujitsu Reconciliation Service will contact
POL Finance to agree a temporary extension to the timescale.
All enquiries and transaction searches within 90 days of the original transaction date will be carried out
by the Reconciliation Service via the DRS/Transaction Enquiry Services (TES) system. Enquiries and
transaction searches where the original transaction date is in excess of 90 days will be carried out by the
Reconciliation Service using the POA Audit Archive.
The Reconciliation Service will ensure the final cleared BIM report in accordance with the following
timescales:-
1. For DBTN enquiries where the transaction date is within 90 days of the date the
transaction is disputed by the end customer and raised by POL via the HSD in
accordance with Section 3.3.1.3 :
95% must be resolved within <= 8 hours of notification based upon all DBTN
enquiries (Customer Critical Exceptions) received within the quarterly reporting
period
The following conditions apply to DBTN enquiries:
The calculation of the time to resolution within the above SLT will only commence from
either the receipt of the C4 or D transaction component within the DRS, or the reporting of a
Priority Exception, (which becomes a ‘Customer Critical Exception by way of the associated
DBTN), within NB102 section 5 of the DRS report set.
2. For any DBTN enquiries where the transaction date is in excess of 90 days of the date
the transaction is disputed by the end customer and raised by POL via the HSD in
accordance with section 3.3.1.3:
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« All attempts will be made to resolve this within 5 Reconciliation Service days of
notification, but if there is a delay in obtaining evidence from the Audit Archive,
the SLA will be suspended after agreement with POL.
3. For any ‘Priority’ exception relating to incomplete states 4 or 12 reported within NB102
section 5 and raised by Fujitsu Reconciliation Service in accordance with section 3.3.1.1:
95% must be resolved within <= 8 hours commencing at 08.00hrs on the SECOND
Reconciliation Service day following receipt by the DRS of the exception, based upon
all Priority exceptions received within the quarterly reporting period.
4. For all non ‘Customer Critical’ exceptions reported within NB102 sections 2 — 5 and raised
via the HSD by Fujitsu Reconciliation Service in accordance with section 3.3.1.1:
« They must be resolved within 5 Reconciliation Service days of notification via
NB102 sections 2 -5.
5. For EBBT Business and Related Services reconciliation errors raised by POL via the HSD in
accordance with section 3.3.1.2 :
e All attempts will be made to resolve this within 5 Reconciliation Service days
from the date they were reported to the HSD, but if there is a delay in obtaining
evidence from the Audit Archive, the SLA will be suspended after agreement with
POL.
NB: All time is calculated using the Reconciliation Service day (08.00 to 17.30) and Monday to
Friday inclusive, excluding English bank holidays.
3.4.2.1. SLT Exclusion / Suspension Criteria
e Where an exception has been generated due to factors outside of Fujitsu control, e.g. where
a Post Office branch has failed to communicate due to fire, flooding or other agreed
‘Enforced Closure’ conditions, the exception will be removed from the BIM SLT calculation in
agreement with Post Office Ltd and resolved using ‘Reasonable Endeavours’.
e Where an exception necessitates the retrieval of information from, or access to, a Post
Office branch to enable successful resolution and this is not available, the period whilst
Fujitsu waits, having requested information or access to be provided, shall not count towards
the time for resolution of that exception.
e Post Office Ltd. will be informed via the BIM report relating to the exception under
investigation that SLT suspension is being invoked.
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3.5 System States & Exception Tables
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3.5.1. Banking and Related Services Exceptions explained
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
All On Line Services State 1 Transient State — None envisaged N No Action No Action
All On Line Services _ I State 2 Transient State — due to branch non polling — N No Action No Action
not applicable in HNG-X
All On Line Services State 3 Final State — not on exception report N No Action No Action
All On Line Services State 4 Banking (Alliance & Leicester, CAPO &
LINK) & ETU: Potential for incorrect + n ~ 7 n
Setement vith Fland or incre adjusiment I ® I Basking & EU: sve BM repor I Adjust efement wih FI with
of End Customer Account. (Banking I “tailing as far as possible how far instructions to FI to adjust en
‘A shr the transaction progressed via the customer account if required
Or I I Horizon counter ~ confirm whether
a Priority) I Fujitsu Reconciliation Service believe
Debit & Credit Card: Exceptions will always ETUB yment was made ot ted b
be cleared upon receipt of Refund instruction ¢ jority 5 wy TC ome Ct 00. vccepti . t! y f
from POL Finance. Exception will not be ian I fromreporis
investigated and ultimately cleared from the lay) om reports
reports by F99 action.
