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Document Title: APS Reconciliation & Incident Management
Document Type: Procedure
Release: S80
Abstract: This document outlines the end-to-end reconciliation and
incident management procedures required to investigate,
report and resolve, APS reconciliation and business incidents.
Document Status: APPROVED
Originator & Dept: John Moran, Management Support Unit Manager
Internal Distribution: Hilary Forrest Fujitsu POA Commercial
Peter Thompson Fujitsu POA Service Support
Pooja Sujith Fujitsu POA Management Support Unit
PVCS
External Distribution: Liz Tuddenham Post Office Ltd Operations Control
Julie Dart, Post Office Ltd Product & Branch Accounting
Suzanne Robson, Post Office Ltd OBCRDST
Post Office Ltd document control
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APS Reconciliation & Incident Management
COMMERCIAL IN CONFIDENCE
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Ref: CS/PRO/128
Version: 4,0
Date: 17/10/2005
Approval Authorities:
(See PA/PRO/010 for Approval roles)
Name Role Signature Date
Liz Tuddenham Post Office Ltd:
Operations Control
Carl Marx Fujitsu POA Head of
Service Management
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0.0 Document Control
0.1 Document History
Version No. Date Reason for Issue Associated
CP/PEAK/PPRR
Reference
0.1 07/02/01 Initial Draft N/A
0.2 01/05/01 Second draft incorporating comments N/A
0.3 23/05/01 Third draft incorporating Post Office I N/A
comments
1.0 02/07/01 For approval
2.0 04/12/02 Updated version following contract renewal &
inclusion within Schedule 19
3.0 19/12/02 Updated for Contract Amendment
3.1 10/06/05 Updated for Release S80
3.2 03/07/05 Updated For internal and external comments
4.0 17/10/05 Updated for internal & external comments
following on-line review with Post Office Ltd
0.2 Review Details
Review Comments by: I 24/10/05
Review Comments to: I Richard Brunskill: Fujitsu POA Service Delivery Management
Mandatory Review
Post Office Ltd: Operations Control
Bernadette O’Donnell
Post Office Ltd : Product & Branch
Accounting
Julie Dart *
Post Office Ltd : OBCRDST
Suzanne Robson
Fujitsu POA Commercial
Hillary Forrest
Fujitsu POA MSU
Pooja Sujith
Post Office Ltd: Design Authority Torstein Godeseth
Optional Review
Fujitsu POA MSU Jez Murray
Issued for Information — Please restrict this
distribution list to a minimum
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Fujitsu POA Design Authority Gareth Jenkins
Fujitsu POA Service Support Pete Thompson
(* ) = Reviewers that returned comments
0.3. Associated Documents
Reference Version I Date Title Source
1. CS/PRO/I11 I 4.3 23/09/05 TPS Reconciliation & PVCS
Incident Management
2. AP/IFS/048 4.0 10/04/00 APS Host Operational PVCS
Reconciliation Reports for
CSR+
3. CS/PRO/168 I 0.1 17/10/05 Horizon Reconciliation PVCS
Exceptions — Working
Document
Unless a specific version is referred to above, reference should be made to the current
approved versions of the documents.
N.B. Printed versions of this document are not under change control.
0.4 Abbreviations/Definitions
Abbreviation Definition
APS Automated Payment Service
APS Report Set APS Reports produced by Fujitsu and distributed to Post Office Ltd
BIMS Business Incident Management Service
CCD Contract Controlled Document
cTs Client Transmission Summary
EPOSS Electronic Point of Sale Service
HAPS Host Automated Payment System
HSD Horizon Service Desk
MER Manual Error Report
MSU Fujitsu Services Management Support Unit
OBCRDST Post Office Ltd Operational Business Change Reference Data Service
Team
OPTIP Post Office Ltd Operational Transaction Information Processing
POLPBA Post Office Ltd Product & Branch Accounting
POL Finance Post Office Ltd Financial Department
POLFS Post Office Ltd Financial Systems
POLMIS Post Office Ltd Management Information Systems
PVCS Fujitsu Services Pathway document management system
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SSC System Support Centre (Fujitsu 3rd Line Support)
TP Transaction Processing Post Office ™
TPS Transaction Processing Service
0.5 Changes in this Version
Version Changes
2.0 References to the Codified Agreement Schedule G01 Section 3.6, now
deleted and replaced with the CCD entitled: CS/SER/017 ‘Data Error /
Not Data Error — Definitions; which has been issued to preserve the
definitions quoted in Schedule G01 section 3.6.
