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Document Title: TPS Reconciliation & Incident Management
Document Type: Procedure
Abstract: This document outlines the reconciliation and incident
management procedures required to investigate, report
and resolve TPS reconciliation and business incidents.
Document Status: APPROVED
Author: Richard Brunskill (IS Manager, Pathway)
Reviewed By: PON: Lynn Kelly
Julie Dart
Liz J Tuddenham
Keith F Baines.
ICL Pathway: — John Pope
Comments By:
Comments To: Author
Distribution: Reviewers, plus:
Pathway CS/MSU
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Library
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0.0 Document Control
0.14 Document History
ou 22/11/99 First draft for review.
0.2 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 14/01/00 _I Fourth issue following review and
contractual changes
0.5 27/01/00 I Fifth issue following review and further
contractual changes
0.6 18/02/00 I Sixth issue following review and comments
0.7 08/06/00 I Seventh issue following final PON review
0.8 14/09/00 I Eighth issue following for PON review
1.0 16/10/00 _ I Final issue following PON review
1 30/04/01 I Re-issue of version 1.0
1.2 02/07/01 I For approval
13 33.08.01 Further comments received from K Baines
2.0 30/04/02. I Final version for approval following
agreement by Keith Baines.
0.2 Approve Authoritiey
John Pope Pathway Customer
Requirements
Keith Baines PO Ltd
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0.3 Associated Docwwmenty
Pathway - TIP Application Joint athway
Interface Specification / PO Ltd
July 1999
0.4 Abbreviations
APS Automated Payment Service
BIMS Business Incident Management System - (Pathway)
CA Cash Account
CAP Cash Account Period
CS/MSU Customer Service / Management Support Unit - (Pathway)
EPOSS Electronic Point of Sale Service
HSH Horizon System Help Desk
MER Manual Error Report
PO Ltd Post Office Limited
PO Ltd TIP Transaction Information Processing
PO Ltd TP Transaction Processing
SIL System Incident Log
SSC System Support Centre
TPS Transaction Processing Service
0.5 Definitiony
TPS Report Set
The six exception 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. Gor para 3.6.1.1
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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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Cash Account Period or I Where this term is used within this document it refers
CAP to each period (normally of seven days ending at
20.00ohrs on a Wednesday), to which PO Ltd shall have
allocated, or shall subsequently allocate, a Cash
Account Period Number and of which it shall have
informed, or shall inform, the Contractor through the
Operational Business Change Process.
(Taken from the ‘CA Sch. Got para 3.6.1.1 & 3.6.1.3)
‘CA Sch. Got para......’ Refers to the Codified Agreement, dated 28" July 1999
Schedule Goi, as amended by Schedule 5 of the Third
Supplemental Agreement (dated 19 January 2000) and
the appropriate paragraph number to which the text
within this document refers.
Cash Account or CA The electronic Cash Account committed at the outlet
Data Error Counting Period I A Data Error Counting Period means:
Each Cash Account Period which is of a duration of
seven days or less and
In respect of Cash Account Periods of greater than
seven days duration each proportion of any such Cash
Account Period derived by dividing such Cash Account
Period into two or more Data Error Counting Periods
such that the first such Data Error Counting Period is
between one and seven days duration and each
subsequent Data Error Counting Period during that
Cash Account Period is exactly seven days in duration.
(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.
Goi 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.
0.6 Changes mn this Veriow
2.0 Non other than re-branding to Fujitsu Services and PO Ltd standard
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0.7 Changes Expected
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0.8 Table of Contenty
41
4.11
4.1.2
42
1
TPS RECONCILIATION REPORTSG........ccscsssssssesessseseeseseseeseesens
RECONCILIATION AND INCIDENT HANDLING............cccseseseees
Incident Classification
Business Incidents
System Incidents....
Incident Originators...
Generation of Business Incidents
Business Incident Categories...
Data Errors & Not Data Errors
Business Incident Mattix......
Incident Reporting .
BIMS Reports / MER
System Incident Lo;
Reporting Timescales
Widespread Errors.