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
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Report
All On Line Services State 5 Transient State — None envisaged N No Action No Action
All On Line Services State 6 If D&CC potential for transaction to have Y(A Issue BIM report with PAN details of I Adjust settlement with FI with
settled but no debit to end customer account. Priority) I the transaction so that POL are able instructions to FI to adjust end
Value is only “ring fenced” by FI for three to provide the same to MA for customer account if required
days. processing the incomplete
transaction.
All On Line Services State 7 Transient State — None envisaged N No Action No Action
Debit & Credit Card State 8 Transient State — None envisaged N No Action No Action
Debit & Credit Card State 9 Transient State — None envisaged N No Action No Action
Debit & Credit Card State 10 Transient State — None envisaged N No Action No Action
Debit & Credit Card State 11 MA do not send Confirmation back until after I N No Action No Action
internal checks are complete. This will then
change the state to E39.
All On Line Services State 12, 13 Potential for incorrect settlement with FI and N Issue final BIM report when State Adjust settlement with FI with
and 14 /or incorrect adjustment of end customer progresses to State 15 or exception instructions to FI to adjust end
account. remains at State 12, 13, or 14. F99 to I customer account if required
7 ‘ sonitt A clear from reports
“D” exception type signifies that the FI is aware “Ps
of the error.
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
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Date 23 November 2011
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Type
To SSC? Reconciliation Service / BIM
Report
All On Line Services State 15 Final State with a “D” signifying that the Flis I N Issue final BIM report. F99 to clear Adjust settlement with FI with
aware of the error from reports instructions to FI to adjust end
customer account if required
Debit & Credit Card State 16 None envisaged N No Action. No Action
Debit & Credit Card State 17 None envisaged N No Action No Action
Debit & Credit Card State 18 Transient State N No Action No Action
Debit & Credit Card State 19 Final State — not on exception report N No Action No Action
Debit & Credit Card State 20 None envisaged N No Action No Action
Debit & Credit Card State 21 None envisaged N No Action No Action
Debit & Credit Card State 22 None envisaged N No Action No Action
Debit & Credit Card State 23 Final State — will appear on exception report. D I N Final BIM report issued. F99 to clear I Adjust settlement with FI with
state implying FI is aware of error from reports instructions to FI to adjust end
customer account if required
All On Line Services E01 Transaction authorised by the FI but no Y Issue BIM report detailing as far as Adjust settlement with FI with
authorisation was received at the counter. possible how far the transaction instructions to FI to adjust end
progressed via the Horizon counter — I customer account if required
confirm whether Fujitsu
Reconciliation Service believe
payment was made or accepted by
End Customer. F99 exception to clear
from reports
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
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Report
All On Line Services E02 Assumed C112 and / or C12 exception has no N No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services E03 & E04 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement
adjustment with FI and / or end customer
account
possible how far the transaction
progressed via the Horizon counter —
confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99 to
clear from reports
instructions to FI to adjust end
customer account if required
Debit & Credit Card
E05, E06, E07
Possibility of a duplicate transaction having
been created which may require settlement
adjustment with FI and / or end customer
account
Issue BIM report detailing as far as
possible how far the transaction
progressed via the Horizon counter —
confirm whether Fujitsu
Reconciliation Service believe
payment was duplicated and whether:
or not end customer account has been
affected. F99 n to clear from reports
Adjust settlement with FI with
instructions to FI to adjust end
customer account if required
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
Report
All On Line Services E08 & E09 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust End
adjustment with FI and / or End Customer progressed via the Horizon counter— I Customer Account if required
Account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not End Customer
Account has been affected. F99 n to
clear from reports
All On Line Services E10 Assumed C112 and / or C12 exception has no Y No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services I Ell Assumed C112 and / or C12 exception has no Y No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services E12 & E13 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement
adjustment with FI and / or end customer
account
NB: ZERO value E12 exceptions can appear
for EPAY which are automatically sent to
F99 with no further action.