3.0 Updated for Contract Amendment — references to Schedule GOI have
been removed and minor typos corrected
3.1 Various changes relating to the S80 release.
3.2 Changes to internal comments. Also other changes to clarify the
Fujitsu opinion of the changes in the S80 release that may affect the
reconciliation aspects with respect to the Automated Payment Service.
4.0 Updated following comments received internally within Fujitsu and
from Post Office Ltd and real time review with Post Office Ltd
0.6 Changes Expected
Changes
None
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0.7 Table of Contents
1.0 INTRODUCTION...
2.0 SCOPE..
3.0 APS RECONCILIATION REPORTS.
3.1 REPORTS AVAILABLE TO POST OFFICE LTD FROM FUJITSU CENTRAL SYSTEMS.
APSS2133 — APS Daily Account Balancing Report
APSS2133b — The APS Client Summary Repott..........
APSS2133c — The APS Delayed Transaction Report...
APSS2136 — The Daily TPS / APS Transaction Summary Reconciliation Report.
al APSS2139 — The Daily APS Office Harvesting Report.
3. 2 DELIVERY TIMESCALE & MECHANISM FROM FUJITSU TO POLPBA...
4.0 I END-TO-END APS RECONCILIATION...
DAILY END-TO-END APS RECONCILIATION REPORT.
End-to-End APS Reconciliation Report - APSS2141
End-to-End APS Reconciliation Summary.
Data Delivery Timescale & Mechanism.
5.0 RECONCILIATION & INCIDENT HANDLING
5.1 INCIDENT CLASSIFICATION........
5.1.1 APS Business Incidents.
5.1.2 System Incidents...
5.2 APS BUSINESS INCIDENT ORIGINATORS.
5.3 GENERATION OF BUSINESS INCIDENTS
5.4 APS BUSIN INCIDE!
5.4.1 APS Reconciliation Report Errors.
5.4.2. End-to-End APS Reconciliation Errors.
5.43 Delayed Transactions
5.5 INCIDENT REPORTING.
BIM Reports / MER.
Reporting Timescales
Widespread Errors....
Repairing Data...
6.0 CLIENT FILE DELIVERY.......
6.1 VARIABLE FILE TRANSFER
6.2 RECONCILIATION IN THE EVE
Lip 3
6.2.1 Clerical Reconciliation Example in the event of non delivery of CTS to Post Office...
7.0 BIM REPORT EXAMPLE.....
1
1
1
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Ube
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1.0 Introduction
The Automated Payment Service (APS) Report Set produced by Fujitsu central
systems and the End-to-End APS reconciliation prepared by Fujitsu Management
Support Unit (MSU), 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 Financial Systems (POLFS) to enable settlement to be made
with Post Office Clients. This also applies to transactions of ZERO value, while these
transactions do not effect financial reconciliation they will be reported in cases where
they were not properly transferred to the Automated Payment (AP) Clients or POLFS.
Fujitsu central systems will produce a daily suite of reports,, the APS Report Set,
which reconciles those values harvested by both the Transaction Processing Service
(TPS) and APS harvesters. End-to-End APS reconciliation will be completed by
Fujitsu MSU to provide a view from harvesting, through to POLFS processing and the
Post Office Clients through the AP transaction stream.
In addition to any errors discovered by Fujitsu MSU within either the APS Report Set
or the End-to-End APS reconciliation, others may be discovered by Post Office Ltd
Finance (POL Finance) when reconciling data within POLFS or relating to queries
from Post Office Clients. To initiate the Business Incident Management Service
(BIMS) process, Fujitsu MSU or POL Finance will generate APS Business Incidents
for one or more errors discovered.
