POL00000947
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TPS Reconciliation & Incident Management Ref: CS/PRO/111
Fujitsu
Services
Version: 4.0
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Document Title: TPS Reconciliation & Incident Management
Document Type: Procedure
Abstract: This document outlines the reconciliation and incident
management procedures required to investigate, report
and resolve TPS reconciliation and business incidents.
Document Status: APPROVED
Author: Richard Brunskill (IS Manager, Fujtisu Services -
Pathway)
Reviewed By: Post Office:
Liz J Tuddenham,
Keith F Baines.
Fujitsu Services: John Pope
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Comments By:
Comments To: Author
Distribution: Reviewers, plus:
Pathway CS/MSU
Library
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0.0 Document Control
0.1 Document History
0.1 22/11/9 I First draft for review.
9
0.2 03/12/9 I Second issue for review following TIP
9 workshop 01/12/99
0.3 20/12/9 I Third issue following review
9 incorporating agreed changes
0.4 14/01/0 I Fourth issue following review and
0 contractual changes
0.5 27/01/0 I Fifth issue following review and further
0 contractual changes
0.6 18/02/0 I Sixth issue following review and
0 comments
0.7 08/06/0 I Seventh issue following final PON review
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0
08 14/09/0 I Eighth issue following for PON review
0
1.0 16/10/0 I Final issue following PON review
0
11 30/04/0 I Re-issue of version 1.0
1
1.2 02/07/0 I For approval
1
1.3 13.08.01 I Further comments received from K
Baines
2.0 30/04/0 I Final version for approval following
2 agreement by Keith Baines.
3.0 03/12/0 I Updated version following contract
2 renewal & inclusion within Schedule 19
4.0 19/12/0 I Updated for Contract Amendment
2
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COMMERCIAL IN CONFIDENCE
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Ref: CS/PRO/111
Version: 4.0
Date: 19/12/02
0.2 Approval Authorities
Richard Brunskill
Fujitsu Services
Pathway:
Infrastructure
Services Manager
Liz Tuddenham
Post Office
Network Support:
Supplier &
Service
Performance
Manager
0.3 Associated Documents
TI/IFS/001
5.7
July
1999
Pathway - TIP Application
Interface Specification
Joint
Pathway / PO
Ltd
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CS/SER/O1 I 0.1 15/12/0 I Data Error / Not Data Error PVCS
7 2 Contractual Definitions
0.4 Abbreviations
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APS Automated Payment Service
BIMS Business Incident Management System - (Fujitsu Services
Pathway)
CA Cash Account
CAP Cash Account Period
CS/MSU Customer Service / Management Support Unit - (Fujitsu
Services Pathway)
EPOSS Electronic Point of Sale Service
HSH Horizon System Help Desk
MER Manual Error Report
Post Office™ TIP I Transaction Information Processing
Post Office™ TP I Transaction Processing
SIL System Incident Log
SSC System Support Centre
TPS Transaction Processing Service
0.5 Definitions
TPS Report Set The six exception reports and one Non Polled Outlet
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report described in section 3
Business Incident
Where this term is used within this document it is
meant as described in section 4.1.1
System Incident
Where this term is used within this document it is
meant as described in section 4.1.2
Data Error
Where this term is used within this document it is
meant as described within the CS/SER/OI7 “Data
Errors / Not Data Errors - Contractual Definitions”
para 3.6.1.1
Not Data Error
Where this term is used within this document it is
meant as described within CS/SER/O17 “Data Errors
/ Not Data Errors - Contractual Definitions” para
3.6.1.1
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Cash Account Period or
CAP
Where this term is used within this document it
refers to each period (normally of seven days ending
at 20.00hrs on a Wednesday), to which Post Office
shall have allocated, or shall subsequently allocate, a
Cash Account Period Number and of which it shall
have informed, or shall inform, the Contractor
through the Operational Business Change Process.
(Taken from the CCD CS/SER/017 “Data Errors / Not
Data Errors - Contractual Definitions” para 3.6.1.1 &
3.6.1.3)
Cash Account or CA
The electronic Cash Account committed at the outlet
Data Error Counting
A Data Error Counting Period means:
Period Each Cash Account Period which is of a duration of
seven days or less and
In respect of Cash Account Periods of greater than
seven days duration each proportion of any such
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Cash Account Period derived by dividing such Cash
Account Period into two or more Data Error
Counting Periods such that the first such Data Error
Counting Period is between one and seven days
duration and each subsequent Data Error Counting
Period during that Cash Account Period is exactly
seven days in duration. (CS/SER/017 “Data Errors /
Not Data Errors - Contractual Definitions” para
3.6.1.1)
BIMS Report The reports described in section 4.5.1.1
In addition to the words and expressions identified above as being defined in
CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions” para 3.6,
all other words and expressions defined in CS/SER/O17 “Data Errors / Not Data
Errors - Contractual Definitions” para 3.6 shall bear the same meanings when
used in this document.
0.6 Changes in this Version
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Version: 4.0
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3.0 References to the Codified Agreement Schedule GO1 Section 3.6, now deleted
and replaced with the CCD entitled: CS/SER/017 ‘Data Error / Non Data Error -
Contractual Contractual Definitions, which has been issued to preserve the
definitions quoted in Schedule GO1 section 3.6.
