ICL Pathway
TPS Reconciliation & Incident Ref; CS/PRO/m
Management
051.0,
273V/01/0016/10/00
SECURITY CLASSIFICATION
Document Title:
Document Type:
Abstract:
Document Status:
Author:
Reviewed By:
Comments By:
Comments To:
TPS Reconciliation & Incident Management
Procedure
This document outlines the reconciliation and incident
management procedures required to investigate, report
and resolve TPS reconciliation and business incidents.
Draft-+0.45Definitive V1.0
Richard Brunskill (MSU Manager, ICL Pathway)
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PON: Lynn ___ {Formatted
Kell Julie
Dart, LizJ
Tuddenham,
Keith F Baines.
ICL Pathway: John
‘(Formatted
CC. Dicks, John
Pope
Asap28/09/00
Author
Distribution: Reviewers, plus:
John Dicks (Cust: Requi te Director, ICL
Pathway}
John Pope (Customer Requirements, ICL Pathway},
Pool Wosten AS Manesor eT Pathveay
Evandro Manolas (ICL Pathway Process Consultant),
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Nothing contained herein shall be deemed or construed as aflacting existing contractual obligations or creating
Lob between ICL Pathway and the DSS/or POCL
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Refi CS/PRO/n
JcUbaineey TPS Reconciliation & Incident
Management
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SECURITY CLASSIFICATION 273¥01/0016/10/00
Martin Box (POCL)
David Pye (POCL)
Graeme Seedall{POCL}
Anne Clarke (ROCL)
ee
ICL Pathway CS/MSU
Library
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Lob between ICI. Pathway and the DSS/or POCL
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ICL Bathvway TPS Reconciliation & Incident Refi 1G5/PRO}m
Management
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0.0 Document Control
O.L Document History
Version I Date Reason for Issue Associated
No. CP/PinICL
No.
On 22/1/99 _ I First draft for review.
02 03/12/99 _I Second issue for review following TIP
workshop 01/12/99
03 20/12/99 I Third issue following review incorporating
agreed changes
0.4 14/or/o0 _I Fourth issue following review and
contractual changes
2qloiJ00 _I Fifth issue following review and further
_ contractual changes
18/02/00 I Sixth issue following review and comments
08/06/00 I Seventh issue following final PON review
08 14/09/00 I Eighth issue following for PON review
Lo 16/10/00 _I Final issue following PON review
0.2 Approval Authoritiey
Name Position Signature Date
John C.C, Dicks ICL Pathway
Director Customer
Requirements
Lynn KellyMastin I PONPOCL-TIP
Box
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Sti Lob between ICL Pathway and the DSS/or POCL
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273¥/01/0016/10/00
0.3 Axyociated Documenty
Reference I Version Date Title Source
CS/POL =e 3 soe Manspeciene TCL Pathway
9 Framework POCL
CS/PRD/063 I 100; Generi iceManagement I ICL Pathway
Procedures: POCL
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Sti Lob between ICL Pathway and the DSS/or POCL
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ICL Pathway TPS Reconciliation & Incident Refs CS/PRO/m
Management
I SECURITY CLASSIFICATION
0.4 Abbreviotiony
‘Abbreviation Explanation
APS Automated Payment Service
I BIMS Business Incident Management System - (ICL Pathway)
CA Cash Account
CAP Cash Account Period
CS/MSU Customer Service / Management Support Unit - (ICL Pathway)
EPOSS Electronic Point of Sale Service
HSH Horizon System Help Desk
MER Manual Error Report
POCLPON Post Office Counters-LimitedNetwork
POCLPON TIP. Transaction Information Processing
POCLPON TP Transaction Processing
RED Reconciliation ExeeptionException Database
SIL System Incident Log
ssc System Support Centre
TPS Transaction Processing Service
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_-[ Formatted: Bullets and Numbering )
denn.
Explanation
Po
TPS Report Set
The six Exeeptionexception reports and one Non Polled
Outlet 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 ‘CA Sch, Got para 3.6.1.1
Not Data Error
Where this term is used within this document it is
meant as described within CA Sch, Got para 3.6.1.1
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Management
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Cash Account Period _or
Where this term is used within this document it refers
CAP
to_each period (normally of seven days ending at
20,00hrs on a Wednesday), to which POCLPON shall
have allocated, or shall subsequently allocate, a Cash
Account Period Number and_of which it shall have
Operational Business Change Process,
(Taken from the ‘CA Sch, Got para 3.6.1.1 & 3.6.1.3)
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The electronic Cash Account committed at the outlet
Data Error Counting Period
A Data Error Counting Period means:
Each Cash Account Period which is of a duration of
seven days or less and
In_respect_of € of greater than
seven days duration each proportion of any such Cash
Account Period derived by dividing such Cash Account
Period into two or more Data Error Counting Periods
sucl the first such Data Error Counting Period is
between one _and_seven days duration and each
Casi Period i - =
(CA Sch, Gor 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 CA Sch,
Got para 3.6, all other words and expressions defined in CA Sch, Goi para 3.6 shall
bear the same meanings when used in this document.
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Nothing contained hevein shall be deemed or das.affecting. ‘contractual obli 1
new-contractual obligations between ICL-Pathway-and-the DSS/or POCL
‘CA Sch, Got para. Refers to the Codified Agreement, dated 28" July 1999 —{ Formatted
Schedule Goi, as amended by Schedule 5 of the Third
‘Supplemental Agreement (dated 19'* January 2000) and I _—{ Formatted
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ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: _2731/01/0016/10/00
050.6 Changey in thy Verviow (Formatted: Bullets and Numbering J
Version Changes
OL045 Changes inConsolidated PON comments received and incorporated.
Reference to CS/POL/oo1 & CS/PRD/063 has been removed as thes
documents have_now been wit
Hie Thted Sealementals
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Refi CS/PRO/n
ACL Ratloray TPS Reconciliation & Incident
Management
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060.7 Changes Expected
Changes
Merger of APS and TPS Reconciliation & Incident Management procedures at CSR+
document issue:
Correlation with final version of the Suppl tary Agreement,
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Sti Lob between ICL Pathway and the DSS/or POCL
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[ Formatted: Bullets and Numbering )
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ICL Pathway TPS Reconciliation & Incident Ref: CS/PRO/m.
Management
Version: 0.510
SECURITY CLASSIFICATION Date: _ 2733/0x/0016/10/00
070.2 Table of Contenty _~ [ Formatted: Bullets and Numbering )
1__ INTRODUCTION.
2__ SCOPE
3__TPS RECONCILIATION REPORTS...
4 RECONCILIATION AND INCIDENT HANDLING
4.1 Incident Classification.
a1 Business Incidents...
4.1.2 System Incidents.
4.2 Incident Originators.
4.3 Generation of Business Incidents
44 Business Incident Categories.
441 Data Errors & Not Data Errors. im
4.42 Business Incident Matrix. 13
45 Incident Reporting ..
45.1 BIMS Reports / MER
452 System Incident Log...
4.53 Reporting Timescales
454 Widespread Errors.
455 Repairing Data
4.6 Incident Management Proces: 18
46.1 MSU Raised Business Incident - BIMS / MER Issued — (Records not repaired) .. sates)
‘MSU Raised Business Incident - BIMS / MER Issued (Repaired Records
4.63 PON TIP Raised Business Incident - BIMS / MER Issued... sit are
4.64 System Incident with Business Implications - BIMS / MER Issued ~ (Repaired / Not repaired
records) 22
4.7___Links to Problem Management 23
48 Appendix 1: ‘System Incident Log’
4.9 Appendix 2: Business Rules for Data Errors & Not Data Erro
4.9 ___ Appendix 3: BIMS Report / MER Format.