The incident management process is generic for both Electronic Point of Sale Service
(EPOSS) and APS incidents in the way that APS Business Incidents are raised,
documented and progressed. It should be noted however, that an APS incident does
not provide reconciliation within Post Office Ltd Management Information Systems
(POLMIS) and financial integrity is therefore only being reconciled within POLFS.
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2.0 Scope
This document sets out the reconciliation and incident management procedures to be
adopted by Fujitsu MSU for dealing with APS reconciliation report distribution to
POL Finance, End-to-End APS reconciliation and with any associated APS Business
Incidents which may arise, including:
APS reconciliation report differences
End-to-End APS reconciliation differences
Delayed transactions
Software faults affecting reconciliation and settlement
Post Office Client enquiries
Transaction Processing Service (TPS) Output file delivery failures
This documents main purpose is to define the current APS reconciliation Report Set
and process followed when dealing with reported reconciliations incidents as show on
the APS Report Set. For the S80 release there is no difference in how the
reconciliation process or the way the APS reconciliation reports will work.
The main difference in the S80 release is that instead of delivering transaction
information to the Post Office Ltd Operational Transaction Information Processing
(OPTIP) gateway, this same information will be delivered to the POLFS gateway.
However there will still be a separate AP transaction stream (unchanged in S80) that
will deliver relevant transaction data to the various AP Clients.
NB: For the avoidance of doubt, there is no formal reconciliation produced between
the POLFS 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 POLFS transaction stream are used for this purpose
As with previous releases the reconciliation reports will be produced during S80 by
comparing the transaction details harvested, and delivered to POLFS and those
harvested and delivered to AP Clients through the AP transaction stream.
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3.0 APS Reconciliation Reports
3.1 Reports Available to Post Office Ltd from Fujitsu Central
Systems
3.1.1 APSS2133 — APS Daily Account Balancing Report
1. Opening Balance — This figure identifies the APS delayed transactions that were
not cleared from the previous day. This figure should be identical to the closing
balance from the previous day’s APSS2133 report.
2. Pathway Harvested Transactions — This figure should be identical for both TPS
and APS harvesters and reflects the APS transactions harvested from the Post
Office branches.
3. Transactions Received from Post Office Ltd Host Automated Payment
System (HAPS) — This figure identifies all transactions received by Fujitsu FROM
HAPS in relation to outlets who have not yet been migrated to the Horizon system,
where transactions have been made using pre-Horizon system processes.
NB: This section of the report is obsolete, and will always show zero values,
however this section of the report has not been removed. There are no plans to
remove this section, and as it is always for zero volumes and value it should be
ignored.
4. Receipt Sub total — This figure should equal the Opening Balance + APS
Pathway Harvested Transactions + Transactions Received from HAPS and
equates to all transactions available for delivery today.
NB: As above the reports have not changed although HAPS is a legacy system.
This section is still in the report definition although this section will never be
populated in future.
5. APS Transactions Delivered to HAPS — This figure identifies those transactions
delivered to Post Office / HAPS.
NB: As above the reports have not changed although HAPS is a legacy system.
This section is still in the report definition although this section will never be
populated in future.
6. APS Transactions Delivered to Clients — This figure identifies those transactions
delivered direct to Post Office / Clients
7. APS Transactions Delivered To Manual — This figure identifies those APS
transactions which have been harvested by the APS harvester but have not been
delivered to HAPS / Clients via the electronic stream and which Post Office Ltd
will need to advise / adjust with the Client manually. Notification will be made to
Post Office Ltd via the BIMS process. Refer to APSS2133c — The APS Delayed
Transaction Report.
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NB: As above, while HAPS no longer exists the reports, and the logic behind
the reports has not changed, thus the have reference to HAPS remains.
8. APS Transactions delivered to POLFS — This figure should be equal to TPS
Harvested Transactions.
NB: Report will continue to show TIP as the delivery point. For S80 this has
been superseded by POLFS
9. Delivery Sub Total — This figure should equal APS Transactions delivered to
HAPS + APS Transactions Delivered To Clients + APS Transactions Delivered To
Manual.