40 Updated for Contract Amendment. References to Schedule GO1 have been
removed. Minor typos corrected. Para 4.5.1.4 amendment to first sentence.
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0.7. Changes Expected
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0.8 Table of Contents
1 INTRODUCTION......
2 SCOPE....
3 TPS RECONCILIATION REPORTS
4 RECONCILIATION AND INCIDENT HANDLING
41 Incident Classification
4.1.1 Business Incidents...
4.1.2 System Incidents..............
4.2 Incident Originators
43 Generation of Business Incidents ....
44 Business Incident Categories
441 Data Errors & Not Data Errors
442 Business Incident Matrix
Incident Reporting
BIMS Reports / MER .
System Incident Log
Reporting Timescales .
Widespread Errors
Repairing Data.
Incident Management Proce:
MSU Raised Business Incident - BIMS / MER Issued — (Records not rep;
MSU Raised Business Incident - BIMS / MER Issued (Repaired Records)
Post Office TIP Raised Business Incident - BIMS / MER Issued........
System Incident with Business Implications - BIMS / MER Issued — (Repaire
records) .....
Not repaired
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4.7 Links to Problem Management ..
4.8 Appendix 1; ‘System Incident Log?
49 Appendix 2: Business Rules for Data Errors & Not Data Errors...
49 Appendix 3: BIMS Report / MER Format...
11 Introduction
The TPS Report Set has been designed to enable the transactions carried out
in outlets using the Electronic Point of Sale Service (EPOSS), to be reconciled
with the transaction data which is transmitted to Post Office Transaction
Information Processing (TIP), and also to reconcile the daily transaction
data with the Cash Account (CA) data at the end of the Cash Account Period
(CAP). The TPS Report Set identifies errors which occur within counter
transactions or during the harvesting process. In addition to errors
highlighted by Fujitsu Services within the TPS Report Set, errors may also
be discovered by Post Office when reconciling data within its central
systems or which relate to enquiries from Post Office clients. To initiate the
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BIMS procedure, Pathway and Post Office generate Business Incidents for
one or more errors discovered.
NB; Acceptance of this document will not indicate acceptance of a specific
Horizon / TIP Interface solution. Those solutions should be identified within
the relevant AIS or contractual document.
2 Scope
This document sets out the reconciliation and incident management
procedures to be adopted by the Fujitsu Services for dealing with Business
Incidents relating to the TPS Report Set errors and Post Office generated
Business Incidents. This includes reconciling the data contained in the TPS
Report Set and raising Horizon System Help Desk (HSH) Business Incidents,
Business Incident Management System (BIMS) Reports and Manual Error
Reports (MER) where necessary.
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3 TPS Reconciliation Reports
Fujitsu Services currently generate six daily TPS exception reports (from the
host and counter reconciliation software), and one Non Polled Outlet report
from the host, which are described briefly below for information purposes:
1. Host Detected Transaction Control Errors:
Shows detail for any outlet where the control totals for the transactions
output by the host to Post Office TIP do not match the daily transaction
totals calculated by the counters.
2. TPS Harvester Errors:
Lists error conditions detected by the Harvester when failing to process one
of the messages in the message store
3. Host Detected Cash Account Control Errors:
Shows detail for any outlet where the control totals for the number of
entries on the Cash Account output by the host to Post Office TIP do not
match the control totals calculated by the counters
4. Counter Detected Reconciliation Errors:
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Shows details for any outlets where the accumulated daily transaction
control totals for the Cash Account Period do not match the totals on the
Cash Account produced by the counters.
5. Counter Transaction Errors:
Lists error conditions detected by the counter when failing to process one of
the messages in the message store.
6. Receipts not Equal to Payments:
Identifies where the Cash Account ‘Payment’ table total does not equal the
Cash Account ‘Receipts’ table total.
7. Non Polled Outlets:
Identifies all outlets, which have not been polled and have therefore not
transmitted any transactions to Post Office TIP.
NB: It is not intended that this document discuss the format or content of
the individual reconciliation reports
All seven reports will be routed to Fujitsu Services MSU, on a daily basis by
09.00hrs, where they will be checked for completeness and accuracy of
content. In the event that the reports do not arrive, or after checking appear
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to be incorrect, in the sense that the reporting process in itself has failed,
Fujitsu Services will raise a System Incident via the HSH.
It is not intended that Fujitsu Services will deliver any of the TPS Report Set
to Post Office as a matter of course, other than the Non Polled Outlet report.
An extract from the TPS Report Set may however be delivered as ‘evidence’
as an attachment to the BIMS Report / MER if it is considered by Pathway
that this would aid the reconciliation or settlement process within Post
Office.
4 Reconciliation and Incident Handling
4.1 Incident Classification
4.1.1 Business Incidents
Relate to the Symptom’ of an underlying cause - eg. the effect of the
system fault on the resulting reconciliation or settlement information sent
to Post Office.
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e A Business Incident relates to one or more of the errors reported within
the TPS Report Set, or one or more of the reconciliation or settlement
errors raised in accordance with this document by Post Office TIP or TP.
Each error is categorised as a Data Error or a Not Data Error in
accordance with section 4.4.1.
Refer to the ‘Business Incident Matrix’ section 4.4.2 for a list of those
Business Incident classes currently known and for which appropriate error
reporting processes are set out in this document.