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‘between ICL Pathway and the DSS/or POCL
ICL Pathway TPS Reconciliation & Incident Refi €5/PROfm
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273/01/0016/10/00
INTRODUCTION. ry
2 SCOPE. 6
3. TPS RECONCILIATION REPORTS. z
4A Incident Classifi 8
42 are taal “8
42——Incldent- Orig 9
43 ion of Business Incid 9
44 —Bestnees Issident Caterer 10
441 Data Errors & Not Data Bison 4
4otg—"Basowie faeidee Gale 1H
4.5 ——Insidoat Reporting. 14
45 BIMS R MER. rm
432. Tnoident L 1
453 R ‘Timeseales..
43.4 Wi id Errors
4 Repairing Data...
4.6___Incident Management Process. 18
4.6.1 MSU Raised Business Incident BIMS 7MER Issued —(Revord: or] 19
4.6.2 MSU Raised Bi Incident - BIMS / MER Issued (Repaired Record: 20
4.63 POCL TIP Raived Business Incident BIMS-MER Issued 24
fT TT Teal BIMS7 Miaeoed--tReaind EN 7
di
By
432_Links to Problem Manageme 2
Appendix ti iaceisadage
49. ix 2: Business Rules for Data Errors & Not Data Errors. 27
4.9 Appendix. 3; BIMS Report MER Format 31
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obi id the DSS/or POCL
‘between ICL Path
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ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273V¥01/0016/10/00
7__INTRODUGTION ry
2—SCOPE 5
44 Incident Classificatis 3
4.1.1 Business Incidents. 4
4.3 Generation of Business Incidents 8
4 1 M. P B
463. POCL TP Raised B Jncident~BIMS-/MER-Tssued. }
4.6.4 MSU Raised Non Polled-Outlet Incident BIMS only-issued. H
4.6.5 System! Incident-with'Business" Implications ~BIMS / MER Issued. . 20
4.7___Links to Problem Manageme 2
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he D:
bk ek waescICl Batliwray-and Pi
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Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273701/0016/10/00
11___Introduction
The TPS sepext-Report set-Set has been designed to enable the_transactions
carried _out in outlets using —Electronicthe Electronic Point of Sale Service
(EPOSS)-system-on the Outlet Processing System+{OPS), to be reconciled with
the transaction data which is veturned-transmitted to POCLPON 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 Sets also_identify identifies any “exeeptionserrors”, which
occur within Counter counter transactions, or during the Harvesting harvesting
process, In addition to exceptionserrors highlighted by ICL Pathway within the
EPOSS-TPS repoxt-Report setSet, exeeptionserrors may also be discovered by
POCLPON fo: pated stad swhen reconciling data within
its central systems or which relate to client-enquiries from POCLPON clients,
To initiate the BIMS procedure, ICL Pathway and ROCLPON isegenerate
aBusiness Business Incident—forlncidents for one or more ti TTOrs
discovered.
NB: Acceptance of this document showld-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 Management Support Unit (CS / MSU), for
dealing with the Bu jusiness Incidents relating to the Transaction Processing
‘System-(TPS) reconciliation Rreport Set exceptionserrors and POCLPON raised
generated Business lincidents. - This includes reconciling the data contained in
the TPS Rreport Sets and raising Horizon System Help Desk (HSH}-) Business
lincidents,-and—_Business Incident Management System (BIMS)—reports)
Reports and Manual Error Reports (MER) where necessary.
P P 54
d-POCL +e_the-cont d-format-of tho-t if
f f ports
d,-within-this-d that where refer ide-to BIMS- reports
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Lob between ICI. Pathway and the DSS/or POCL
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ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 2731/01/0016/10/00
a aReing RED SORELLE eT soem
dfor-a BIMSR, MER, ore rae)
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ACL Ratloray TPS Reconciliation & Incident ee Oh
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3B TPS Reconciliation Reporty
ICL Pathway will generatecurrently generate six daily TPS exeeptienexception
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-host to POCLPON TIP do not match the Daily-daily Transaction
transaction Totals-totals calculated by the counters.
2. TPS Harvester ExceptionsErrors:
Lists exeeptienerror 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-control totals for the number of
entries on the Cash Account output by the Host-host to ROCLPON TIP do not
match the Control-control Totals-totals calculated by the Counterscounters
4. Counter Detected Reconciliation Errors:
Shows details for any outlets where the accumulated Daily-daily Transaction
transaction control totals for the Cash Account peried-Period do not match the
totals on the Cash Account produced by the Counterscount
5. Counter Transaction ExceptionsErrors:
Lists exceptionerror 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: [Formatted }
Identifies all_outlets, which have not been polled and have therefore not (Formatted: Bullets and Numbering )
transmitted any transactions to POCLPON TIP.
NB: It is not intended that this document discuss the format or content of the
individual reconciliation reports
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All six—seven_reports will be routed to ICL Pathway Custemer—Service
CS / MSU, on a daily basis by o9.oohrs, 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, CS/ MSU will raise a system
System incident h nt via the HSH.
It is not intended that CS / MSU will deliver any of the TPS Reeport Sets to
POCLPON as a matter of course, other than the Non Polled Outlet report, An
extract from a-the TPS reconciliation Reeport Set may however be delivered as
‘evidence’ as an attachment to the BIMS seport-Report / MER if it is considered
by ICL Pathway that this would aid tothe reconciliation or settlement process
within ROCLPON.
4 Reconciliation and Incident Handling
41 Incident Classification
41.1 Business Incidenty
Reselve-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
POCLPON.
A Business _Incident_relates to one or more of the All exeeptionserrors
highlighted reported within the EPOSS-TPS repest Report setSet, andor allone
reconciliation or settlement issues—exeeptionserrors
i is document by POCLPON TIP or TP
Each _exeeptienerror is categorised as a
0 Phe
pring the incident-t
6
t6,_CS_/ MSU_will
or_more_of the
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bh late an. v= aeons ithin the POCL
Refer to the ‘Business Incident Matrix’ section 4.4.2 for a list of those Business
Incident classes currently known and_for which appropriate exeeptionerror
reporting processes are set out in this document.
4A24.1.2 Syste Incidenty ~ — [ Formatted: Bullets and Numbering }
Resolve-Relate to the underlying ‘Cause’
‘System-incidentsSystem Incidents can-may be raised_by ICL Pathway initially to
cover file rejections, ernon—deliverynon-delivery of files, or failures in the
delivery of the TPS Report Set, where there is no associated Business
IncidentBusiness Incident. Howeverln addition, following the creation of a
ines IncidentBusiness Incident, it may-be-deemed ICL Pathway
oe raise an associated Sues teem ia ident, This—System
Incidents will be routed to the appropriate area-group within ICL Pathway, i.e;
Development_or Ref Date st etal ist these io-a-Eudll-sithitn 4
Ee syst fe ae hae a ae ee
investigation and resolution,
Where there are associated “System:'System Incidents and ‘Business’
incidentsBusiness Incidents, their relationship can be either:
one to one; or =~ (Formatted: Bullets and Numbering )
* one to many, respectively.
*oneto-one
Or
sone to-many + [ Formatted: Bullets and Numbering i)
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SECURITY CLASSIFICATION
4.24.2 Incident Originatory “
It is envisaged that ‘Business'ineidentsBusiness Incidents will only be generated
by the following areas-groups within ICL Pathway and POCLPON:
*CS / MSU for exceptionserrors reported via the EPOSS-TPS repoxt-Report set
Set and-the Non Polled outlets report
*POCLPON TIP / TP for any other reconciliation or settlement issue
exeeptionerror discovered by PON that has not been _reported by ICL
Pathway-
+ ICL Pathway SSC for any system fault or data ‘surgery’ which is felt
considered by ICL Pathway to have a reconciliation or settlement implication
within POCLPON.