NB: As abov,e while HAPS no longer exists the reports, and the logic behind
the reports has not changed, thus the have reference to HAPS remains.
10. Delayed APS Transactions — This figure identifies APS delayed transactions not
yet cleared. This figure should be identical to the opening balance on the next day’s
APSS2133 report
- Reconciliation Error — This figure should always be zero. If this is not the case
this will form the basis of an APS Business Incident and will be investigated via the
Business Incident Management (BIM) process.
1
3.1.2 APSS2133b — The APS Client Summary Report
This report is a sub-set of line 5 and 6 on report APSS2133. It identifies by client ID,
all APS transactions that are available to be delivered to clients.
NB: This report identifies those transactions that have been harvested on this date
irrespective of the delivery requirements of the specific client. It therefore does NOT
equal the electronic Client Transaction Summary (CTS).
3.1.3 APSS2133c — The APS Delayed Transaction Report
1. This report is a breakdown of all Delayed APS Transactions. The grand total is
equal to the Delayed APS Transactions, line 10 on report APSS2133
2. Delayed transactions may be carried over on the report until they are resent or
manually advised via the BIM process — this involves an interaction by Fujitsu
using the APS Workstation. Any transactions that have been resent will appear as
part of the APS Transactions delivered to Clients, lines 5 or 6 of report APSS2133.
Any transactions that have been manually advised will appear as part of the APS
Transactions Delivered to Manual, line 7 of report APS2133.
3.1.4 APSS2136 - The Daily TPS / APS Transaction Summary
Reconciliation Report
1. This is a 30-day rolling report, whereby if any transactions appear on this report
they can remain for up to thirty days.
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2. There are two difference categories described within this report:
Difference ‘1’:
This shows any difference between transactions input at the outlet counter system
and those delivered to POLFS or Post Office Client. This difference can be
accounted for with transactions which were not harvested by the TPS harvesters
and not delivered to POLFS, or by the APS harvesters and not delivered to Post
Office Clients.
Difference ‘2’
Shows any difference in what was delivered by Fujitsu POLFS and what was
delivered by Fujitsu to Post Office Clients. This difference is always calculated as
POLFS less Post Office Clients. If the POLFS figure is lower than the Post Office
Client figure, (through harvester mismatches or harvester exceptions) the
difference will be shown as a ‘NEGATIVE’. If the Post Office Client figure is
lower than the POLFS figure, the difference will be shown as ‘POSTIVE’.
If there are no mis-balances on this report between difference ‘1’ and difference ‘2’
then no data will be shown for that transaction date.
3.1.5 APSS2139 — The Daily APS Office Harvesting Report
This report shows the number of outlets harvested and any outlets not harvested. In
principle it is very similar to the Non Polled offices Report. (See CS/PRO/099
Reporting on Non Polled Post Offices). However, where that report shows the number
of days since the office last polled this report shows the number of working days since
the office last harvested. It therefore does not include Sundays or any other day that
the outlet was not trading. The most important check with this report is to establish
that all the offices that appear are also on the Non-polled report.
NB: This report also lists those outlets which have been closed. As such this report
while it remains can be widely ignored, as in fact it has been for some time.
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3.2 Delivery Timescale & Mechanism from Fujitsu to POLPBA
The following reports are sent daily to POL Finance:
1. APSS2133 — The APS Daily Account Balancing Report
APSS2133b — The APS Client Summary Report
APSS2133c — The APS Delayed Transaction Report
APSS2136 — The Daily TPS / APS Transaction Reconciliation Summary Report
APSS2139 — The Daily APS Office Harvesting Report
APSS2141 - The End to End APS Reconciliation Report ( his report is under
review as to its relevance and the value it delivers This report may be
discontinued, or run at less frequent intervals.)
awe YN
As governed by E Mail availability, Fujitsu MSU will ensure all reports are made
available to POL Finance by 08.00hrs daily, on a 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 account. If the
Fujitsu mail is not available fall back measures will be made, ic. floppy disk hand
delivered to the Post Office Ltd member within POL OBCRDST located on the 7"
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,
jitsu is unable to resort to facsimile transmission should the corporate e mail
service of either organisation be unavailable except in situations where any failure is
deemed to be long term. In such cases, the Fujitsu MSU will liase 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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4.0 End-to-End APS Reconciliation
41 Daily End-to-End APS Reconciliation Report
The following report is under review as at this stage as its completion is reliant
upon POL Finance being able to derive the value of POLFS processed
transactions within Line 12.