4.1.2 System Incidents
Relate to the underlying ‘Cause’
System Incidents may be raised by Fujitsu Services to cover file rejections,
non-delivery of files, or failures in the delivery of the TPS Report Set, where
an associated Business Incident has yet to be discovered. In doing so, the
appropriate BIMS report will be generated advising Post Office to expect a
Business Incident as detailed in the BIMS report. In addition, following the
creation of a Business Incident, Pathway may raise an associated System
Incident. System Incidents will be routed to the appropriate group within
Fujitsu Services, for investigation and resolution.
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Where there are associated System Incidents and Business Incidents, their
relationship can be either:
* one to one; or
* one to many, respectively.
4.2 Incident Originators
It is envisaged that Business Incidents will only be generated by the
following groups within Fujitsu Services and Post Office:
e Fujitsu Services MSU for errors reported via the TPS Report Set
e Post Office TIP / TP for any other reconciliation or settlement error
discovered by Post Office that has not been reported by Pathway
¢ Fujitsu Services Service Support Centre (SSC) for any system fault or data
‘surgery’ which is considered by Fujitsu Services to have a reconciliation
or settlement implication within Post Office.
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Subject to agreement by the parties to the contrary, outlet calls to the HSH
will not generate Business Incidents. However calls from outlets will be
monitored and if it is considered necessary by Fujitsu Services, difficulties
reported to the HSH, either directly or via the Network Business Support
Centre (NBSC), will be elevated to Business Incident status.
4.3 Generation of Business Incidents
In line with the generic incident management policy agreed between Fujitsu
Services and Post Office, Business Incidents will only be recognised as such
if generated by Fujitsu Services or Post Office, as appropriate, via the HSH.
This ensures that the Business Incident is properly logged, enabling Fujitsu
Services to ensure that corrective information can be supplied and any
underlying system fault can be rectified.
It is important that Post Office TIP / TP supply sufficient information to the
HSH when generating a Business Incident to ensure the timescales for the
resolution of Business Incidents referred to in section 4.5.3 can be achieved.
Achievement of such timescales is dependent upon the following
information being provided by Post Office TIP / TP when generating a
Business Incident via the HSH:
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e A valid ‘PATH’ code must be quoted, e.g. ‘PATHO40’ etc.
¢ Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
e The valid incident class (from the ‘Business Incident Matrix’, section
4.4.2), if one is applicable, should be quoted together with any other
relevant detail, e.g. product Id, CA lines ete.
NB: Where Post Office TIP / TP raise a Business Incident which may require
a large amount of supporting information, summary detail only may be
given to the HSH and the additional information sent via e-mail to Fujitsu
Services. (A current contact list will be made available to Post Office).
4.4 Business Incident Categories
4.4.1 Data Errors & Not Data Errors
The action to be taken by Fujitsu Services in respect of an error which gives
rise to a Business Incident, and whether or not Fujitsu Services has to pay a
charge to Post Office in relation to such an error, depends, amongst other
things, on whether the error is a Not Data Error or a Data Error, as defined
in CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions”
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para 3.6.1.1. The following explanations are provided to assist Fujitsu
Services and Post Office when classifying errors and do not modify, in any
way, CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions”
para 3.6.
Having determined the classification of an error, the appropriate action to
be taken by Pathway is summarised in Appendix 2.
If, following discovery of an error, there is insufficient information available
to Fujitsu Services to determine whether that error is a Data Error or a Not
Data Error, then for the purpose only of deciding the action to be taken in
accordance with Appendix 2, the error shall be treated as a Data Error.
4.4.1.1 Not Data Errors - categories
A. The following errors, whether they are related to a transaction or a Cash
Account are always Not Data Errors:
(i) an error caused by invalid data input by users in outlets (except
where the input of data puts a previously balanced Cash Account into
a state of imbalance);
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(ii) I an error caused by the input of erroneous data by a user during
migration of Post Office data to any outlet (ie. during data
migration), except where data migration tools provided by Fujitsu
Services are supposed to detect such an error; the migration tool is
properly used but the error is not detected;
(iii) an error caused by Post Office reference data, provided that Fujitsu
Services has properly applied that reference data; and
(iv) an error which falls within a Business Incident classified in the table
under section 4.4.2 as “F” or “G”.
B. Inaccurate Cash Account (Not Data Error)
In addition to the above, an inaccurate Cash Account is a Not Data Error if
the Cash Account was committed at the outlet, even though a warning was
given to the outlet (in the form of “receipts not equal to payments” or such
other warning as the parties may agree) that the inaccuracy existed, and
either;
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() the inaccuracy was not caused primarily by:
(a) inaccurate Fujitsu Services reference data;
(b) Fujitsu Services incorrectly applying Post Office reference
data; or
(co) Fujitsu Services generated software error; or
(ii) I the inaccuracy was caused by one of the causes listed in (i), but it
could have been corrected by a user in the outlet, if that user had
applied a “work around” previously agreed by Fujitsu Services and
Post Office to deal with such inaccuracies.