Repairing Data
Incident Management Proces eee see
MSU Raised Business Incident - BIMS / MER Issued — (Records not repaired)
MSU Raised Business Incident - BIMS / MER Issued (Repaired Records)
PO Ltd TIP Raised Business Incident - BIMS / MER Issued. .
System Incident with Business Implications - BIMS / MER Issued — (Repaired /
records)... ecseetesiteseeeneeeneee
47 Links to Problem Management .......sseeeeseee
48 Appendix 1: ‘System Incident Log’
49 Appendix 2: Business Rules for Data Errors & Not Data Errors...
49 Appendix 3: BIMS Report / MER Format...
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1 Introduction
The TPS Report Set has been designed to enable the transactions carried out in
outlets using the Electronic Point of Sale Service (EPOSS), to be reconciled with
the transaction data which is transmitted to PO Ltd Transaction Information
Processing (TIP), and also to reconcile the daily transaction data with the Cash
Account (CA) data at the end of the Cash Account Period (CAP). The TPS
Report Set identifies errors which occur within counter transactions or during
the harvesting process. In addition to errors highlighted by Fujitsu Services,
Pathway (Pathway) within the TPS Report Set, errors may also be discovered by
PO Ltd when reconciling data within its central systems or which relate to
enquiries from PO Ltd clients. To initiate the BIMS procedure, Pathway and
PO Ltd generate Business Incidents for one or more errors discovered.
NB: Acceptance of this document will not indicate acceptance of a specific
Horizon / TIP Interface solution. Those solutions should be identified within the
relevant AIS or contractual document.
2 Scope
This document sets out the reconciliation and incident management
procedures to be adopted by the Pathway Management Support Unit (MSU),
for dealing with Business Incidents relating to the TPS Report Set errors and PO
Ltd generated Business Incidents. This includes reconciling the data contained
in the TPS Report Set and raising Horizon System Help Desk (HSH) Business
Incidents, Business Incident Management System (BIMS) Reports and Manual
Error Reports (MER) where necessary.
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3 TPS Reconciliation Reporty
Pathway currently generate six daily TPS exception reports (from the host and
counter reconciliation software), and one Non Polled Outlet report from the
host, which are described briefly below for information purposes:
1. Host Detected Transaction Control Errors:
Shows detail for any outlet where the control totals for the transactions output
by the host to PO Ltd TIP do not match the daily transaction totals calculated
by the counters.
2. TPS Harvester Errors:
Lists error conditions detected by the Harvester when failing to process one of
the messages in the message store
3. Host Detected Cash Account Control Errors:
Shows detail for any outlet where the control totals for the number of entries
on the Cash Account output by the host to PO Ltd TIP do not match the
control totals calculated by the counters
4. Counter Detected Reconciliation Errors:
Shows details for any outlets where the accumulated daily transaction control
totals for the Cash Account Period do not match the totals on the Cash Account
produced by the counters.
5. Counter Transaction Errors:
Lists error conditions detected by the counter when failing to process one of the
messages in the message store.
6. Receipts not Equal to Payments:
Identifies where the Cash Account ‘Payment’ table total does not equal the
Cash Account ‘Receipts’ table total.
7. Non Polled Outlets:
Identifies all outlets, which have not been polled and have therefore not
transmitted any transactions to PO Ltd TIP.
NB: It is not intended that this document discuss the format or content of the
individual reconciliation reports
All seven reports will be routed to 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
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sense that the reporting process in itself has failed, MSU will raise a System
Incident via the HSH.
It is not intended that MSU will deliver any of the TPS Report Set to PO Ltdasa
matter of course, other than the Non Polled Outlet report. An extract from the
TPS Report Set may however be delivered as ‘evidence’ as an attachment to the
BIMS Report / MER if it is considered by Pathway that this would aid the
reconciliation or settlement process within PO Ltd
4 Reconciliation and Incident Handling
4.1 Incident Classification
4.1.1 Business Incidenty
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 PO Ltd.
e A Business Incident relates to one or more of the errors reported within the
TPS Report Set, or one or more of the reconciliation or settlement errors
raised in accordance with this document by PO Ltd TIP or TP. Each error is
categorised as a Data Error or a Not Data Error in accordance with section
4.4.1.