The End-to-End APS reconciliation has been developed to reconcile all areas within
the APS transaction process. The system derived report set produced by Fujitsu,
serves only to identify and reconcile the values harvested by the TPS and APS
harvesters. There is no guarantee that those transactions, which were harvested, will be
processed by POLFS or Post Office Clients within the reconciliation timescale
identified within these reports. This is due to a variety of reasons, for example, POLFS
rejections at transmission file level, delayed transactions, software errors causing
transaction errors after harvesting. The APS stream sent directly to POLFS or the Post
Office Clients is not expected to cause any problems with regard to file rejection.
The End-to-End APS reconciliation has been developed jointly between Fujitsu MSU
and POL Finance to ensure that a reconciliation is provided from harvesting through to
processing at POLFS and the eventual Post Office Client settlement. In other words:
e Harvested transactions for APS and TPS are reconciled
e TPS harvested transactions are reconciled against transactions processed by
POLFS -— taking into account file rejection and data repair / resends ete.
e APS harvested transactions are reconciled against transactions sent directly to Post
Office Clients.
In order to maintain an effective and timely End-to-End APS reconciliation, Fujitsu
MSU is required to provide, in addition to the system derived APS reconciliation
report set, APS transaction detail in respect of transmission and sub files rejected by
POLFS. A variety of queries have been developed within Fujitsu Third Line (SSC) to
identify the APS content of any files subsequently rejected and to track the re-send and
repair process completed to ensure that these transactions are correctly accounted for.
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4.1.1 End-to-End APS Reconciliation Report — APSS2141
Once all transaction rejections have been accounted for, Fujitsu MSU will prepare the
daily End-to-End APS reconciliation report and forward this to POL Finance. This
reconciliation is completed in accordance with the following rules:
No Value No Value
Section 1: APS Harvested / TPS Harvested
1. Transactions harvested by APS From APSS2133
2. Transactions harvested by TPS From APSS2133
3. APS transactions not harvested by TPS harvester_(*) Line 1 — Line 2
4. APS transactions not harvested by APS harvester (*)_I Line 2—Line 1
5. APS transactions harvested by TPS today but Previous days
harvested by APS on: dd/mnv/yyyy report(s) Line 3
entries
6. APS transactions harvested by APS today but Previous days
harvested by TPS on: dd/mnv/yyyy report(s) Line 4
entries
7. TOTAL No Value No Value
8. Difference
Section 2: POLFS Processed / TPS Harvested
9. Transactions harvested by TPS From APSS2133
10. POLFS rejections received today Calculated by Fujitsu
Services
11. POLFS rejections returned today Calculated by Fujitsu
Services
12. Transactions processed by POLFS Calculated by POLFS
13. Transactions disregarded by POLFS (*) Calculated by Fujitsu
Services
14. Transactions processed by POLFS with incorrect Calculated by Fujitsu
accounting sense _(*) Services
15. Transactions processed by POLFS delivered on: Calculated by Fujitsu
dd/mm/yyy’ Services — POLFS
16. TOTAL NO Value No Value
17. Difference
Section 3: APS Harvested / APS Processed
18. B/Fwd: Delayed transactions not processed From APSS2133
19. Transactions harvested by APS From APSS2133
20. Transactions delivered to HAPS (S/b NIL) From APSS2133
21. Transactions delivered to Clients From APSS2133
22. Delayed transactions delivered to manual From APSS2133
23. C/Fwd: Delayed transactions not processed From APSS2133
24. TOTAL No Value _I No Value
25_Difference
Note:
(*) Entries on these lines will generate a BIM report.