4.4.1.2 Data Errors - Categories
Inaccurate Cash Account (Data Error)
An inaccurate Cash Account is known as an Inaccurate Cash Account (Data
Error) and is treated as a Data Error unless it is a Not Data Error because:
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(i) the inaccuracy is defined as a Not Data Error by reason of section
4.4.1.1 (A): or
(ii) the Cash Account is an Inaccurate Cash Account (Not Data Error)
because of section 4.4.1.1 (B).
Cash Account Error
If the electronic Cash Account committed at the outlet is not the same as
that which TMS presents at the TIP interface e.g. because the Cash Account
has been corrupted in some way, this is known as a Cash Account Error.
This is a Data Error unless the error which results in the Cash Account Error
falls within section 4.4.1.1.(A) above.
Transaction Errors
An error in one or more data fields in the electronic record of a transaction,
or a missing, duplicate or spurious additional transaction record is known
as a Transaction Error. A Transaction Error is a Data Error, unless it falls
within section 4.4.1.1(A) above.
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4.4.2 Business Incident Matrix
The Business Incident Matrix identifies known classes of Business Incidents . This
list is based on the list of incidents provisionally agreed between Fujitsu
Services and Post Office at the joint workshop held on 02/11/99 for EPOSS
/ TPS related Business Incidents. The list also includes those additional
Business Incident types documented within the CS/SER/017 “Data Errors /
Not Data Errors - Contractual Definitions’ Error Matrix Section 4 (Annex).
As such the list is an initial attempt to identify all currently understood
Business Incident classes but it may not be exhaustive. The current
Business Incident Matrix is held within the BIMS database and an extract
can be provided to Post Office at any time for audit and checking.
4.5 Incident Reporting
4.5.1 BIMS Reports / MER
BIMS has been designed to report the progress to resolution of a Business
Incident to allow Post Office to complete an accurate reconciliation (within
Post Office central systems) or settlement with their clients. For ease of
identification and association with the corresponding HSH call, BIMS Report
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references will mimic the HSH reference. However they will be prefixed with
a letter ‘B’, e.g. HSH ref.: E9912120011 = BIMS ref.: BE9912120011.
4.5.1.1 Format and Content of BIMS Report / MER
A BIMS Report will be issued for each Business Incident generated via the
HSH. As part of that BIMS report, Fujitsu Services will issue a MER for each
error associated with the relevant Business Incident where it is necessary to
do so to comply with CS/SER/O17 “Data Errors / Not Data Errors -
Contractual Definitions” para 3.6.
BIMS Reports / MER are designed to notify Post Office of the detail
required to assist in the reconciliation or settlement process within Post
Office. They communicate information concerning the resolution of the
symptom of an underlying cause, not the cause itself. Business Incident
reporting to Post Office TIP / TP will fall into one of the following
categories:
1. BIMS Report for a Not Data Error
This will be the standard BIMS report as shown in Appendix 3 without the
‘Transaction Details’ section completed. It will provide Post Office TIP / TP
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with a brief description of each error to the extent that each error can be
identified.
2. BIMS Report for a repaired Data Error
This will be the standard BIMS Report as shown in Appendix 3. However,
the ‘Transaction Details’ section may be completed if considered necessary
by Fujitsu Services. Full details of the repaired transaction ‘File’ will be
documented providing an explanation of each correction made.
3. BIMS Report and MER
This will be the standard BIMS report as shown in Appendix 3. However, the
‘Transaction Details’ section will be completed as a MER to describe each
Data Error associated with the Business Incident, and specifying in a format
(suitable for Post Office TIP to key into a Post Office TIP data input
facility):
e in the case of a Data Error resulting in an Inaccurate Cash Account (Data
Error) or a Cash Account Error, each of the line items in the relevant
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Cash Account which need to be replaced in order to correct the Data
Error in question; and
e in the case of a Data Error which is a Transaction Error, the relevant
transaction record as it would have appeared but for the Data Error.
NB: A BIMS report may contain more than one MER.
Appendix 2 describes in tabular form the different error criteria for Data
Errors and Not Data Errors and the business rules surrounding the
transmission of data from Pathway to Post Office and the production of
MERs where necessary.
BIMS Reports / MER will not advise any detail as to the underlying ‘Cause’
of the problem if this is a result of a software error etc. This information is
supplied via the System Incident Log, (SIL). Where a System Incident is
generated to eradicate the cause of a particular problem, and there are one
or more associated Business Incidents, cross-references will be supplied on
the Business Incident BIMS Report / MER to allow tracking of the System
Incident.
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4.5.1.2 Clearance / Closure Criteria & Charges Applicable to MERs
Fujitsu Services anticipates that it will provide information concerning
Business Incidents to Post Office on a ‘drip feed’ basis, by issuing updated
versions of the initial BIMS Report / MER.
A BIMS Report is ‘Cleared’ (for the purpose of determining whether the
timescales as quoted within section 4.5.3 have been met), when Fujitsu
Services has provided the information required to be contained in the
relevant BIMS Report as set out in section 4.5.1.1. The BIMS Report is then
closed following agreement between Post Office and Fujitsu Services at the
monthly Incident Management Review. Such agreement is subject only to
fulfilment of the following conditions:
1. If there is no associated System Incident, the BIMS Report is closed
subject to the clearance criteria described above being met
2. If there is an associated System Incident, the BIMS Report is closed
subject to the successful closure of the System Incident by Fujitsu
Services.