Itis-not-expected_at this_pointthatSubject to agreement by the parties to the
contrary, Outlet-outlet calls to the HSH will not generate Business-incidents,
Business Incidents. However calls from Outlets-outlets will be monitored and if
ibis fal-conteredeane’ .d_to route any-incident-to-CS/ MSU for-aeti
the-procedure-can_be-easily_adapted_to-caterforthi -necessary by
ICL Pathway, difficulties reported to the HSH will be elevated to Business
Incident status,
4.34.3 Generation of Business Incidenty +
In line with the generic incident management policy agreed between ICL
Pathway and POCLPON,-cross-domain Business Inincidents_—will only be
recognised_as such if routedgenerated by ICL Pathway or POCLPON, as
appropriate, via the HSH. This is-the-only-way-intoensures that the Business
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~~ [ Formatted: Bullets and Numbering )
~ [ Formatted: Bullets and Numbering }
{ Formatted: Bullets and Numbering )
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
SECURITY CLASSIFICATION
Incident is properly logged, enabling BIMS-CS / MSU
way-to ensure that corrective information can be supplied and any underlying
system fault can be rectified.
It is important that enough-information-is-supplie4ROCLPON TIP / TP supply
sufficient -toinformation to the HSH when raising-generating_an—incidenta
Business Incident to ensure that-the-incident-is routed_to-the-correct-area
within ICL Pathway-and theref " .dy-sesolution_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 theThe following
information being provided by POCLPON TIP / TP must ALWAYS be-quoted
when raising generating an-a Business incidentIncident via the HSH:
*_Avalid ‘PATH’ code must be quoted, e.g. ‘PATHogo’ ete.
«Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
* Wherever possible, always quote-aThe valid incident type-class (from the
‘Business Incident Matrix’, see-belowsection 4.4),-.2), if one is applicable,
should be quoted together with any other relevant detail, e.g. product i
CA lines ete.
NB: Where POCLPON TIP / TP raise an-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 CS / MSU. (A current
contact list will be made available to POCLPON).
1.44.4 Business neicent MotrinBusinesy Incident
Categoriey
4.4.1 Dato Evrory & Not Data Errory
The action to be taken by ICL Pathway in respect of an exeeptionerror which
gives rise to a Business Incident, and whether or not ICL Pathway has to pay a
charge to POCLPON in relation to such an exeeptienerror, depends, amongst
other things, on whether the exeeptionerror is a Not Data Error or a Data Error,
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
Lob between ICI. Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
+ [ Formatted: Bullets and Numbering )
_-[ Formatted: Bullets and Numbering )
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273x/0x/0016/10/00
as defined in CA Sch, Got para 3.6.61.1. The following explanations are provided
to_assist ICL Pathway and POCLPON when classifying errors and do not
modify, in any way, CA Sch, Go1 para 3.6.
If, following discovery of an_exceptionerror, there is insufficient information
available to ICL Pathway to determine whether that tionerror 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 exeeptionerror shall be treated as a
Data Error.
4.4.1.1 Not Data Errors - categories = [ Formatted: Bullets and Numbering )
__~ [Formatted }
fi) an. tienerror 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);
(ii)___an exeeptionerror caused by the input of erroneous data by a user during
migration of POCLPON data to any outlet (i,c, during data migration),
except where data migration tools provided by ICL Pathway are
supposed to detect such an exeeptienerror; the migration tool is properly
used but the exeeptionerror is not detected;
iii 3 a c Vi that
that re
(iv) an exeeptienerror which falls within a Business Incident classified in the+—~{ Formatted: Bullets and Numbering }
table under section 4.4.2 as “F” or “G”.
Inaccurate Cash Account (Not Data Error) ~~ [ Formatted: Bullets and Numbering )
In addition to the above, an inaccurate Cash Account is a Not Data Error if the _——{ Formatted J
{ai) __ the inaccuracy was not caused primarily by: __ [Formatted }
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY CLASSIFICAION.
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Nothing contained herein shall be- deemed or construed as affecting existing contractual obligations or creating
Lob rms Iiray and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi €5/PROfm
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273x/01/0016/10/00.
(Ja) inaccurate ICL Pathway reference data;
(ib) _ICL Pathway incorrectly applying POCLPON reference data; or
(c) an ICL Pathway generated software error; or
(bii) _ the inaccuracy was caused by one of the causes listed in (ai), but it could
have been corrected by a user in the outlet, if that user had applied a
“work around” previously agreed by ICL Pathway and POCLPON to deal
with such esxersinaccuracies,
4.4.1.2 Data Errors ~ Categories + ~~ (Formatted: Bullets and Numbering )
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 isa Not Data 1 because;
the inaccuracy is defined as a Not Data Error by reason of section
(A): or
i 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
bove
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Nothing contained herein shall be deemed or. das-affecting. Lob =
Lob
between ICL Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Bathvway TPS Reconciliation & Incident Refi 1G5/PRO}m
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273¥/01/0016/10/00
© 1999-2000 ICL Pathway Limited ‘SECURITY CLASSIFICATIONSECURHY-CLASSIFIGAION
Page:arof5q4 9. ase: s4 003
Printed On:
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Nothing contained herein shall be deemed or construed as aflacting existing contractual obligations or creating
Sti Lob between ICL Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 2 6/0/00
4:42 Businery Incident Motrin ~ [Formatted Bullets and Numbering J
The following—tableBusiness Incident ___Matrix identifies Business
dacidentBusines: “Incident al gadis tia seat Si id iiae
descri f known classes of Business Incidents in-relation-to-BIMS., This list
has-provisionallybeenis based on the list of incidents
provisionally agreed between ICL Pathway and POCLPON at the joint
workshop held on 02/1/99 for EPOSS / TPS related exceptionsBusiness
Incidents, -andThe list also includes those additional Business Incident types
documented within the ‘CA Sch, Gor Error Matrix, Annex 1, Itis-anAs such the
list_is_an-initial attempt teidentif;— initial attempt to identify all currently
understoodas- many-ef the Business [incident classes-basut it may not -pessible
butis net meant tebe exhaustive.
Batseee-lasilental
fall with
is "Whe "lagidant Claesiiastiog Code’ gta gouor ith the CA
Sch-G 6.2" The current Business Incident Matrix is held within the
BIMS database and an extract can be provided to PON at any time for audit and
checking.
Tncident Class CodeBL
Ms
Code
Outlet paper CA-does-not-agree-with electronic. CAGommitied. Cash I 000%
here ith Wlectronle Cash Account
ead iow ‘thal A en
Transaction has-nullmode e003
‘Transaction posts toa null product 0004
‘Transaction has ne paimanpmapping 0005
TERS Redes code see peas
© 1999-2000 ICL Pathway Limited ___— SECURITY CLASSIFICATIONSECURFFY-CLASSIFIGAION
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Nothing contained herein shall be deemed or construed. as afecting existing contractual obligations-or creating
obi bet Pe
ICL Pathway and the DSS)
ACL Ratloray TPS Reconciliation & Incident Refi 1G5/PRO}m
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 2731/01/0016/10/00
aaa Se coop SE
‘Transaction product has-no-CA mapping object 0010, YD
Asada daecnoe iene GECA Raapping ace specie’ on T¥G
a cow ¥E
0013 YE
cou
0085 YE
0016 NE
oor MG
‘Customer / Client enquiry ors NE
Faceipeand s=iekalaapa ESRD aay SE
ee ere ees jon} one I
‘Transaction cannot be reversed following End of Day ‘oon00a I NE
Continued...