possible how far the transaction
progressed via the Horizon counter —
confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not End Customer
Account has been affected. F99 to
clear from reports
instructions to FI to adjust End
Customer Account if required
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
Report
Debit & Credit Card El4 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer progressed via the Horizon counter — I customer account if required
account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99 n to
clear from reports
NOT USED E15, E16,
E17, E18, E19
All On Line Services E20 Assumed C112 and / or C12 exception has no Y No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services E21 Potential settlement error with FI: Y if not Reconciliation Service issue interim Adjust settlement with FI with
Possible failure to send reversal to either resolved I BIM Report. If resolved via DRS, instructions to FI to adjust end
Alliance e Peicester, CAPO. LINK and Debit via DRS_I Final BIM Report issued. customer account if required
& Credit Card; or Ifnot resolved via DRS, confirm via
ameaction ti 4 . “ BIM what happened at the Horizon
Transaction timeout after 50 minutes in counter and whether Fujitsu
elation to Reconciliation Service believe there
are settlement implications with the
Fl and / or end customer account
Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
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Type
To SSC? Reconciliation Service / BIM
Report
Debit & Credit Card E22 Potential settlement error with FI Y ifnot Reconciliation Service issue interim Adjust settlement with FI with
resolved I BIM Report. If resolved via DRS, instructions to FI to adjust end
via DRS I Final BIM Report issued. If not customer account if required
resolved via DRS, confirm via BIM
what happened at the Horizon
counter and whether Fujitsu
Reconciliation Service believe there
are settlement implications with the
Fl and / or end customer account
All On Line Services E23 Potential settlement error with FI: Y if not Fujitsu Reconciliation Service issue Adjust settlement with FI with
Possible failure to send reversal to either resolved interim BIM Report. Ifresolved via instructions to FI to adjust end
Alliance & Leicester, CAPO, LINK and Debit via DRS_I DRS, Final BIM Report issued. It customer account if required
‘ , not resolved via DRS, confirm via
& Credit Card; or BIM what happened at the Horizon
Where a reversal transaction has not reached counter and whether Fujitsu
the agent within 50 minutes in relation to Reconciliation Service believe there
EPAY, this is not forwarded to EPAY are settlement implications with the
mae se aes A FI and / or end customer account
NB: If discrepancy type ” 3”, no action,
Debit & Credit Card E24 Potential settlement error with FI Y Reconciliation Service issue interim Adjust settlement with FI with
BIM Report. If resolved via DRS,
Final BIM Report issued. If not
resolved via DRS, confirm via BIM
what happened at the Horizon
counter and whether Fujitsu
Reconciliation Service believe there
are settlement implications with the
FI and / or end customer account
instructions to FI to adjust end
customer account if required
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Service Exception Post Office Ltd Implications Fujitsu Reconciliation Service Action Post Office Ltd Action
Type
To SSC? Reconciliation Service / BIM
Report
All On Line Services I E25 & E26 Potential settlement error with FI: Yifnot I Fujitsu Reconciliation Service issue Adjust settlement with FI with
Possible failure to send reversal to either resolved I interim BIM Report. If resolved via instructions to FI to adjust end
Alliance & Leicester, CAPO. LINK and Debit I Yi DRS_ I DRS, Final BIM Report issued. customer account if required
Card; or
Transaction timeout after 10 minutes in
relation to ETU
All On Line Services E27 & E28 Assumed C112 and / or C12 exception has no Y No Action No Action
reconciliation implication as they are derived
from the same transaction component
All On Line Services E29 & E30 Possibility of a duplicate transaction having Y Issue BIM report detailing as far as Adjust settlement with FI with
been created which may require settlement possible how far the transaction instructions to FI to adjust end
adjustment with FI and / or end customer progressed via the Horizon counter — I customer account if required
account confirm whether Fujitsu
Reconciliation Service believe
payment or deposit was duplicated
and whether or not end customer
account has been affected. F99
exception to clear from reports
All On Line Services E39 No action required N F99 from report, if all elements No Action
match
All On Line Services F99 Will not appear on report. N This transaction state implies that the I No Action
transaction had a Reconciliation error
that has been cleared by manual
procedures
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3.5.2 Incomplete States
This table identifies the NB102 series report section where incomplete and discrepancy States are
reported in detail.
Incomplete I Transaction Components Exception report
State NB102 Section
C112 ci2 C4 Ss D Uncleared I Cleared
1 V 1&5 7&ll
2 v V 1&5 7T& 11
4 v 1&5 7T&ll
5 v 1&5 7T&ll
6 V V 1&5 7&ll
7 v V 1&5 T&M
8 V 1&5 T&11
9 V V 1&5 T& ll
10 V Vv 1&5 7&1
in V v v 1&5 7&1
12 V 2 8
13 v v 2 8
14 V v 2 8
15 v V Vv 2 8
16 Thenv_ [V 1&5 T&L
7 v ThenV_ [Vv 1&5 T&IL
18 V ThenVv_I[V 1&5 T&IL
20 V Then ¥ I 2 8
21 V V Then¥ I 2 8
22 V V ThenV I 2 8
23 V v V Then ¥_I 2 8
Shaded lines represent System States refer to D&CC exception states only.
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3.1.3. Exception States
This table identifies the NB102 series report section where an exception is reported in detail.