Post Office will advise Fujitsu Services on a monthly basis via spreadsheet,
(which cross refers to the appropriate details of the chargeable BIMS / MER
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reports), of any payments it considers are payable to Post Office (as
compensation for Post Office costs in dealing with MERs) and / or its
charges for dealing with widespread errors. For the avoidance of doubt, if
an error, treated as a Data Error due to a lack of information in accordance
with section 4.4.1 is subsequently found to be a Not Data Error, then no
payment will be made in respect of a MER which may have been issued in
respect of that error. If the parties disagree whether the error is a Data
Error or Not Data Error, this will be initially discussed at the monthly
Incident Management Review and then escalated via a ‘Case Law Referral’
form, to the Contract Administration Board for a final decision to be made.
Full details of the charges applicable in respect of MERs are set out in
Appendix 2.
4.5.1.3 Notification of Anticipated Errors
There may be certain instances where an error identified in ‘Week 1’ will
have an equal and opposite error generated in ‘Week 2’. For example, if
there is a difference in the derived transaction total transmitted to Post
Office TIP when compared to the actual totals populated to the Cash
Account line, probably due to a stock unit rolling over more than one CAP,
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an equal and opposite error will occur the following week. In such cases
only one BIMS Report and MER if appropriate, will be issued following the
notification of the error within Week 1.
NB: This is not applicable to any error being carried forward into a
subsequent CAP as a result of a ‘Receipts & Payments’ misbalance where a
separate BIMS Report and MER will be issued for both the original and
subsequent error.
4.5.1.4 Report Distribution
Fujitsu Services will distribute BIMS Reports / MER’s and the Non Polled
Outlet report within Post Office using the Post Office mail network
accessed via ‘Lotus Notes’, In the event that this facility is temporarily
unavailable, reports will be distributed via the Fujitsu Services corporate
mail system. In the event that both ‘Lotus Notes’ and the Fujitsu Services
corporate mail system are unavailable, the Fujitsu Services MSU Business
Support Team leader will discuss with the Post Office ‘Incident Manager,
Transaction Processing’ the appropriate means of information transfer.
BIMS Reports / MERs distributed in accordance with this section will be
deemed to have been issued to Post Office, and / or Post Office given
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notice of any errors described therein, on confirmation of delivery by the
‘Lotus Notes’ system administrator at the time of transmission by mail.
An example of a BIMS Report / MER is shown in Appendix 3.
4.5.2 System Incident Log
The SIL is intended to track the progress to resolution of a System Incident
generated to eradicate an underlying system fault. In practice, one system
fault could lead to a number of symptoms generating Business Incidents.
The SIL has been developed to remove the need to annotate each BIMS
Report / MER associated with a particular system fault, with the detail
required to ensure Post Office are fully advised as to the nature of this fault
and how and when it is to be rectified. This information will be contained in
the SIL.
An example of a completed SIL is shown in Appendix 1.
4.5.3 Reporting Timescales
Fujitsu Services will use reasonable endeavours to raise an initial BIMS
Report (V1.0) relating to a new Business Incident. This will be made
available in accordance with section 4.5.1.4, to the Post Office ‘Incident
Manager, Transaction Processing’, on the same working day as the Business
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Incident is generated via the HSH, or in any event on the morning of the
next working day. 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, CS / Fujitsu Services will contact the Post Office ‘Incident
Manager Transaction Processing’ to agree a temporary extension to the
timescale. This initial, incomplete, BIMS Report will serve to notify Post
Office that a Business Incident has occurred and that the completed BIMS
Report will be provided to Post Office within the agreed timescales.
Fujitsu Services will use reasonable endeavours to ensure the final
completed BIMS Report / MER, is made available in accordance with section
4.5.1.4 and is cleared within five working days from the date the Business
Incident was generated via the HSH.
Where there is a need to correct Data Errors (see appendix 2), Fujitsu
Services will use reasonable endeavours to deliver the corrected data file to
Post Office TIP within five working days from the date the Business Incident
was generated via the HSH. 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.
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If the BIMS Report / MER is not cleared (in accordance with section 4.5.1.2)
or Fujitsu Services think it is unlikely to be cleared within five working days,
Fujitsu Services shall immediately notify Post Office Incident Manager
Transaction Processing and shall procure that Fujitsu Services MSU
Manager (or in his absence, his deputy) is made available to meet with Post
Office Incident Manager Transaction Processing, (or his delegate), to discuss
the delay within two working days of such notification.
There is no strict timescale for the resolution of a System Incident as the
time taken to develop a fix or correct erroneous reference data cannot be
determined. Obviously however, Fujitsu Services will give every System
Incident the priority it deserves taking into account Post Office’s
requirement and would 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. A System Incident will be closed by Fujitsu Services
once the relevant fix has been developed and tested and delivered, or a
correction to the relevant erroneous reference data has been authorised or
approved for release through the appropriate agreed procedures between
Fujitsu Services and Post Office. The SIL, advising the current status of
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System Incidents will be delivered to Post Office TIP / TP at the end of each
week. Post Office may telephone CS / Fujitsu Services at any time to receive
an update as to the status of any System Incident documented on the SIL.