© 1999-2000 ICL Pathway Limited
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‘SECURITY CLASSIFICATIONSECURIFY CLASSIFICAION
P: "3
16/05/202216/10/0016/10/0031/01/0027/01/00
Printed On:
Nothing contained hevein shall be deemed or das.affecting. ‘contractual obli
new-contractual obligations between ICL-Pathway-and-the DSS/or POCL
FUJ00079822
FUJ00079822
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi €5/PROfm
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273/01/0016/10/00
Incident Class BIMS
Code
Deleted Stock Units) aa
‘Stock Unit double rollover 0083,
>
cc)
Incorrect recording of stock transfer transactions & consequences
>
a]
cl
'e
=
=]
10]
cs
cs
Bg) &) G) a) &) &) bl &) &) €) &) eb) Gl eG) &
cl
© 1999-2000 ICL Pathway Limited ___— SECURITY CLASSIFICATIONSECURFFY-CLASSIFIGAION
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Nothing contained herein shall be deemed or construed. as afecting existing contractual obligations-or creating
obi bet id the DSS/or POCL
ICL Path
FUJ00079822
FUJ00079822
IeL Pathway TPS Reconciliation & Incident Refi 'GS/FRO/m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273¥/0¥/006/10/00
-{ Formatted: Bullets and Numbering )
4.54.5 Incident Reporting P
4.5.1 BIMS Reporty/ MER Reporty
BIMS-when introduced, will-replace th - RED reporting process and has
been designed to report the progress to resolution of a ‘Business’
ineidentBusiness Incident to allow POCLPON to complete an accurate
reconciliation_(within POCLPON central systems) or settlement with their
clients. For ease of identification and association with the corresponding HSH
call, BIMS sepest-Report references will mimic the HSH reference. However
they will be prefixed with a letter ‘B’, e.g. HSH ref: Egg1212001 = BIMS ref.:
BEgg121200u.
atta4.5.1.1_Whena BIMS/MER is RequiredFormat and Content of BIMS ~~ (Formatted: Bullets and Numbering }
Report /MER
en dated Manual _Esor Repost (MER),
full Hasaannsiktall els oI bacinguael Sepranclesindesitial
is olathe: then HUE gol ” incident-Wheth "
‘A BIMS Report will be
MER Ge sale ie lenceria pb raehs
issued for each Business Incident raisedgenerated via the HSH. AtIn-additions
part_of that _BIMS report, ICL Pathway will issue_an MER for each
tienerror_ associated with the relevant Business Incident where it is
necessary to do so to comply with CA Sch, Gor para 3.6.
BICL Pathway may wish te retain and -repai rds-and forward th ~ [For Bullets and Numbering )
f ee ra 7“! CS} MSU-and POCL
Sncident_M. Ty: tion Pix fa’ Where ly batt
© 1999-2000 ICL Pathway Limited ___— SECURITY CLASSIFICATIONSECURFF¥-CLASSIFICAION
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
Lob betwaen ICI. Path POCL.
FUJ00079822
FUJ00079822
Refi CS/PRO/n
ICL Pathway TPS Reconciliation & Incident
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273V¥01/0016/10/00
a TCL Paths eal 7" Ee aT
56) ¥ ¥ iy
fee Pe fe
at2-Formatof BIMS / MER = [ Formatted: Bullets and Numbering J
BIMS Reports / MER repoxts-are only-designed to advise-notify POCLPON of
any-the detail required to assist in the reconciliation or settlement process
within POCLPON. They communicate only—information concerning the
resolution of the ‘Ssymptom’of any-.underlying cause, not the cause itself
Whe: g-advised, the BIMS / MER seport will identify th
1 th ot informati d-any difference bet: the-ty
Business Incident reporting to ROCLPON TIP / TP will fall into one of the
following categories;
1_BIMS Report for a Not Data Error ~ (Formatted: Bullets and Numbering )
is_will be the standay IMS report as shown in endix 3 without
oti tails’ sec completed, It will provide POCLI i itl
= [ Formatted: Bullets and Numbering 5}
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 ICL
Pathway. Full details of the repaired transaction ‘File’ will be documented
providing an explanation of each correction made.
3._BIMS Report and MER ~ (Formatted: Bullets and Numbering
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
© 1999-2000 ICL Pathway Limited __— SECURITY CLASSIFICATIONSECURIFY CLASSIFICAION
Dazes400
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
Lob betwaen ICI. Path POCL.
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273x/0x/0016/10/00
Error associated with the Business Incident, and specifying in a format (suitable
for ROCLPON TIP to into a ROCLPON TIP data input facility):
in the case of a Data Error resulting in an Inaccurate Cash Account (Data+—{ Formatted: Bullets and Numbering }
Error) or a Cash Account Error, each of the line items in the relevant Cash
Account which need to be replaced in order to correct the Data Error in
que: and
¢ in the case of a Data Error which is a Transaction Error, the relevant-——{Formatted: Bullets and Numbering )
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 exeeptienerror criteria for
Data Errors and Not Data Errors and the business rules surrounding the
transmission of data from ICL Pathway to ROCLPON and the production of
MERs where necessary.
fields sequi POC! =e is a ool as 2
pleted in- respect ofboth t ction and-Cash-Account
Where-a MER is considered by ICL Path
port_will_be ided_f ht
PI
di ed, subject to the followi iti
7 is
tobe the-chosen-opti te
¥ P
i Cash t
Wi elenteat type Cash_Account appears i th ~~ (Formatted: Bullets and Numbering )
BIMS Reports / MER xeports 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 an-associateda ‘System
incidentSystem Incident is raised—generated_to eradicate the cause of a
particular problem, leading te-one-oraseries_ofand there are one or more
associated ‘Business ’ineidentsIncidents, cross-references will be supplied on
the ‘BusinessincidentBusiness Incident -BIMS Report / MER report-to allow
tracking of the ‘System incidentSystem Incident.
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
FUJ00079822
FUJ00079822
IeL Pathway TPS Reconciliation & Incident Refi €5/PROfm
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273/01/0016/10/00
44434512 Clearance / Closure Criteria & Charges Applicable to MERs = [ Formatted: Bullets and Numbering J
ICL Pathway anticipates that it will provide information concerning Business
Incidents to POCLPON on a ‘drip feed’ basis, by issuing updated versions of the
initial BIMS Ri ER
A BIMS Report / MER-report—is ‘Cleared’ (for the purpose of determining
whether the timescales as s quoted within section 4.5.3 have been met), when
ti sett to take Al ICL Pathway has provided the
information required to be contained in the relevant BIMS Report as set out in
section 4.5.11. The BIMS Report _/MER-sepert-is then closed following
agreement between POCLPON and ICL Pathway at the monthly Incident
Management Review,—. Such agreement is subject only to fulfilment of the
following conditions:
1, If there is no associated ‘System'incidentSystem lincident, the BIMS
Report/-MER sepest-is closed subject to the clearance criteria described
above being met
2. If there is an associated ‘System incidentSystem Incident, the BIMS Report /
ie ea oa closed subject to the successful closure of ba ‘System!
d
ineidentSystem Incident Lofthe-underlying system faultby ICL
Pathway.
ICL Path ilLinform POCLPON will advise ICL Pathway on a monthly basis
via efspreadsheet of aAny liquidated d. payments it considers are payable
to POCLPON (as compensation for POCLPON’s costs in dealing with charges
resulting from the completion of a MERs) and / or its charges for dealing with
widespread errors,are-advised-to- POCL 5 at the monthly Incident Management
Review-and-p th ” . For the avoidance of
doubt, if an_error, el asa a 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 liquidated-damagespayment -will be payablemade 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 initial
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.
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Nothing contained hevein shall be deemed or das.affecting. ‘contractual obli
new-contractual obligations between ICL-Pathway-and-the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
SECURITY CLASSIFICATION : 27¥ox/o016/10/00
‘rivinfd.5.1.3_ Notification of Anticipated ExceptionsErrors + [ Formatted: Bullets and Numbering )
There may be certain instances where an exceptionerror identified in ‘Week 1’
will have an equal and opposite exceptionerror generated in ‘Week 2’. For
example, if there is a difference
differencein the derived transaction total transmitted to POCLPON 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, an equal and opposite error will
occur the following week. In such cases two-only one BIMS Reports and / MERs
if appropriate, seports-will be issued following the notification of the error
within Week 1.