Exception Description Exception report NB102
State Section
Uncleared Cleared
E01 Additional C112 1&5 7T&ll
E02 Additional C12 1&5 7&ll
E03 Additional D 2 8
E04 Additional C4 1&5 7T&l
E05 Additional S 1&5 7&1
E06 S after C4 1&5 7&il
E07 S afier D Zz 8
E08 C4 after D 2 8
E09 D after C4 2 8
E10 C112 afier final state 1&5 7T&ll
Ell C12 after final state 1&5 7T&l
E12 C4 after final state 1&5 7&ll
E13 D after final state 2 8
E14 S after final state oes T&ill
ES Not Used
E16 Not Used
El7 Not Used
E18 Not Used
E19 Not Used
E20 Amount of C112#C12 1&5 7T&l
E21 Amount of C112#C4 1&5 7T&ll
E22 Amount of C112#S & C112#0 1&5 7&1
E23 Amount of C12#C4 1&5 7T&l
E24 Amount of C12#S & C12#0 1&5 7&1
E25 Amount of C112#D 2 8
E26 Amount of C12#D 2 8
E27 Incomplete/corrupt C112 3 9
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S 3 9
E32 Amount of C4#S & C4#0 MES 7T&ll
E33 Amount of D#S 2 8
E34 C112 arrived after state F99 1&5 7&ll
E35 C12 arrived after state F99 1&5 7T&
E36 C4 arrived afier state F99 1&5 7T&ll
E37 D arrived after state F99 2 8
E38 S arrived after state F99 1&5 T&U
E39 Settlement Date # Reconciliation Date 4 10
Shaded lines represent System States refer to D&CC exception states only.
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4 Automated Payment Service (APS)
The APS Report Set produced by Fujitsu central systems and the End-to-End APS reconciliation have
been designed to enable APS transactions completed in Post Office branches to be reconciled to the
transaction stream received by Post Office Ltd, via Post Office Ltd Consolidated SAP System (POLSAP)
to enable settlement to be made with Post Office Clients. This also applies to transactions of zero value;
while these transactions do not affect financial reconciliation they will be reported in cases where they
were not properly transferred to the Automated Payment (AP) Clients or POLSAP.
For the avoidance of doubt, there is no formal reconciliation produced between POLSAP and the
POLMIS transaction stream. The POLMIS stream should therefore not be used to verify financial
integrity and Post Office Ltd should ensure the TPS report set and POLSAP transaction stream are used
for this purpose
4.1 APS Reports
The following reports are sent daily to POL Finance:
1. APSS2133 - The APS Daily Account Balancing Report
2. APSS2133b - The APS Client Summary Report
3. APSS2133c - The APS Delayed Transaction Report (See Section 4.1.2 )
4. APSS2136 - The Daily TPS / APS Transaction Reconciliation Summary Report
4.1.1 Report Distribution
As governed by email availability, the Reconciliation Service will ensure all reports are made available to
POL Finance by 09.00hrs daily, Monday to Friday basis only. For example, on a Monday or the day after
a bank holiday, reports will be delivered for all days having occurred since the delivery of the last set of
reports.
Reports are initially sent to POL Finance using the Fujitsu corporate email account. If the Fujitsu or POL
email accounts are not available fall back measures will be made, i.e. floppy disk hand delivered to the
Post Office Ltd POL RDT team (Ref Data Team) located on the 4" floor at the Fujitsu site at Bracknell.
NB: Due to the size of these reports, e.g. APSS2133b is often in excess of 100 pages, Fujitsu is unable
to resort to facsimile transmission should the corporate email service of either organisation be
unavailable except in situations where any failure is deemed to be long term. In such cases, the
Reconciliation Service will liaise with POL Finance to agree a contingency distribution.
The distribution list is considered by both Fujitsu and Post Office Ltd to be of a dynamic nature and
therefore specific addressees are not covered within this document.
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4.1.2 APSS2133c report explained
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APS Delayed Transactions Report
Processing Date: 15/06/2005 Report
Date: 15/06/2005
Report.