4.5.4 Widespread Errors
‘Widespread Errors’ are those Data Errors or Not Data Errors affecting Cash
Accounts in a Cash Account Period at more than 100 outlets. This section,
4.5.4, defines the notification procedures referred to in paragraph 3.6.4.1
(a) of CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions”
and actions to be taken by Fujitsu Serivices in relation to Widespread
Errors referred to in paragraph 3.6.4.1 (b) of CS/SER/O17 “Data Errors /
Not Data Errors - Contractual Definitions’ .
Fujitsu Services will monitor ‘trigger points’, for example HSH calls and the
TPS Report Set, which can alert of any likely potential or actual
‘Widespread Errors’. If Widespread Errors are discovered through this
monitoring, the Fujitsu Services Business Continuity Manager (or other
senior representative of Fujitsu Services) will immediately notify the Post
Office Business Continuity Manager (or, if unavailable, another senior
representative of Post Office) that Widespread Errors have been discovered
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and of the action the Fujitsu Services has taken or proposes should be
taken in accordance with this section 4.5.4. Upon giving such notice the
provisions of this document (other than this section 4.5.4) shall cease to
apply in respect of those Widespread Errors.
Fujitsu Services will deal with Widespread Errors in the following manner:
e In respect of those Outlets which have not irrevocably committed
electronic Cash Accounts which may be affected by Widespread Errors
Fujitsu Services will notify those Outlets directly by telephone that they
should not attempt to irrevocably commit Cash Accounts until further
notice from Fujitsu Services.
e If the Widespread Errors have resulted in electronic Cash Accounts
irrevocably committed in Post Office Branches not being transmitted to
Post Office / TIP, Fujitsu Services will notify Post Office / TP of all such
missing electronic Cash Accounts.
e Fujitsu Services will use all reasonable endeavours to ensure that all
electronic Cash Accounts not transmitted to Post Office / TIP as a result
of Widespread Errors will subsequently be transmitted to Post Office /
TIP, without correction and still containing any Widespread Errors
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contained within them in order that they will agree with the signed
paper Cash Account produced in the outlet.
e Where Widespread Errors have resulted in a reconciliation error within
the Cash Account Pathway will not correct any electronic Cash Account
records if this correction would result in an electronic Cash Account
being received by Post Office / TIP which differs from the signed paper
Cash Account produced in the outlet
e In addition to the above, Fujitsu Services agrees that it will provide all
reasonable assistance to Post Office and will co-operate with Post Office
with the aim of resolving or mitigating to both parties satisfaction the
effect of Widespread errors discovered. In so doing, the parties may
agree reasonable alternative or additional action by Pathway (to that set
out above) which is appropriate for the type or Widespread Errors
discovered and the number of Outlet Cash Accounts affected by them.
Such action might include, for example: the calculation of corrective
factors which if applied to the relevant line or lines of each Cash Account
in error, would produce the correct outcome or balance for those Cash
Accounts or the provision of corrective data for such Cash Accounts
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(provided that the parties can agree the changes to the CCD (TIP/IFS/001
- V5.7: Pathway - TIP Application Interface Specification) which would
be necessary for such transmission)
The charges for widespread errors shall be as set out in CS/SER/O17 “Data
Errors / Not Data Errors - Contractual Definitions” para’s 3.6.4.3 & 3.6.4.4.
4.5.5 Repairing Data
Where Fujitsu Services corrects Data Errors, ONE Business Incident will be
raised to cover each error, which has been corrected (or group of errors if
they are related to each other or if they relate to one Cash Account). A BIMS
report containing appropriate information (in accordance with section
4.5.1.1) will be issued relating to that error or group of errors.
Where there is a need to correct Data Errors, Fujitsu Services 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 Services
will promptly inform Post Office ‘Incident Manager Transaction Processing’
of the assumption, and anticipates that this will be by fax normally within
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the working day that the assumption has been made. Post Office 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.
Where Post Office agrees that a Cash Account transmitted to Post Office TIP
shall be repaired rather than require a MER, then Fujitsu Services obligation
to transmit a repaired Cash Account may be satisfied by transmitting such
part of the repaired Cash Account as is necessary to correct the Data Error
concerned, provided that such transmission complies with the requirements
of the CCD 7I/FS/001 Pathway to TIP Application Interlace Specification.
Appendix 2 sets out the rules surrounding the decision to repair data or
advise corrections via MER.
4.6 Incident Management Process
The following flowcharts have been prepared to describe the processes
required to bring each Business Incident and System Incident to a
successful conclusion within Fujitsu Services and Post Office and are for
information only. They do not attempt to describe any low-level Pathway
procedures.
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The individual cases where Pathway will elect to repair or not to repair data
are not included within these flowcharts.
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4.6.1 MSU Raised Business In
lent - BIMS / MER Issued — (Records not repaired)
4.6.2 MSU Raised Business Incident - BIMS / MER Issued (Repaired Records)
fo. + I?
a 28 29 p—>(>)
Raise one Route Log incident
bus. incident incident to MSU details into
on the HSH incident stack BIMS/MER
[Msu} [HSH]
6
Bowie.
30 Annotate
exception
report with
BIMS/MER ref.
[MSU]
7 ay 1.