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4.1.2 End-to-End APS Reconciliation Summary
In addition to the End-to-End APS reconciliation report, Fujitsu MSU will provide an
ongoing daily summary showing the reconciliation status for each day, i.e. whether or
not the day reconciles in respect of POLFS processing.
Date Difference in I Difference in I Reconciliation Explanation of Difference
Transaction I Transaction State
Count Value
Y/N
01/02/01 0 £0.00 Y N/A
02/02/01 50 £500.00 N Transactions not rejected
4.1.3 Data Delivery Timescale & Mechanism
In order to reconcile the TPS harvested transactions to those transactions processed by
POLFS, POL Finance will provide the volume and value of transactions processed for
each day. This figure will relate to those transactions received and processed and will
ignore any specific transaction dates. If the POL Finance derived figures are
unavailable within the timescale defined below, Fujitsu MSU will delay the completion
of APSS2141 until the final POLFS processed figures are available.
To complete the End-to-End APS reconciliation, it is important that data is received
and input into the spreadsheet in accordance with the following timescales:
Deliverable Timescale Responsibility
APS system derived Harvesting day + Fujitsu Services
reports (base data) ONE
POLFS Processed figure I Harvesting day + POL Finance
for APS transactions THREE
APS content of POLFS I Harvesting day + Fujitsu Services
rejected files THREE
APS content of resent Harvesting day + Fujitsu Services
rejections THREE
End-to-End APS Harvesting day + Fujitsu Services
reconciliation report FOUR
available to Post Office
Ltd
In the event that reconciliation cannot be achieved by close of business on harvesting
day + 4, the appropriate misbalance will be shown as a difference at line 19 of
APS2141
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4.1.3.1 Delivery Mechanism
Information flows between Fujitsu MSU and POL Finance will conform to the
following:
e POLFS processing information will be delivered to Fujitsu Services via e-mail
e The End-to-End APS Reconciliation report and the End-to-End APS reconciliation
summary will be delivered to POL Finance via Fujitsu corporate email. If this is
not available a floppy disk will be hand delivered POL OBCRDST members
located on the 7" floor of the Fujitsu building at Bracknell.
5.0 Reconciliation & Incident Handling
5.1 Incident Classification
5.1.1 APS Business Incidents
Relate to the ‘Symptom’ of an underlying cause ~ e.g. the effect of the system fault on
the resulting reconciliation or settlement information sent to Post office Ltd.
An APS Business Incident relates to one or more of the errors reported within the APS
Report Set, the End-to-End APS reconciliation (section 4.0) or one or more of the
reconciliation or settlement errors raised in accordance with this document by
POLPBA. Refer to section 5.4 for a list of those APS Business Incident categories
currently known and for which appropriate APS Business Incident reporting processes
are set out in this document.
5.1.2 System Incidents
Relate to the underlying ‘Cause’
System Incidents may be raised by Fujitsu MSU to cover file rejections, non-delivery
of files, or failures in the delivery of the APS report set, where there is no associated
APS Business Incident. In addition, following the creation of an APS Business
Incident, Fujitsu MSU may raise an associated System Incident. System Incidents will
be routed to the appropriate group within Fujitsu, for investigation and resolution.
Where there are associated System Incidents and APS Business Incidents, their
relationship can be either:
© one to one; or
© one to many, respectively.
It may transpire that a system incident is of such high impact that the Problem
Management route will be followed, i.e. a formal problem will be raised.
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5.2. 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 MSU for errors reported via the APS report set & End-to-End APS
reconciliation
e POL Finance or POL OBCRDST 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 difficulties reported to the HSD will be elevated to APS Business Incident
status.
5.3 Generation of Business Incidents
In line with the generic incident management policy agreed between Fujitsu and Post
Office Ltd, APS Business Incidents will only be recognised as such if generated by
Fujitsu or Post Office Ltd as appropriate, via the HSD. This ensures that the APS
Business Incident is properly logged, enabling Fujitsu MSU to ensure that corrective
information can be supplied and any underlying system fault can be rectified.