Time: 22:02:33
Transaction Date Transaction Details value (£) Error Message
15/06/2005 CCM 2654 Local Collect 5654 4271 0123110 07:40:35 13211001300603558251 01 H 7191 0.00 Digital Signature Failure
0
CardAccount 2685 Card Account 5685 4747 0123110 07:39:49 63364110803854137 01 H 7 0.00 Digital Signature Failure
190 0
DVLA 2422 D.V.L. 5927 0123110 08:35:42 09010213308202964440 01 H 7196 0 0.00 Digital signature Failure
DVLA 2422 D.V.L. 5927 0123110 59 09010214626193524587 01 H 7197 0 0.00 Digital Signature Failure
DVLA 2422 D.V.L 5927 0123110 2 09010213453464647554 01 H 7198 0 0.00 Digital Signature Failure
DVLA 2422 D.V.L. 5927 0123110 41 09010214408686229879 01 H 7199 Oo 0.00 Digital Signature Failure
DVLA 2422 D.V.L 5927 0123110 36:58 09010214379121878192 01 H 7200 0 0.00 Digital Signature Failure
DVLA 2422 D.V.L. 5928 0123110 08:35:03 09010215679293600152 01 H 7194 0 0.00 Digital Signature Failure
E> QUANTUM 2413 Siemens Metering Ltd 3333 9206 1915045 16:36:25 CA1005453483657 02 H 3.00
710 0
TOTAL 12 3.00
Reconciliation Error 0 0.00
End of Report APSS2133c
Clearing Agent Client Account & Name Client code Item (produc
QUANTUM 2413 Siemens Metering Ltd 3333 3206
FAD (ignore last digi ‘ime of transaction Various stuff about receipt numbers APSSEQ, in this case is 020710, counter=2
1915045 16:36:25 CA1005453483657 02 H 710
Orransaction type? 3 .£ ODO amount three pounds
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4.2 APS Reconciliation & Incident Handling
4.2.1 APS Business Incidents
4.2.1.1 Reconciliation Errors within APSS2133 report
Reconciliation errors within the APS Daily Account Balancing Report should be minimal and, if they do
occur, will be applicable to:
¢ — Software errors
« Unidentified differences classed as ‘Reconciliation Errors’ within APSS2133.
4.2.1.2 Delayed Transactions on APSS2133c Report
Where transactions have failed to be delivered to Post Office Clients, they are referred to as Delayed
Transactions.
In normal circumstances, these transactions will be input by Fujitsu SSC into the APS data file via the
APS secure workstation and will be received by Post Office Client 24 hours later, subject to the client's
delivery agreement. There may be occasions when transactions cannot be sent via the data file process
and have to be delivered to ‘Manual’. In such cases full details of the transaction are supplied via the
BIM report route; these incidents are NOT chargeable.
4.2.2 APS Business Incident Originators
It is envisaged that APS Business Incidents will only be generated by the following groups within Fujitsu
and Post Office Ltd:
e Fujitsu for errors reported via the APS report set and End-to-End APS reconciliation
e POL Finance or POL RDT for any other reconciliation or settlement error discovered by POL
Finance that has not been reported by Fujitsu Services
e Fujitsu SSC for any system fault or data ‘surgery’ which is considered by Fujitsu to have a
reconciliation or settlement implication within Post Office Ltd.
Subject to agreement by the parties to the contrary, Post Office branch raised calls to the Horizon
Service Desk (HSD) will not generate APS Business Incidents. However, calls from Post Office branches
will be monitored and if it is considered necessary by Fujitsu incidents reported to the HSD will be
elevated to APS Business Incident status.
4.2.3. Generation of Business Incidents
APS Business Incidents will only be recognised as such if generated by Fujitsu or Post Office Ltd via the
HSD. This ensures that the APS Business Incident is properly logged, enabling Fujitsu to ensure that
corrective information can be supplied and any underlying system fault can be rectified.
It is important that POL Finance supply sufficient information to the HSD when generating an APS
Business Incident to ensure the timescales for the resolution of APS Business Incidents referred to in
section 5.4 can be achieved. Achievement of such timescales is dependent upon the following
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information being provided by POL Finance when generating an APS Business Incident via the HSD:
« ATES call is to be raised.
« Prefix all narrative with ‘This is a Business Incident for Reconciliation Service,
PLEASE ROUTE THIS CALL TO EDSC’
e Relevant details including the Branch code, date of the transaction, value of transaction, HNG-X
Transaction ID etc. should be supplied.
NB: Where POL Finance raises an APS Business Incident which may require a large amount of
supporting information, summary detail only may be given to the HSD and the additional information
sent via e-mail to Fujitsu Reconciliation Service, at £ i
4.3 Incident Reporting
4.3.1 BIM Reports
e The Business Incident Management System (BIMS) has been designed to report the progress to
resolution of a Business Incident to allow Post Office Ltd. to complete an accurate reconciliation
or settlement with their clients. For ease of identification and association, BIM report references
will take the Fujitsu internal Incident and Problem Management System (PEAK) reference
number. In all cases each BIM report will have a unique identifier.
e A BIM report will be issued for each Business Incident generated. BIM reports are designed to
notify POL Finance of the detail required to assist in the reconciliation or settlement process
within Post Office Ltd. domain. BIM reports communicate information concerning the resolution
of the symptom of an underlying cause, not the cause itself; this information would be supplied
via the Problem Management route, if escalated to this level.
e Where a System Incident is generated to eradicate the cause of a particular problem and there
is one or more associated Business and Related Services Business Incidents, cross-references
will be supplied on the Business and Related Services Business Incident BIM report and via the
Problem Management process to allow tracking of the System Incident.