32
3 Bus. Incident to
Yes ‘SSC with instructions
already raised? ar to create a correction
file & send to TIP
[MSU]
"1 7 9
Update 5 wy,
w BIMS/MER with inesiai I I
38 39 investigatn results I I 33 iad
Update system Raise system [MSU] Create Update incident
incident record infaise system. correction fie Lp} withcorecion
with new details: [MSU] =I and send to TIP file details
IMsu] [ssc] [ssc]
Yes Underlying v
40 35
‘Add system system fault?
incident ref.s to aerial
BIMS/MER report No [ssc]
yv _—
14 ete syst 7 18 v
ipdate system
incident record “1 core ist 36 Update
* Despatch business incident BIMS/MER
with new details ese
IMSU] BIMSIMER i with correction
report to PON file details
{MSU} (Msu}
Ade 19 No I 2%
system
L__yJ incident ref.s to 42 Poy 43 “4
BIMS/MER report Close HSH PON agree Until agreement
MSU] business incident to clear reached
[Msu} BIMS?
Yes
23
Until system 45
‘ , incident Clear
© 2001 Fujitsu Service} resolved amsmcr
48 47
Close BIMS/ ‘Agree charges for
MER at monthly MER at monthly
incident review incident review
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4.6.3 Post Office TIP Raised Business Incident - BIMS / MER Issued
5 P7aeloe bus Route 6
ise business fou ,
TIP business incident incident to MSU New incident? Attach details to
incident on the HSH incident stack MSU
mP] 1HSH]
60 56
Log Update BIMS/
incident details MER report &
into BIMS/MER send to PON
[MSU] [MSU]
61 37
Investigation to Seek closure of
provide settlement duplicate incident
or recon.tn detail from PON
[MSU] [MSU]
Ld 2 y, 58
Update system . ipdate Close
ieidone record Underlying _ BIMS/MER with duplicate incident
with new deteie system fault? investigatin results OA PONs behalf
{MSU} IMsU] IMsU}
Reise system
incident with HSH
[Msu]
Despatch
BIMS/MER
report to PON
[MSU]
Ly
67
‘Add system
ident ref.s to
70
Until agreement
BIMS/MER report reached
[MSU]
74 2
Until system BIMS linked Close HSH Clear
incident to system business incident [I aimsmeR 4 }<————"
resolved cider [MSU] [Msu]
eM
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Agree charges for Close BIMS/MER
MER at monthly }Zp} at monthly
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79 80 Reise
78 Business bus. incident
incident on HSH & link to
START identified system incident
by SSC [ssc]
a, 83
ute
incident to MSU Arch details to
incident stack bait ial
[HSH] IMsu]
89 88 Log 84
Investigation to incident details Update BIMS/
provide settlement k@@—1 into BIMS/MER. MER report
or recon.in detail ‘Add system ref.s & send to PON
[Msu] [MSU] [MSU]
90 8
Update BIMS/ Seek closure of
MER with duplicate incident
investigatin results from PON
[MSU] [MsU]
1 86
Despatch Close
BIMS/MER duplicate incident
report to PON ‘on PONs behalf
[MSU] [MSU]
93 No ‘22 =
Until agreement PON agree
reached to clear END
BIMS?
Yes
94 95 Close HSH *y 1
Clear bus. incident on intl system
————}sinsmer =P] “sschohat [PY incident
[MSU] [MSU] resolved
© 2001 Fujitsu Services COMMER ChsrareconrimrNCH Tage a7 v
98 I 97
99 Close BIMEMER rint Agree chars for
at monthly ie ‘at monthly
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4.6.4 System Incident with Business Implications - BIMS / MER Issued - (Repaired /
Not repaired records)
4.7 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, as has always been the case.
By way of example, “problems” may be raised by Fujitsu Services or Post
Office in the following scenarios:
e Where there is a trend of similar Business Incidents where there is no
identifiable cause. This may include the scenario where the number of
Data Errors discovered after transmission to Post Office TIP exceeds 20
within the relevant Data Error Counting Period. (CS/SER/O17 “Data
Errors / Not Data Errors - Contractual Definitions” para 3.6.6.2)
e 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
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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 Services 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. Counter
News updates, briefings etc. and in many cases the authority from Post
Office to proceed with a relevant fix.
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4.8 Appendix 1: ‘System Incident Log’
System Incident References Associated Business Incident Resolution Detail
Date Raised HSH Ref. PinICL (1) I PinICL (2) I BIMS/HSHRef. I TIP Ref. Cause / Rectification of Error Fix Detail Problem Mgt I Closure Date
Ref.
03/11/99 I £9911030813 I 32733 N/A BE9911020258 I 999 Narrative text WP1234 29/11 I 34567 03/12/99
03/11/99 I £9911030845 I 32675 32688 BE9911020259 I N/A Narrative text 34666
Description of Fields
System Incident References
e Date Raised: The date the System Incident was raised by Fujitsu Services
e HSH Ref.: The System Incident HSH reference
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e PinICL (1): The initial System Incident PinICL
e PinICL (2): Any subsequent System Incident PinICLs raised for the same Business Incident
Associated Business Incident
e BIMS / HSH ref.: The HSH and BIMS references which are identical but for the ‘B’ prefixing the BIMS reference
¢ TIP Ref.: Any TIP reference quoted against a TIP / TP raised Business Incident
Resolution Details
¢ Cause Rectification of Error: A non technical description of the fault and the solution to rectify
e Fix Detail: The Work Package (WP) detail and associated dates of any fix delivered to the estate
e Problem Mgt Ref.: The associated Problem Management Database reference
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Closure Date: The date the System Incident was closed following successful delivery of fix or reference data changes.