4avh54.5..4 Report Distribution + (Formatted: Bullets and Numbering )
It-is ICL Pathway's intention-to-place will distribute all BIMS Reports / MER’s
and the Non Polled Outlet report report tand_alone PC_withinth
dtens-aveloe-drypntomth- sakes al to_th
aepneexeainin POCLPON using the PON mail network accessed via ‘Lotus
Notes’. In the event that this facility is temporarily unavailable, reports will be
distributed via the ICL Pathway mail system.
pleted facility is available, it_has been_agreed_that BIMS Reports_/ MERs
ports will be faxed _by CS / MSU to POCL “Incident Manager Transacti
P: ing’ Poe eet e Cele Agacunt Daia-E
d-_Not_Data_E: d_posted_by_first-ch i_in_zespect_of Non-Polled
outlet exceptions.
BIMS Reports / MERs istributed in accordance with this section will
be deemed to have been issued to POCLPON, and_/ or POCLPON given notice
of any exeeptionserrors described therein, at the time of transmission by fax-fas
Srmed by the relevant ICL Pathway fax deli t).mail,
‘An example of a BIMS Report / and-MER is shown in Appendix 3.
(Formatted: Bullets and Numbering )
4A24.5.2 System Incident Log
The SIL is intended to track the progress to resolution of a ‘System?
ineidentSystem Incident~saised_generated to eradicate an underlying system
fault. In practice, one system fault
could lead to a number of ‘sSymptoms “generating “Business-incidentsBusiness
Incidents, The SIL has been developed to remove the need to annotate each
BIMS Report / MER repert-associated with a particular system fault, with the
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
Lob betwaen ICI. Path POCL.
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/An
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273¥/0¥/006/10/00
detail required to ensure POCLPON 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.
LALS4S3 Reporting Timescaley ss
CS / MSU will use reasonable endeavours to raise Anan initial BIMS Report /
MER +eport(Vi.o) relating to a new Business Incident, will be issued_by-CS/
MSU_and deliveredand-make-thisThis will be made available in accordance with
section 4.5.1.4, -tto the POCLPON ‘Incident Manager, Transaction Processing’,
on the same working day as the Business lincident is raised-generated via the
HSH.,, or in any event on the morning of the next working day. (In the event of
the EPOSS-TPS reconciliation reportsReport Set not being available to CS /
MSU_iaMSU in time to enable any exeeptionserrors to be notified within this
timescale, CS / MSU will contact the POCLPON ‘Incident Manager Transaction
Processing’ to agree a temporary extension to the timescale}. This initial,
incomplete, BIMS Report /will serve to notify POCLPON that a Business
cident _has occui and that the co: ted ort will be provided to
PROCLPON within the agreed timescales. MER -+eport-may-ormay_not haveall
the detail required-t Gl DCL taesapncitecs sebtle-wills-thete-alieatts)
k it-will-be followed_up_by-subsequent-versions. Se ee
acquired by-CS-4 MSU,
The—fnalICL Pathway will use reasonable endeavours to_ensure the _final
BiMScompleted BIMS Report / MER, is made available in accordance with
section 4.5.1.4 and report—advising—full_seconciliati d__settlement
informationmust-be-completedis cleared within five working days from the
date the ‘Business’ incident Incident was raised_generated via the HSH.
Where a-correction-file_isrequiredthere is a need to correct Data Errors (see
appendix 2), ICL Pathway will use reasonable endeavours to deliver this-filethe
corrected data file toT}Pto POCLPON TIP within five working days from the
date the Business-incidentBusiness Incident was raised-generated via the HSH.
This may however, not always be practical due to the technicalities of creating a
eorvection-corrected data file if there is a high volume of data. Ifthe-5-day
ti 1 eueselgeo greed fi Pacion sll betdinn Sollows
eee ice Management F
Ifthe BIMS Report / MER is not cleared (in accordance with section 4.5.1.2) or
ICL Pathway think it is unlikely to be cleared within five working days, ICL
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
Lob between ICL Path POCL
FUJ00079822
FUJ00079822
-[ Formatted: Bullets and Numbering )
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: _2731/01/0016/i0/00
Pathway shall immediately __notit POCLPON’s _Head—of—Serviee
ManagementIncident Manager Transaction Processing and shall procure that
ICL Pathway's Customer-Service-DirectorManagement Support Unit Manager
(or in his absence, his deputy) is made available to meet with POCLPON’s Head
ef -Service—ManagementIncident 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 an associated—System’
ineidentSystem Incident -as the time taken to develop a fix or correct erroneous
reference data cannot be determined. Obviously however, ICL Pathway will give
every System lincident the priority it deserves in-conjunction withtaking into
account POCLPON’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, These—will _hewever be some
ptional heree—thie-will-not-be-achievable,_hi ICL Path
ld_not_expect_thiet 45% of the total bex-of root 4
analysed-A System Incident will be closed by ICL Pathway once the 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 ICL Pathway and PON. The SIL,
advising the current status of this System’ Systemm-lincidents will be delivered
to POCLPON TIP / TP at the end of each week. POCLPON may telephone CS /
MSU at any time to receive an update as to the status of any System lincident
documented on the SIL,
LA44.S.4 Widespread Errory ~~ [ Formatted: Bullets and Numbering }
ICL Pathway will constantlymonitor ‘trigger points’-withinthe-process, for
example HSH calls and the EPOSS-TPS reconciliation reportsReport Set, which
can alert of any likely potential or actual ‘widespread’ errors_in either ‘Data’ or
‘Not—Data'which are those Data Errors or Not Data Errors affecting Cash
Accounts in a Cash Account Period at more than 100 outlets, (This includes the
notification of Cash Account files not sent to TIP and whether or not ICL
Pathway is in a position to recover any missing data files)
Should this scenario occur,joint, ICL Pathway Business Continuity Manager
shall immediately notify POCLPON Business Continuity Manager of the
widespread error, Upon giving such notice the provisions of this document
(other than this section) shall cease to a to that particular widespread
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Nothing contained herein shal be deemed or constsued a affecting evsting contractual obligations or creating
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 27a¥/0¥/o016/10/00
error, Instead alternative joint action will be agreed between ICL Pathway and
PROCLPON asdPOCL-in accordance with the Business_business business Continuity
continuity Precesspolicy 4 ted ibed_in_the following
lessde Satin Vt Biss " Hine 4
ss > .
£CS/PRD/o63,the draft of that-di e-dated-acii Vohe
The charges for widespread errors shall be as set out in CA Sch,Go1 paras 3.6.4.3
& 3.6.4.4.
FUJ00079822
FUJ00079822
a ~— [ Formatted: Bullets and Numbering )
4.5.5 Repoiring Datw
Where Data-E: cted_by ICL PathwayICL Pathway corrects Data
Errors, ONE Business Incident will be raised _to cover_each i
whicherror, which has been corrected (or group of i rrors if they are
related to each other or if they relate to one Cash Account). A BIMS report
ontaining appropriate information (in accordance with section 4.5.1.1) will b
issued relating to that exeeptionerror or group of exeeptienserrors,
Where there is a need to correct Data Errors, ICL Pathway 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
ode is unknown, the mode used may be obtained a previous transactio:
of the same mea In_such cases, CS / MSU will promptly inform POCLPON
asics ger Transaction Processing’ of the assumption, and anticipates
has esis made, POCLPON 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 PON agrees that_a Cash Account transmitted to PON TIP shall be
repaired rather than require a MER, then ICL Pathway’s obligation to transmit a
repaired Cash Account may be satisfied by transmitting such part of the
repaired Cash Account as its necessary to correct the Data Error concerned,
provided that such transmission complies with the requirements of the CCD
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY CLASSIFICAION.
Page:320f5q 90 Page:34-0f
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Nothing contained herein shall. be deemed or construed. as aflacting existing contractual obligations or creating
obi between ICL Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/m
Management
SECURITY CLASSIFICATION
Appendix 2 sets out the rules surrounding the decision to repair data or advise
MER.