4.3.1.1. BIM Report Distribution
e The Reconciliation Service will distribute APS BIM reports to POL Finance, using the Fujitsu
corporate e-mail network. In the event that the Fujitsu or Post Office Ltd corporate email
systems are unavailable, Fujitsu will discuss with POL Finance appropriate means of information
transfer.
e BIM reports distributed in accordance with this section will be deemed to have been issued to
POL Finance at the time of transmission by email.
e An example of a BIM report is shown at Section 6.
4.3.1.2 Clearance Criteria
e The Reconciliation Service provides information concerning APS Business Incidents to POL
Finance on a ‘drip feed’ basis, by issuing updated versions of the initial BIM report.
e A BIM report is ‘Cleared’ when the Reconciliation Service has provided the requisite
reconciliation / settlement information.
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e Additionally, the exception is cleared from the appropriate section of NB102 after necessary F99
authorisation has been obtained from POL.
e MER charges are detailed in the Reconciliation Service: Service Description document
reference SVM/SDM/SD/0015.
4.3.2 Reporting Timescales
The Reconciliation Service will use reasonable endeavours to raise an initial BIM report relating to a new
APS Business Incident within 24 hours of the notification of the incident. This will be made available to
POL Finance, on the same working day as the APS Business Incident is generated via the HSD, or in
any event on the morning of the next working day.
In the event of the APS report set not being available to Fujitsu in time to enable any errors to be notified
within this timescale, Fujitsu will contact POL Finance by telephone or email to agree a temporary
extension to the timescale. The Reconciliation Service will use reasonable endeavours to ensure the
final completed BIM report, is made available in accordance with section 5.1.and is cleared within five
working days of the date the APS Business Incident was generated via the HSD.
Where there is a need to correct APS / TPS Data Errors Fujitsu will use reasonable endeavours to
deliver the corrected data file to POLSAP within five working days from the date the APS Business
Incident was generated via the HSD. This may however, not always be practical due to the technicalities
of creating a corrected data file if there is a high volume of data.
There is no agreed timescale for the resolution of a System Incident. Fujitsu will give every System
Incident the priority it deserves (including the Problem Management escalation process) taking into
account Post Office Ltd's requirement and will aim to deliver an initial analysis of the root cause within 5
working days and a final analysis and evidence of remedial action, within 10 working days.
If the Problem Management route is taken the issue will be closed by mutual agreement.
4.4 Client File Delivery
4.4.1. Variable File Transfer
Post Office Clients take transaction delivery from Fujitsu in accordance with their own processing
requirements. NB: Specific Client requirements are described elsewhere; this document is not intended
to describe this detail.
APS transactions from Post Office Ltd branches are available for onward transmission each day to Post
Office Clients should they require it. However, some Post Office Clients only require transactions to be
delivered on a five day, or one day etc., per week basis. This has no impact upon the reconciliation
between the actual Post Office Client transmission and the Client Transaction Summaries (CTS).
The CTS accurately identifies the volume and value of the ‘normal’ transactions (not reversed / reversing
transactions) that have been delivered to the Post Office Clients on a particular day, in accordance with
their specific requirements. It is important to note that the transactions actually delivered to Post Office
Clients as recorded on the CTS will differ from the value shown on APSS2133 within the Delivery Sub
Total (9). This figure represents the total values from the Post Office branches, which may, or may not,
have been delivered to Post Office Clients in accordance with their requirements.
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4.4.2 Reconciliation in the event of non delivery of the CTS to Post
Office Ltd
POL Finance will use the CTS as the basis for settlement with Post Office Clients. In the unlikely event
that Fujitsu fails to deliver the CTS file to POLSAP or POLSAP reject the file, POL Finance will need to
use the APSS2133b to manually calculate settlement due. The CTS only reports normal transactions
whereas the APSS2133b includes reversed / reversing transactions. Consequently POL Finance can
only use the APSS2133b to calculate the value (not the volume) of the settlements due.
It is also possible to send the CTS file to POL via email, if the normal means of delivery is not available.
Settlement is time critical and Fujitsu will ensure all the relevant system derived APS reconciliation
reports are delivered on time to ensure that settlement can be made between Post Office Ltd and its
Clients. In order to satisfy this requirement, Fujitsu has elected to make all reconciliation reports
available by 09.00hrs as stated in section 4.1.1, Monday to Friday, excluding bank holidays.
4.4.3. Clerical Reconciliation Example in the event of non delivery of
CTS to Post Office
When using the APSS2133b report to calculate settlements due, POL Finance will need to take account
of the individual Post Office Clients file delivery pattern and settlement frequency, e.g. for Post Office
Clients who have elected to take five day delivery - Monday to Friday the Monday delivery will include
transactions generated on the Friday / Saturday and Sunday. For Post Office Ltd Clients who have
elected to take six day delivery — Monday to Saturday, the Monday delivery will include transactions
generated on the Saturday and Sunday.