Refer to the ‘Business Incident Matrix’ section 4.4.2 for a list of those Business
Incident classes currently known and for which appropriate error reporting
processes are set out in this document.
4.1.2 System Incidenty
Relate to the underlying ‘Cause’
System Incidents may be raised by Pathway to cover file rejections, non-delivery
of files, or failures in the delivery of the TPS Report Set, where an associated
Business Incident has yet to be discovered. In doing so, the appropriate BIMS
report will be generated advising PO Ltd to expect a Business Incident as
detailed in the BIMS report. In addition, following the creation of a Business
Incident, Pathway may raise an associated System Incident. System Incidents
will be routed to the appropriate group within Pathway, for investigation and
resolution.
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Where there are associated System Incidents and Business Incidents, their
relationship can be either:
© one to one; or
© one to many, respectively.
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4.2 Incident Origimatory
4.3
It is envisaged that Business Incidents will only be generated by the following
groups within Pathway and PO Ltd:
e MSU for errors reported via the TPS Report Set
e PO Ltd TIP / TP for any other reconciliation or settlement error discovered
by PO Ltd that has not been reported by Pathway
e Pathway SSC for any system fault or data ‘surgery’ which is considered by
Pathway to have a reconciliation or settlement implication within PO Ltd.
Subject to agreement by the parties to the contrary, outlet calls to the HSH will
not generate Business Incidents. However calls from outlets will be monitored
and if it is considered necessary by Pathway, difficulties reported to the HSH,
either directly or via the Network Business Support Centre (NBSC), will be
elevated to Business Incident status.
Generotiow of Businesy Incidenty
In line with the generic incident management policy agreed between Pathway
and PO Ltd, Business Incidents will only be recognised as such if generated by
Pathway or PO Ltd, as appropriate, via the HSH. This ensures that the Business
Incident is properly logged, enabling MSU to ensure that corrective information
can be supplied and any underlying system fault can be rectified.
It is important that PO Ltd TIP / TP supply sufficient information to the HSH
when generating a Business Incident to ensure the timescales for the resolution
of Business Incidents referred to in section 4.5.3 can be achieved. Achievement
of such timescales is dependent upon the following information being provided
by PO Ltd TIP / TP when generating a Business Incident via the HSH:
e Avalid ‘PATH’ code must be quoted, e.g. ‘PATHo4o’ etc.
¢ Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
e The valid incident class (from the ‘Business Incident Matrix’, section 4.4.2),
if one is applicable, should be quoted together with any other relevant
detail, e.g. product Id, CA lines etc.
NB: Where PO Ltd TIP / TP raise a Business Incident which may require a large
amount of supporting information, summary detail only may be given to the
HSH and the additional information sent via e-mail to MSU. (A current contact
list will be made available to PO Ltd).
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4.4 Business Incident Categoricy
4.4.1 Dato Errory & Not Data Errory
The action to be taken by Pathway in respect of an error which gives rise to a
Business Incident, and whether or not Pathway has to pay a charge to PO Ltd in
relation to such an error, depends, amongst other things, on whether the error
is a Not Data Error or a Data Error, as defined in CA Sch. Got para 3.6.1.1. The
following explanations are provided to assist ICL Pathway and PO Ltd when
classifying errors and do not modify, in any way, CA Sch. Go para 3.6.
Having determined the classification of an error, the appropriate action to be
taken by Pathway is summarised in Appendix 2.
If, following discovery of an error, there is insufficient information available to
Pathway to determine whether that error is a Data Error or a Not Data Error,
then for the purpose only of deciding the action to be taken in accordance with
Appendix 2, the error shall be treated as a Data Error.