4.6 Incident Management Procesy
The following flowcharts have been prepared to describe the usual processes
required to bring each ‘Business~Business Incident and ‘System"incidentSystem
Incident to a successful conclusion within ICL Pathway and POCLPON and are
for _information only, They do not attempt to describe any low-level ICL
Pathway procedures,
+The individual cases where ICL Pathway will elect to repair or not to repair
data are not included within these flowcharts,
«-[ Formatted: Bullets and Numbering i)
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY CLASSIFICAION
Page:szof54_— Pagers
Printed On:
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Nothing contained herein shall be deemed or construed as aflacting existing contractual obligations or creating
Sti Lob between ICL Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
Refi CS/PRO/n
ICL Pathway TPS Reconciliation & Incident
Management
SECURITY CLASSIFICATION
Version: 0.510
Date: 273¥/01/0016/10/00
44-44.6.1 MSU Raised Businesy Incident - BIMS / MER Issued ——
(No-CorrectiveRecordy not repaired) Records
2 3
Exception Investigate pair dat
START report ‘exception lectronically
incident IMsuy
faise bus. incide
6
Route
incident to MSU each oxceptio
Incident eteck [ [wir ine RH
IMsuy
7 @ Annotate
Log incident exception
details into. LBL reportwith
BIMS/MER BIMSIMER ref.
[msuy [MSU]
1 Ueaate investigation tof I °
BIMS/MER with ottiom'bG-] File report
vestigat'n resul TMs)
[Msyy
Gnderiying
tem fault
Update syst ® c * Despatch *
jpdate system aise system spate!
ir trecord incident BIMSMER Loyd Close rd
with new details with HSH report to PON pusiness inciden
es IMsu) SUL
¥
16
‘Add systom
incident ref.s to
BIMSIMER report
Msi
reached
23
Until system
incident,
resolved
25
‘Close BIMS/
MER at monthly
incident review
[Msurpo!
© 1999-2000 ICL Pathway Limited
Page: 34.0f 54,
Printed On:
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sv contractual obligations between ICl-Pathway-and-the DSS/or POCL
ICL Pathway TPS Reconciliation & Incident Refi CS/PROAn
Management
Version: 0.510
SECURITY CLASSIFICATION Date: _2731/01/0016/10/00
4.6.2 MSU Raised Business Incident - BIMS / MER Issued (Corrective
Repoired Records)
Ea 28 29
Raise one Route Log incident
OF] dus incident Lp inciaontto msu Pp details into
‘on the HSH Incident stack IMSIMER
IMsu) (HSH [Msuy
"30 Annotate
exception
report with
esr erro
ims
nu Bus. Incident to
ms 3 ws gport EBiocroate acorrecto
‘ie 8 senator
mms
No
Basse oye % Creat Update incident
incidentrecora] [Raise system, correction filo bag with correction
Minnow dota mm wit ana'sonate te] >] "te dota,
oer t38e}
7, 7%
incident rets to Return incident
‘omsu
Sm'smenrepor to MSU
ra Update
Despaten envomen
pusmen fg tn correction
report to PON ile dota
cust
28, a7 76
Close BIMS! hares charges to] Until system
MER at month: MER at monthly b@—y iden
incident review [I Incident review jecgent
© iggy 200 TCT PathwayL_MSUPOM Jac] IMSUPON ATION —<ASSIFICAION
Page: 35 of 54 Page:340f1
Printed On:
new-contractual obligations between ICL Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273x/0x/0016/10/00
Rules.and Assumptions, ‘(Formatted )
Where—the—decisi taken—to—return—t r Cash ~ Formatted: Bullets and Numbering J
lect: Bi ! incident _will_be ml
iod for the individual ceptic thich_h: ee dated te
throughout the
50+will be cleared_and then-closed at the following monthly-reconciliation-review:
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY CLASSIFICAION
Page:36.0f54_ Pagers4of
Printed On:
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Nothing contained hevein shall be deemed or construed as affecting existing contractual obligations oF creating
Lob between ICI. Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Bathvway TPS Reconciliation & Incident Refi 1G5/PRO}m
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273¥/0x/0016,10/00
Th A ted,-ICL_Pathway-C5/SSC-may-mak z
mene) le Sevres ana Peretti fal
: : :
t nde-oF th F a5-thecdeiall jlable-F ale;
Raise bust 8 a
IP business incident. Peppy incident to MSU Sapp htan seine
Incident onthe HSH Incident stack agin
trey (HSH
vey z
7 %
Log Spdate eimss
co
Update system
incident record
Jwith new detailsI
Imsuy,
Incident details
Into BIMS/MER
Imsu,
—_ +
Investigation to
Jrovide settle
F recon.tn detail
imsu
¥
© Update
BIMSIMER with
vestigat'n result
Imsu,
uplicate incidenI
‘on PONs behalf
msi
U)
Raise system
Incident with HS! BIMSMER
msu report to PON
imsuy,
74
Until system Close HSH
incident usiness inciden
resolved imsu
76
Gree charges fo] _ I Close BIMS/MER
‘MER at monthly ‘at monthly
Inctent review [ >] incluont review
[MSU/PON) [MSUPON
© 1999 2000 ICL. Pathway Limited ‘SECURITY CLASSIFICATIONSECURIFY-CLASSIFICAION
Page: 37. of 54 Page:34-0f1
Printed On:
new-contractual obligations between IC
1. Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 2731/01/0016/10/00
A See eee Fel i Cn Ee ET
: eeacaiaiiee of sype_CS_/ MSU_will_always inform POCL
P Pe
Tecdent Nh Tyeiieiction Peoosediag oF tly fae Fcnetecan i
s ption by
Femubonaica- Deatianmot diexaiaewill by d and-validated by ROCI
laycaan ania Heaiagul leaked! teat Berscesil a se-oel
precedent
~ (Formatted: Bullets and Numbering
© 1999-2000 ICL Pathway Limited __—SECURITY CLASSIFICATIONSECURIFY CLASSIFICAION
Page:38 of 54
Dazes400
Printed On:
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Nothing contained hevein shall be deemed or construed as affecting exist
Lob ek waescICl Batliwray-and Pi
ng contractual obligations oF creating,
he DSS,
ICL Bathvway TPS Reconciliation & Incident Refi 1G5/PRO}m
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273¥01/0016/10/00
4434.65 POCLPON TIP Raised Business Incident - BIMS / MER
Issued
MSU-RaisedNon Polled Outhetincicent—BIMS-onby-i mr
a7
cident Investigate
to3rd [SI why non-polling
port occurred
{ard line]
8
Log incid Route
details inf incident to MSU
BIMS I incident stack
[MSU
7 rare %
Denpach fsa ice ceaale fre I Rereper
epee epe sconc sat fine MSE: Henao pon
TMsuypTwsuy usu }rey L_tSU
henson MER with: sate incide nI
wsappearsI yegtigatnresul aSepdincideg Pers pon
ose serene
report (MSU. {3rd tine] L_MSUL
= 7, rs
- espeich close
cates lets icles
(MSU) ae [Msu)
reached
ia
[MSWPOCL]
85close HSH
cl bus. incident on ™
PP] ssc beh nt
sf] sy resolved
© 1999-2000 ICL Pathway Limited IC rat
Page:39 of 54 Pale: 34-0fs
oe
97
[Close BIMSIMERFIN'Agroe charges f
16/05/202216/10/0016/10/0033/01/0027/01/o} at monthly fe@ad MER at monthly
incident review incident review
Nothing contained herein shall be-deemed or 8 ing [MSUPON] — Joblif — (MSUPON]
new-contractual obligations between ICL Pathway SRTMEDSSOPPOCL
FUJ00079822
FUJ00079822
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273¥01/0016/10/00
4-4-4—-MSU-Raised Now Potled Outer ncident—BIMS-orly issued (Formatted: Bullets and Numbering )
EM: [ Formatted: Bullets and Numbering )
© 1999-2000 ICL Pathway Limited ‘SECURITY CLASSIFICATIONSECURIFY-CLASSIFIGAION
Page: 4o.0f54 Senmnall
Printed On:
16/05/202216/10/0016/10/0031/01/0027/01/00
Nothing contained hevein shall be deemed or construed as affecting existing contractual obligations oF creating
Lob between ICI. Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident ee Oh
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273¥/0v/0016,10/00
Rulec-and-A tions for the generating of Hed-outlet Syst
Incidents:
tar Incident 1: d generated for non polled_offices outlets whi
theNonPolled -——{Formatted: Bullets and Numbering )
4 ai tod anid
zs Ps
hee yay seared st
that date
ling should thi
ed Jive aithinsef dat:
ith th tial
4
Pele oll suilet
fe Sod leting- 1s
pleting
Tees cetamed-at
<~[ Formatted: Bullets and Numbering J
© 1999-2000 ICL Pathway Limited ‘SECURITY CLASSIFICATIONSECURHY-CLASSIFIGAION
Page: 410f 54, Page:340f
Printed On:
16/05/2022160/0016/10/0031/o\/0037/01/00
Nothing contained -hevein shall be deemedor -existing contractual obligations-or creating
obli ‘between ICL, Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/An
Management
SECURITY CLASSIFICATION Date: >7av/ov/ooiGio/oo
‘System Incident with ‘Business! Implications - BIMS /
MER Issued. — (Repaired / Not repaired records)
474.7_Linksy to Problem Management «—[Formatted: Bullets and Numbering )
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, “pProblems” wilLmay be raised by ICL Pathway or
POCLPON according te the following criteriain the following scenarios:
¢ Where there is a trend of similar “Business”incidentsBusiness Incidents
where there is no identifiable cause, This willmay include the scenario where
the number of Data Errors discovered after transmission to POCLPON TIP
exceeds 20 within the relevant Data Error Counting Period, (CA Sch, Go1
para 3.6.6.2)
¢ Where a ‘System’ incidentSystem Incident has been raised and the cause is
unknown. (A problem may not necessarily be raised for every ‘System’
incidentSystem Incident).