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5 TPS Reconciliation
5.1 TPS Report Set
The Transaction Processing System (TPS) Report Set has been designed to enable reconciliation of the
transactions carried out in Post Office branches using the Electronic Point of Sale Service (EPOSS)
which are sent to POLSAP, and Post Office Ltd Management Information Systems (POLMIS). The TPS
report set identifies errors that occur within counter transactions.
NB: For the avoidance of doubt, there is no formal reconciliation produced between the POLSAP
and POLMIS transaction stream. The POLMIS stream should therefore not be used to verify
financial integrity and Post Office Ltd should ensure the TPS Report Set and POLSAP
transaction stream are used for this purpose.
Fujitsu Services will generate three daily TPS exception reports (TPS Report Set) (from the Host and
counter reconciliation software)
NB: TPSC257 is emailed to Post Office Ltd daily, TPSC250 and TPSC254 can be provided for
audit requirements if required.
1. Host Detected Transaction Control Errors: - TPSC250
This report shows detail for any Post Office branch where the control totals for the transactions
output by the host to POLSAP and POLMIS do not match the daily transaction totals calculated by
the counters.
2. TPS Harvester Errors: - TPSC254
This report shows a list of exceptions detected by the BRDB copy process when failing to process
one or more messages.
3. Incomplete POLFS Summaries: - TPSC257
This report identifies all Post Office branches on a daily basis in which the net total of transactions
(debits/credits) does NOT net to a value of zero.
NB: It is not intended that this document describes the format or content of the individual reconciliation
reports
The TPS Report Set will be made available to Fujitsu, on a daily basis by 08.30hrs, where they will be
checked for completeness and accuracy of content. In the event that the reports do not arrive, or after
checking appear to be incorrect, in the sense that the reporting process in itself has failed, Fujitsu will
raise an incident via Post Office Account Third line support (SSC).
A BIM report will be issued to POL Finance where appropriate, i.e. where there has been a reporting
error (the reconciliation reports are flawed but not the transaction stream), or in cases where ‘delayed
transactions’ can be delivered later without compromising the integrity of those transactions.
5.2 Reconciliation and Incident Handling
5.2.1 Incident Originators
Business Incidents will only be generated by the following groups within Fujitsu and POL Finance:
e Reconciliation Service for errors reported via the TPS report set
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e POL Finance for any other reconciliation or settlement error discovered by POL Finance that
has not been reported by Reconciliation Service
e Fujitsu SSC, for any system fault, file or transaction rejection which cannot be repaired
electronically or data base adjustment which is considered by Fujitsu Services to have a
reconciliation or settlement implication within Post Office Ltd.
Subject to agreement by the parties to the contrary, Post Office branch raised calls to the HSD will not
generate Business Incidents. However calls from Post Office branches will be monitored and if it is
considered necessary by Fujitsu Services, incidents reported to the HSD, either directly or via the Post
Office Ltd Network Business Support Centre (NBSC), will be elevated to Business Incident status.
5.2.1.1. Generation of Business Incidents by POL
Business Incidents will only be recognised as such if generated by POL Finance via the HSD; this
ensures that the Business Incident is properly logged.
In all cases Fujitsu will raise a ‘BIM’ report to log incidents. For ease of identification and association,
BIM report references will take the Fujitsu internal Incident and Problem Management System (PEAK)
reference number. In all cases each BIM report will have a unique identifier.
It is important that POL Finance supply sufficient information to the HSD when generating a Business
Incident to ensure the timescales for the resolution of Business Incidents referred to in section 5.3.2 can
be achieved. Achievement of such timescales is dependent upon the following information being
provided by POL Finance when generating a Business Incident via the HSD:
° ATES call to be raised.
e Prefix all narrative with ‘This is a Business Incident for Reconciliation Service,
PLEASE ROUTE THIS CALL TO EDSC
e Relevant details including the Branch code, date of the transaction, value of transaction, HNG-X
Transaction ID etc. should be supplied.
NB: Where POL Finance raises a Business Incident which may require a large amount of supporting
information, summary detail only may_be give nal information sent via e-mail
to Fujitsu Reconciliation Service, at:
5.3 Incident Reporting
5.3.1. BIM Reports
e The Business Incident Management System (BIMS) has been designed to report the progress to
resolution of a Business Incident to allow Post Office Ltd. to complete an accurate reconciliation
or settlement with their clients. For ease of identification and association, BIM report references
will take the Fujitsu internal Incident and Problem Management System (PEAK) reference
number. In all cases each BIM report will have a unique identifier.
e A BIM report will be issued for each Business Incident generated via the HSD (by POL) or the
PEAK Incident tracking system (by SSC). BIM reports are designed to notify POL Finance of
the detail required to assist in the reconciliation or settlement process within Post Office Ltd.
domain. BIM reports communicate information concerning the resolution of the symptom of an
underlying cause, not the cause itself; this information would be supplied via the Problem
Management route, if escalated to this level.