4.4.1.1 Not Data Errors - categories
A. The following errors, whether they are related to a transaction or a Cash
Account are always Not Data Errors:
(i) an error caused by invalid data input by users in outlets (except where
the input of data puts a previously balanced Cash Account into a state of
imbalance);
(ii) an error caused by the input of erroneous data by a user during
migration of PO Ltd data to any outlet (i.e. during data migration),
except where data migration tools provided by Pathway are supposed to
detect such an error; the migration tool is properly used but the error is
not detected;
(iii) an error caused by PO Ltd reference data, provided that Pathway has
properly applied that reference data; and
(iv) an error which falls within a Business Incident classified in the table
under section 4.4.2 as “F” or “G’.
B. Inaccurate Cash Account (Not Data Error’
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In addition to the above, an inaccurate Cash Account is a Not Data Error if the
Cash Account was committed at the outlet, even though a warning was given to
the outlet (in the form of “receipts not equal to payments” or such other
warning as the parties may agree) that the inacvb curacy existed, and either;
(i) the inaccuracy was not_caused primarily by:
(a) inaccurate Pathway reference data;
(b) Pathway incorrectly applying PO Ltd reference data; or
(c) an Pathway generated software error; or
(ii) the inaccuracy was caused by one of the causes listed in (i), but it could
have been corrected by a user in the outlet, if that user had applied a
“work around” previously agreed by Pathway and PO Ltd to deal with
such inaccuracies.
4.4.1.2, Data Errors - Categories
Inaccurate Cash Account (Data Error)
An inaccurate Cash Account is known as an Inaccurate Cash Account (Data
Error) and is treated as a Data Error unless it is a Not Data Error because:
(i) the inaccuracy is defined as a Not Data Error by reason of section 4.4.1.1
(A): or
(ii) the Cash Account is an Inaccurate Cash Account (Not Data Error)
because of section 4.4.1.1 (B).
Cash Account Error
If the electronic Cash Account committed at the outlet is not the same as that
which TMS presents at the TIP interface e.g. because the Cash Account has
been corrupted in some way, this is known as a Cash Account Error. This is a
Data Error unless the error which results in the Cash Account Error falls within
section 4.4.1.1.(A) above.
Transaction Errors
An error in one or more data fields in the electronic record of a transaction, or a
missing, duplicate or spurious additional transaction record is known as a
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Transaction Error. A Transaction Error is a Data Error, unless it falls within
section 4.4.1.1(A) above.
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4.4.2 Businey Incident Matric
The Business Incident Matrix identifies known classes of Business Incidents . This list
4.5
4.5
is based on the list of incidents provisionally agreed between Pathway and PO
Ltd at the joint workshop held on 02/11/99 for EPOSS / TPS related Business
Incidents. The list also includes those additional Business Incident types
documented within the ‘CA Sch. Goi Error Matrix, Annex 1’, As such the list is
an initial attempt to identify all currently understood Business Incident classes
but it may not be exhaustive. The current Business Incident Matrix is held
within the BIMS database and an extract can be provided to PO Ltd at any time
for audit and checking.
Incident Reporting
4.5.1 BIMS Reporty / MER
4.511
2.
BIMS has been designed to report the progress to resolution of a Business
Incident to allow PO Ltd to complete an accurate reconciliation (within PO
Ltd central systems) or settlement with their clients. For ease of identification
and association with the corresponding HSH call, BIMS Report references will
mimic the HSH reference. However they will be prefixed with a letter ‘B’, e.g.
HSH ref.: Eg912120011 = BIMS ref.: BEgg121200n1.
Format and Content of BIMS Report / MER
A BIMS Report will be issued for each Business Incident generated via the HSH.
As part of that BIMS report, Pathway will issue a MER for each error associated
with the relevant Business Incident where it is necessary to do so to comply
with CA Sch. Goi para 3.6.