Problem management expands the scope of the “System—incidentincident
management process described in this document to include any wider issues;
which, which are—necessarymust_be dealt with in order —to rectify the
issueproblems and to ensure that the associated Business and / or System
Incidents are not repeated.
Whilst the-A ‘System incidentSystem Incident is generated by is-used-within
ICL Pathway to ensure the relevant code,-fix or fix etc, is developed, tested and
delivered to the live estate.; However, resolution of the-Problem—problems
which arise as a result of that System Incident will cover the—specificany
additional requirements of POCL-both parties see.g, Counter News updates,
briefings etc. and in many cases the authority from POCLPON to proceed with
a relevant fix.
© 1999-2000 ICL Pathway Limited ___— SECURITY CLASSIFICATIONSECURIFY-CLASSIFIGAION
Page: qzof54 Pagers4of
Printed On:
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Nothing contained herein shall be deemed or construed as aflacting existing contractual obligations or creating
Sti Lob between ICL Pathway and the DSS/or POCL
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/
Management
Version: 651.0
SECURITY CLASSIFICATION Date: 273H#40H40016/10/00
4.8 Appendipn 1: ‘Systew Incident Log’
FUJ00079822
FUJ00079822
{ Formatted: Bullets and Numbering
System Incident References ‘Associated Business Resolution Detail
Incident
Date HSH Ref. PinICL( I PinICL @) I BIMS/HSH Ref. I TIP Ref. ‘Cause / Rectification of Error Fix Detail I Problem Mgt I Closure Date
Raised » Ref,
‘<sinl99__I Egon030813 378 NA BEggn030358 999 Narrative text WPi34 29/0 34507 ‘3/3/09
‘osiulog I Egono30845 32675 32688 BE9gn020359 NIA Narrative text 34666
Description of Fields
System Incident References
¢ Date Raised: The date the ‘System™ linncident was raised by CS / MSU
© HSH Ref,; The ‘System’ lincident HSH reference
© PinICL (i); The initial ‘System’ [incident PinICL
© PinICL (2); Any subsequent- System
Associated Business Incident
© 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
cident PinICLs raised for the same ‘Business “incident
ncident
Resolution Details
© 1999-2000 ICL Pathway Limited __ SECURITY CLASSIFICATIONSECURITY-CLASSIFICAION, Page: 43 of 54
P.
£
Printed On: 16/05/202216/10/0016/10/0031/01/0027/01/00
Nothing contained herein shall be deemed or construed.as.affecting
;ng contractual obligations oF creating new contractual obligations betwee!
POCL
ICL-Pathway-and the DSS/or
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 2973#/0H/0016/10/00
© 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
© Problem Mgt Ref.: The associated Problem Management Database reference
© Closure Date: The date the ‘System’ linncident was closed following successful delivery of fix detail or reference data changes.
© 1999-2000 ICL Pathway Limited __ SECURITY CLASSIFICATIONSECURITY-CLASSIFICAION, Page: 44 of 54
P.
£
Printed On: 16/05/202216/10/0016/10/0031/01/0027/01/00
Nothing contained herein shall-be deemed or construed as affecting
;ng contractual obligations oF creating new contractual obligations betwee!
POCL
ICL-Pathway-and the DSS/or
FUJ00079822
FUJ00079822
FUJ00079822
FUJ00079822
AGL Rathway TPS Reconciliation & Incident = «ee
Management
Version: 651.0
SECURITY CLASSIFICATION Date: _273#/eH/0016/10/00
4.9 Appendin 2: Businesy Ruley for Dato Errory & Not Dato Errory (Formatted: Bullets and Numbering )
Data Errors Discovered Before Transmission to POCLPON TIP [Formatted )
‘Action by ICL Pathway [Formatted }
ata Error Ci Para (in I Retain Transmit I Correct Correct MER MI No I Send Report — I Charge to [Formatted )
CA Sch. I Original I Original I the Data I the Data I (Subject _I Limit) Corrected I Explain I ICL
Gor Record I Record _I Error Error__ifI to ___50 Record I Correctio I Pathway
POCLPO I Limit n (Amt. Per
NAgree I Note 3 MER)
Transaction Error 3651 Iv z ca Ed NIA _- [Formatted )
jiransaction Error - MER YNote1 A ¥ £100 = (Formatted )
‘option
aunts Wii Bama RS Zz zZ Zz z NA _ {Formatted )
(Data Error) - Corrected I (a)
I [Formatted )
dmaccurate_Cash_ Account I 3.6.5.2 wa ¥ ¥ £100 peas
(Data__Error) = Not I (b) [ (Formatted }
Corrected ~~ [Formatted )
Cash Account Error, 3653 I% v v ¥ NIA {Formatted )
Cash_Account Error - I3.65.4 I YNotex rd ¥ £100 ~ [Formatted )
MER Option
© 1999-2000 ICL Pathway Limited ___—SECURITY CLASSIFICATIONSECURETY-CLASSIFICAION. Page: 45.0f 54
aD
Printed On: 16/05/202216/10/o016/1o/oo31/01/0027/01/00
Nothing contained herein shall-be deemed or construed as affecting existi Lobl oF new. Lobli between ICI Pathway and the DSS/or
POCL
FUJ00079822
FUJ00079822
AGL Rathway TPS Reconciliation & Incident = «ee
Management
SECURITY CLASSIFICATION
Note 1: JCL Pathway will usually retain the original record but is not obliged to do so if a MER is issued. __ [Formatted )
I Formatted )
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY CLASSIFICAION. Page: 46 of 54
Pana esece
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Nothing contained herein shall be deemed or ued as-affecting existing c Lobl or creating new Lobli between ICL Pathway and the DSS/or
POCL
ICL Pathway TPS Reconciliation & Incident Refi CS/PRO/
Management
Version: @51.0
SECURITY CLASSIFICATION Date: _273#/eH/0016/10/00
Data Errors Discovered After Transmission to POCLPON TIP
Action by ICL Pathway
Data Error Criteria Para (in Transmit I Correct Correct MER Send Report Charge to
CA Sch. Original I the Data I the Data I (Subject Corrected
Gor) Error if I to Record
POCLPO I Limit)
NAgree I Note
N/A N/A e ci Pa N/A
NIA NIA Y Note 2 ¥ 2150
Inaccurate Cash Account N/A N/A Z z ¢ N/A
(Data Error) - Corrected
Inaccurate Cash Account N/A NIA ca £100
(Data__Error) _- Not
Corrected
Cash Account Error (Data N/A N/A v v v NA
Eeror————Corrected)-
Corrected
Cash Account Error (Data NIA NIA Note 2 £100
Not—cortected)— _Not
Corrected
© 1999-2000 ICL Pathway Limited ___—SECURITY CLASSIFICATIONSECURITY-CLASSIFICAION, Page: 47 of 54
aaa?