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e Where a System Incident is generated to eradicate the cause of a particular problem and there
is one or more associated Business and Related Services Business Incidents, cross-references
will be supplied on the Business and Related Services Business Incident BIM report and via the
Problem Management process to allow tracking of the System Incident.
« MER charges are detailed in the Reconciliation Service: Service Description document
reference SVM/SDM/SD/0015.
5.3.1.1. BIM Report Distribution
e The Reconciliation Service will distribute BIM reports to POL Finance, using the Fujitsu
corporate e-mail network. In the event that the Fujitsu or Post Office Ltd corporate email
systems are unavailable, Fujitsu will discuss with POL Finance appropriate means of information
transfer.
« BIM reports distributed in accordance with this section will be deemed to have been issued to
POL Finance at the time of transmission by email.
e An example of a BIM report is shown at Section 6.
5.3.1.2 Clearance Criteria
e The Reconciliation Service provides information concerning On Line Services Business
Incidents to POL Finance on a ‘drip feed’ basis, by issuing updated versions of the initial BIM
report.
e A BIM report is ‘Cleared’ when the Reconciliation Service has provided the appropriate
reconciliation / settlement information.
e Additionally, the exception is cleared from the appropriate section of NB102 after necessary F99
authorisation has been obtained from POL.
e MER charges are detailed in the Reconciliation Service: Service Description document
reference SVM/SDM/SD/0015.
5.3.2 Reporting Timescales
The Reconciliation Service will use reasonable endeavours to raise an initial BIM report relating to a new
Business Incident. This will be made available to POL Finance, on the same working day as the
Business Incident is generated via the HSD or on the PEAK system where applicable. In the event of the
TPS Report Set not being available to Fujitsu Services in time to enable any errors to be notified within
this timescale, Fujitsu will contact POL Finance to agree a temporary extension to the timescale. This
initial, incomplete, BIM report will serve to notify POL Finance that a Business Incident has occurred and
that the completed BIM report will be provided to POL Finance within the agreed timescales.
Reasonable endeavours will be used to ensure the final completed BIM report is cleared within five
working days Service Level Target (SLT) from the date the Business Incident was generated via the
HSD, or the PEAK system.
If the BIM report is not cleared, or Fujitsu do not believe it will be cleared within five working days,
Fujitsu Reconciliation staff will notify POL Finance in advance of the SLT; status report timeframes will
be agreed and detail provided accordingly.
There is no agreed timescale for the resolution of a System Incident. Fujitsu will give every System
Incident the priority it deserves (including the Problem Management escalation process) taking into
account Post Office Ltd's requirement and will aim to deliver an initial analysis of the root cause within 5
working days and a final analysis and evidence of remedial action, within 10 working days.
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If the Problem Management route is taken the issue will be closed by mutual agreement.
5.3.3. Repairing Data
Where Fujitsu corrects errors, one Business Incident will be raised to cover each error, or group of
errors, if they are related to each other. A BIM report containing appropriate information will be issued
relating to that error or group of errors.
Where there is a need to correct errors Fujitsu may make corrective assumptions, based upon the
format and content of previous valid records of the same type, if no other detail is available. For
example, where a transaction mode is unknown, the mode used may be obtained from a previous
transaction of the same type. In such cases, Fujitsu will promptly inform POL Finance of the assumption
within the working day that the assumption has been made. POL Finance may wish to review and
validate these assumptions on a case-by-case basis and it should be noted that any assumptions made
would not necessarily set a precedent.
5.4 Links to Problem Management
The processes highlighted within this document are not intended to replace the current agreed Problem
Management procedures, which will run side by side with the incident management process.
By way of example, “problems” may be raised by Fujitsu or Post Office Ltd in the following scenarios:
« Where there is a trend of similar Business Incidents where there is no identifiable cause.
« Where a System Incident has been raised and the cause is unknown.
Problem management expands the scope of the incident management process described in this
document to include any wider issues, which must be dealt with in order to rectify problems and to
ensure that the associated Business and / or System Incidents are not repeated.
A System Incident is generated by Fujitsu to ensure the relevant code or fix etc. is developed, tested and
delivered to the live estate. However, resolution of problems which arise as a result of that System
Incident will cover any additional requirements of both parties e.g. Operational Focus updates; briefings
etc. and in many case the authority from Post Office Ltd to proceed with a relevant fix.
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