It is important that Post POL Finance or POL OBCRDST 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 information being
provided by POL Finance when generating an APS Business Incident via the HSD:
e A valid ‘PATH’ code must be quoted, e.g. ‘*PATH040’ etc.
e Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
e The valid incident category (see section 5.4), if one is applicable, should be quoted
together with any other relevant detail, e.g. product Id, etc.
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 MSU. (A current contact list will
be made available to POL Finance).
5.4 APS Business Incidents
5.4.1 APS Reconciliation Report Errors
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Reconciliation errors within the APS reconciliation report set should be minimal and, if
they do occur, will be applicable to:
e APS/ TPS harvesters running out of sync
e Software errors causing transactions not be harvested
© Unidentified differences classed as ‘Reconciliation Errors’ within APSS2133.
Where such differences occur, a BIM report will be raised for each incident and
referenced against the appropriate line within section 1 of APSS2141 (if this report is
still required)
5.4.2 End-to-End APS Reconciliation Errors
Reconciliation errors may occur when reconciling the TPS harvested transactions
against those transactions received and processed by POLFS.
If, after accounting for all rejected and resent transactions, section 2 of APSS2141 fails
to provide a zero difference, the process of resolution should be as follows:
e Issue an initial BIM report for the difference requesting PO Finance verify the
rejected, resent and processed figures supplied for the day in question.
NB: This may be difficult if the rejection rate is particularly high on a given day
and where there is in excess of 10 affected transmission files, Fujitsu MSU and
POL Finance will discuss how to resolve the difference.
e If after verification, these figures prove to be correct, Fujitsu MSU will raise a
System Incident to investigate any possible software errors or transaction
discrepancies in the delivered total to POLFS
e If after verification, corrections are required to the report, version 2 of APS2141
will be issued by Fujitsu MSU.
5.4.3 Delayed Transactions
Where transactions have been harvested by the APS harvester and 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. 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 detail of the
transaction is supplied via the BIM report / Manual Error Report (MER) route which
is NOT chargeable. These transactions are highlighted within section 3 of the End-to-
End APS reconciliation - APSS2141.
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5.5 Incident Reporting
5.5.1 BIM Reports / MER
BIMS has been designed to report the progress to resolution of an APS Business
Incident to allow POL Finance to complete an accurate reconciliation (within POLFS)
or settlement with their clients.
A BIM report will be issued for each APS Business Incident generated via the HSD.
As part of that BIM report, Fujitsu MSU will issue a MER for each error associated
with the relevant APS Business Incident where it is necessary to do so to advising POL
Finance of the transaction detail required to enable reconciliation or settlement to take
place.
BIM reports / MER are designed to notify POL Finance of the detail required to assist
in the reconciliation or settlement process within POLFS. They communicate
information concerning the resolution of the symptom of an underlying cause, not the
cause itself. BIM 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 Problem Management process. Where a Problem incident is generated to eradicate
the cause of a particular problem, and there is one or more associated APS Business
Incidents, cross-references will be supplied on the APS Business Incident BIM report /
MER to allow tracking of the System Incident
MER which are raised for “lost” AP transactions which cannot be delivered to the AP
Client will only be chargeable on the basis of the transaction face value if it can be
proven that:
e the End Customer has settled for that transaction,
e Fujitsu cannot provide the transaction detail; and
e the Post Office Client confirms non receipt.
Bal
in
_
im
Clearance Criteria
Fujitsu MSU anticipates that it will provide information concerning APS Business
Incidents to POL Finance on a ‘drip feed’ basis, by issuing updated versions of the
initial BIM report / MER.
A BIM report is ‘Cleared’ when Fujitsu MSU has provided the information required to
be contained in the relevant BIM report.
Fujitsu MSU will advise Post Office Ltd Operations Control via spreadsheet on a
monthly basis of any payments it considers are payable to Post Office Ltd (as
compensation for cost incurred by Post Office Ltd in dealing with MER) and / or its
charges for dealing with widespread errors. For the avoidance of doubt, NO charges
are payable in respect of MER issued for APS incidents affecting the Post Office Client
transaction stream only.
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If Fujitsu and Post Office Ltd cannot come to a specific agreement on financial
settlement in respect of costs incurred by Post Office Ltd, the specific incident(s) will
then be escalated via a ‘Case Law Referral’ form, to the Commercial Forum for a final
decision to be made.