Printed On: 16/05/202216ho/oo16/10/o031/o10027/01/00
Nothing.contained herein shall_be deemed or construed as.aflecting existi Lobli obligations between ICL Pathway and.the DSS/or
POCL
FUJ00079822
FUJ00079822
~~ I Formatted
FUJ00079822
FUJ00079822
AGL Rathway TPS Reconciliation & Incident = «ee
Management
2 e5k0
SECURITY CLASSIFICATION a73H/e1/0016/10/00
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Sugeghal
Printed On: 16/05/202216/10/o016/1o/oo31/01/0027/01/00
Nothing contained herein shall be deemed or construed as affecting existing c Lobli Lor creating new Lob between ICL Pathway and the DSS/or
POCL
FUJ00079822
FUJ00079822
eee TPS Reconciliation & Incident —- Refi CS/PRO/nut
Management
Version: @51.0
SECURITY CLASSIFICATION Date: 273He1/0016/10/00
Note 2: the ‘so limit’ only applies if the Data Error is discovered after transmission to TIP, but before the conclusion of the Data Error __—{ Formatted
Counting Period. If discovered after the end of the Data Error Counting Period, the ‘50 limit’ does not apply in respect of MERs ‘(Formatted
required to be issued, (see CA Sch, Got para 3.6.6.3) \
\\ [Formatted
Note 3: Instead of retaining and repairing Data Errors, ICL Pathway is entitled to issue MERs for up toa total of 50 Data Errors (or \ { tted
such higher limit as the parties may agree) relating to any Data Error Counting Period.
For the purposes of this '5’50 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 ilmaccurate Cash Account (Data Error) for the Cash Account Period (if any) which is co-terminus
with that Data Error Counting Period. > [Formatted
[Formatted
For the purposes of the definitions Data Error Counting Period, a day shall mean a period of 24 hours ending at 20.00hrs. (CA Sch. Go1
paras 3.6.1.2 & 3.6.1.3). ICL Pathway and POCLPON, may agree that the * ‘so limit’ may be increased if felt operationally viable,
LAAAALAAAAIN IAIN AS
© 1999-2000 ICL Pathway Limited —SECURITY CLASSIFICATIONSECURITY-CLASSIFICAION Page: 49 of 54,
wr
Dana
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Nothing contained herein shall be deemed or ued as aff i Lobl or Lobli between ICL Pathway and the DSS/or
POCL
FUJ00079822
FUJ00079822
AGL Rathway TPS Reconciliation & Incident = «ee
Management
SECURITY CLASSIFICATION
Not Data Errors Discovered Before or After Transmission to POCLPON TIP
Action by ICL Pathway
Data Error Criteria Para_(in I Retain Transmit I Correct I Correct I BIMS To the extent thatis reasonable, I Charge to
CA Sch, I Original I Original I the Data I the Data I Report ICL Pathway to Assist POCLPON I ICL
Gox) Record I Record _I Error Error __ if I (NoMER) to: Pathway
POCLPO (Amt. Per
NAgree MER)
Not Data Error 3.6.7 « x a)_investigate_and_seek_to_prevent I N/A + ~~ { Formatted: Bullets and Numbering )
the recurrence of such Not Data
Error and;
b)_prevent_the_productio: -asl
‘Accounts which are incorrect as a
result of such Not Data Error, { Formatted }
© 1999-2000 ICL Pathway Limited ___—SECURITY CLASSIFICATIONSECURETY-CLASSIFICAION. Page: 50 of 54
aes ee
Printed On: 16/05/202216/10/o016/1o/oo31/01/0027/01/00
Nothing contained herein shall-be- deemed .or ued as.aff i Lobli or Lobli between ICL Pathway and the DSS/or
POCL
Tel Reclorar’ TPS Reconciliation & Incident
Management
SECURITY CLASSIFICATION
FUJ00079822
FUJ00079822
Ref: CS/PRO/i
Version: 0.51.0
Date: 273¥/01/0016/10/00
¥ ray ified via the EPOS SSS en fi
@ Asrequired @ ecumores
car @—a'or
@
: ; : @ Asrequired ® I @(if option :
taken=not een
chargeable)
Pathway-domain ®
Traccurate Cash Account With Warning; ie. where the outlet I @ ¥
he ere mt "
message has-been displayed at the counter PC
na a "Without Warning? aT _ ¥
ta Cash ‘i 1h 1I® Os
electronic Cash Accountareinerror,
ray mm Eby ICL Path
et mi) doe 7 ® (Formatted: Bullets and Numbering J
signed.within-the outlet)
(© 1999-2000 ICL Pathway Limited __—SECURITY CLASSIFICATIONSECURITY CLASSIFICAION
Page: 51 0f 54
Bane-s4cb
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Printed On:
Nothing contained herein shall be deemed or construed as affecting existing contractual obligations-or creating
obi betwaen ICl-Pathway and the DSS/or POCL
FUJ00079822
FUJ00079822
Tel Reclorar’ TPS Reconciliation & Incident Re NGsiPnO laa
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 273/ev0016/10/00.
4.4— _~ [Formatted: Bullets and Numbering a]
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Nothing contained herein shall be deemed or construed as affecting existing contractual obligations-or creating
: Sh
TCLEaioway TPS Reconciliation & Incident Bee “Co/PRG a
Management
Version: 0.51.0
SECURITY CLASSIFICATION Date: 2731/01/0016/10/o0
4-47 -Appendin 3: BIMS Report/ MER Report Format
BIMS INCIDENT REPORT
BIMS Reference: BE/9912240077
Incident Type: Version: Last Updated:
Incident Class Originator:
Transaction Date: CAP: FAD:
Status: ExeeptionError Value: £
OTHER REFERENCES TRANSACTION LIABILITY
PinICL reference: Provisional:
Incident ‘xref’ : Fin.
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
‘Action Date / Time: ‘Action Type: Analyst:
[Text description]
‘© 1999-2000 ICL Pathway Limited SECURITY CLASSIFICATIONSECURITY CLASSIFICAION.
Page: 53.0f 54. Page:34-0F
Printed On:
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Nothing contained herein shall be deemed or construed as affecting existing contractual obligations-or creating
FUJ00079822
FUJ00079822
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TCLEaioway TPS Reconciliation & Incident Bee “Co/PRG a
Management
Version: 0.510
SECURITY CLASSIFICATION Date: 273H01/0016/10/00
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 POCLPON TIP.
© 1999-2000 ICL Pathway Limited ___ — SECURITY CLASSIFICATIONSECURIFY CLASSIFICAION
Page: 54.0f 54 Pagers4of
Printed On:
16/05/202216hoJooi6 Holooxyoro0a7/o400
Nothing contained herein shall be deemed or construed as affecting existing contractual obligations-or creating
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