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4.9 Appendix 2: Business Rules for Data Errors & Not Data Errors
Data Errors Discovered Before Transmission to Post Office / TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CS/SER/ I Original Original the DataI the Data I (Subject to I Limit) Corrected I Explain Fujitsu
017) Record Record Error Error if I 50 Limit) Record Correction I Services(A
Post Note 3 mt. Per
Office MER)
Agree
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v v
Transaction Error 3.6.5.1 N/A
v
Transaction Error - MER I 3.6.5.4 I ¥ Note 1 v £100
option
v v v
Inaccurate Cash Account } 3.6.5.2 N/A
(Data Error) - Corrected (a)
v v
Inaccurate Cash Account I 3.6.5.2 v £100
(Data Error) - Not I (b)
Corrected
v v
Cash Account Error 3.6.5.3 N/A
v
Cash Account Error - I 3.6.5.4 I ¥ Notel v £100
MER Option
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Note 1: Fujitsu Services will usually retain the original record but is not obliged to do so if a MER is issued.
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Data Errors Discovered After Transmission to Post Office TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CS/SER/ I Original I Original I the Data} the Data I (Subject to I Limit) Corrected I Explain Fujitsu
017) Record Record Error Error if I 50 Limit) Record Correction I Services
Post Note 3 (Amt. Per
Office MER)
Agree
v v v
Transaction Error - I 3.6.6.1 I N/A N/A N/A
Corrected (a)
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Transaction Error - Not I 3.6.6.1 I N/A N/A ¥ Note 2 v £150
Corrected (b)
v v v
Inaccurate Cash Account I 3.6.5.2 I N/A N/A N/A
(Data Error) - Corrected (a)
v
Inaccurate Cash Account I 3.6.5.2 I N/A N/A v £100
(Data Error) - Not I (b)
Corrected
v v v
Cash Account Error - I 3.6.6.1 I N/A N/A N/A
Corrected (a)
Cash Account Error - Not I 3.6.6.1 I N/A N/A Y Note 2 v £100
Corrected (b)
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Note 2: the ‘50 limit’ only applies if the Data Error is discovered after transmission to Post Office TIP, but before the conclusion
of the Data Error Counting Period. If discovered after the end of the Data Error Counting Period, the ‘50 limit’ does not apply in
respect of MERs required to be issued, (see CS/SER/O17 “Data Errors / Not Data Errors - Contractual Definitions” para 3.6.6.3)
Note 3: Instead of retaining and repairing Data Errors, Fujitsu Services is entitled to issue MERs for up to a total of 50 Data
Errors (or such higher limit as the parties may agree) relating to any Data Error Counting Period.
For the purposes of this ‘50 limit’, a Data Error relates to a Data Error Counting Period if;
a) it is a Transaction Error in a transaction carried out during that Data Error Counting Period; or
b) it is a Cash Account Error or an Inaccurate Cash Account (Data Error) for the Cash Account Period (if any) which is co-
terminus with that Data Error Counting Period.
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For the purposes of the definitions Data Error Counting Period, a day shall mean a period of 24 hours ending at 20.00hrs.
(CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions’ paras 3.6.1.2 & 3.6.1.3). Fujitsu Services and Post Office
may agree that the ‘50 limit’ may be increased if felt operationally viable.
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Not Data Errors Discovered Before or After Transmission to Post Office TIP
Action by Pathway
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COMMERCIAL IN CONFIDENCE Date: 19/12/02
Data Error Criteria Para (in I Retain Transmit I Correct Correct BIMS To the extent that is reasonable, Charge to
CS/SER/ I Original I Original I the DataI the Data I Report Fujitsu Services to assist Post Office I Fujitsu
017) Record Record Error Error if I (No MER) Services
Post (Amt. Per
Office MER)
Agree
Not Data Error 3.6.7 Y Y a) investigate and seek to prevent I N/A
the recurrence of such Not Data
Error and;
b) prevent the production of Cash
Accounts which are incorrect as
a result of such Not Data Error
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Appendix 3: BIMS Report / MER Format
BIMS Reference: BE/9912240077
Incident Type: Version: Last Updated:
Incident Class Originator:
Transaction Date: CAP: FAD:
Status: Error Value: £
OTHER REFERENCES TRANSACTION LIABILITY
PinICL reference: Provisional:
Incident ‘xref’: Final:
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COMMERCIAL IN CONFIDENCE Date: 19/12/02
TIP / TP ref: Settlement Details
System Incident References Transaction Settlement
HSH: Settled Amount:
PinICL: Invoice Number:
Invoice Date:
MER Charge
No of Chargeable MER
MER Settlement Amount:
MER Invoice Number
MER Invoice Date
INCIDENT HISTORY
Date Received
Date Cleared
Date Closed
ACTIONS
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COMMERCIAL IN CONFIDENCE Date: 19/12/02
Action Date / Time: Action Type: Analyst:
[Text description]
TRANSACTION / CASH ACCOUNT DETAIL MANUAL ERROR REPORT: Y/N
20 Fields available for insertion of Transaction or Cash Account detail in content
and format agreed with Post Office TIP.
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