5.5.1.2 Report Distribution
Fujitsu MSU will distribute APS BIM reports / MER using the Fujitsu mail system.
BIM reports / MER distributed in accordance with this section will be deemed to have
been issued to POL Finance, and / or POL Finance given notice of any errors described
therein, at the time of transmission by mail.
An example of a BIM report / MER is shown in Appendix 1.
5.5.2 Reporting Timescales
Fujitsu MSU will use reasonable endeavours to raise an initial BIM report (V1.0)
relating to a new APS Business Incident within 24 hours of the notification of the
incident. This will be made available in accordance with section 5.5.1.2, 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 MSU in time to enable any errors to be notified
within this timescale, Fujitsu MSU 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.
Fujitsu MSU will use reasonable endeavours to ensure the final completed BIM report
/ MER, is made available in accordance with section 5.1.and is cleared within five
working days from the date the APS Business Incident was generated via the HSD.
Where there is a need to correct APS / TPS Data Errors, (see CS/PRO/I11 TPS
Reconciliation & Incident Management, for a full description), Fujitsu will use
reasonable endeavours to deliver the corrected data file to POLFS 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 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 will give every System Incident the priority it deserves (including the
Problem Management escalation process) taking into account Post Office Ltd’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. If the Problem Management route is taken the issue will be closed by mutual
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agreement, usually after certain criteria are met such as a relevant fix has been
developed and tested, or a correction to the relevant erroneous reference data has been
authorised or approved for release through the appropriate agreed procedures between
Fujitsu and Post Office Ltd.
5.5.3 Widespread Errors
Fujitsu will monitor ‘trigger points’, for example HSD calls and the APS report set,
which can alert of any likely potential or actual ‘widespread’ errors which may occur.
This is generally agreed to be the case where at least 100 outlets are affected with the
same problem. In such a case, the incident type will be closely monitored by Fujitsu
until volumes are such that the incident will then be raised as a problem and passed
from Fujitsu into the Post Office Ltd Service Continuity Team (POLSCT). This is
action will be taken when at least 1000 outlets are affected by the same incident type.
Should this scenario occur, Fujitsu Business Continuity Manager shall immediately
notify Post Office Business Continuity Manager of the widespread error. Upon giving
such notice the provisions of this document (other than this section) shall cease to
apply to that particular widespread error. Instead, a recovery plan applicable to the
specific nature of the error will be agreed by both parties
5.5.4 Repairing Data
Data repair is not viable for Post Office Client stream transactions. Rejected
transactions are not expected as neither have sophisticated file / transaction validation
processes. Therefore the repair of Post Office Client transactions is not discussed
within this document.
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6.0 Client File Delivery
61 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
for each Client — this document is not intended to describe each in detail.
APS transactions are harvested from Post Office Ltd branches on a seven-day basis
and all are available for onward transmission on each day to the 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 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 values harvested from the Post Office branches, which may, or
may not yet have been delivered to Post Office Clients in accordance with their
requirements
6.2 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 POLFS or POLFS 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.
Settlement is time critical and Fujitsu MSU 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
MSU has elected to make all reconciliation reports available by 08.00hrs as stated in
section 3.2, on a daily basis.
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6.2.1 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 harvested
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 harvested on the Saturday and Sunday.
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7.0 BIM Report Example
BIMS Reference: BE
. . Last
Service: Version: Updated:
Service Sub
Type:
Exception Type:
Originator: Transaction Date: BTS: FAD:
Status: Exception Value:
Other References Transaction Liability
POL Reference: Provisional: Final:
Settlement Details
Exception Settlement
HSD Reference: Settled Amount:
Invoice Number:
Invoice Date:
Manual Error Report
Incident History Chargeable Errors:
Date Received: MER Set Amt:
Date Cleared: MER Inv No:
Date Closed: MER Inv Date:
Actions
a 7 Describe
Actions: Date & Time Action Type hnodien Analyst
Actions: Date & Time Action Type — (Clear Incident) Analyst
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