BIMS Reports / MER are designed to notify PO Ltd of the detail required to
assist in the reconciliation or settlement process within PO Ltd. They
communicate information concerning the resolution of the symptom of an
underlying cause, not the cause itself. Business Incident reporting to PO Ltd
TIP / TP will fall into one of the following categories:
BIMS Report for a Not Data Error
This will be the standard BIMS report as shown in Appendix 3 without the
‘Transaction Details’ section completed. It will provide PO Ltd TIP / TP witha
brief description of each error to the extent that each error can be identified.
BIMS Report for a repaired Data Error
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4501.2
This will be the standard BIMS Report as shown in Appendix 3. However, the
‘Transaction Details’ section may be completed if considered necessary by
Pathway. Full details of the repaired transaction ‘File’ will be documented
providing an explanation of each correction made.
BIMS Report and MER
This will be the standard BIMS report as shown in Appendix 3. However, the
‘Transaction Details’ section will be completed as a MER to describe each Data
Error associated with the Business Incident, and specifying in a format (suitable
for PO Ltd TIP to key into a PO Ltd TIP data input facility):
e in the case of a Data Error resulting in an Inaccurate Cash Account (Data
Error) or a Cash Account Error, each of the line items in the relevant Cash
Account which need to be replaced in order to correct the Data Error in
question; and
e in the case of a Data Error which is a Transaction Error, the relevant
transaction record as it would have appeared but for the Data Error.
NB: A BIMS report may contain more than one MER.
Appendix 2 describes in tabular form the different error criteria for Data Errors
and Not Data Errors and the business rules surrounding the transmission of
data from Pathway to PO Ltd and the production of MERs where necessary.
BIMS Reports / MER will not advise any detail as to the underlying ‘Cause’ of
the problem if this is a result of a software error etc. This information is
supplied via the System Incident Log, (SIL). Where a System Incident is
generated to eradicate the cause of a particular problem, and there are one or
more associated Business Incidents, cross-references will be supplied on the
Business Incident BIMS Report / MER to allow tracking of the System Incident.
Clearance / Closure Criteria & Charges Applicable to MERs
Pathway anticipates that it will provide information concerning Business
Incidents to PO Ltd on a ‘drip feed’ basis, by issuing updated versions of the
initial BIMS Report / MER.
A BIMS Report is ‘Cleared’ (for the purpose of determining whether the
timescales as quoted within section 4.5.3 have been met), when Pathway has
provided the information required to be contained in the relevant BIMS Report
as set out in section 4.5.1.1. The BIMS Report is then closed following agreement
between PO Ltd and 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 Incident, the BIMS Report is closed subject
to the clearance criteria described above being met
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2. If there is an associated System Incident, the BIMS Report is closed subject
to the successful closure of the System Incident by Pathway.
PON will advise Pathway on a monthly basis via spreadsheet, (which cross
refers to the appropriate details of the chargeable BIMS / MER reports), of any
payments it considers are payable to PO Ltd (as compensation for PO Ltd’s
costs in dealing with MERs) and / or its charges for dealing with widespread
errors. For the avoidance of doubt, if an error, treated as a Data Error due to a
lack of information in accordance with section 4.4.1 is subsequently found to be
a Not Data Error, then no payment will be made in respect of a MER which may
have been issued in respect of that error. If the parties disagree whether the
error is a Data Error or Not Data Error, this will be initially discussed at the
monthly Incident Management Review and then escalated via a ‘Case Law
Referral’ form, to the Contract Administration Board for a final decision to be
made.
Full details of the charges applicable in respect of MERs are set out in
Appendix 2.
4.5.1.3 Notification of Anticipated Errors
There may be certain instances where an error identified in ‘Week 1’ will have
an equal and opposite error generated in ‘Week 2’. For example, if there is a
difference in the derived transaction total transmitted to PO Ltd 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 only one BIMS Report and MER if
appropriate, will be issued following the notification of the error within Week 1.
NB: This is not applicable to any error being carried forward into a subsequent
CAP as a result of a ‘Receipts & Payments’ misbalance where a separate BIMS
Report and MER will be issued for both the original and subsequent error.
4.5.1.4 Report Distribution
Pathway will distribute BIMS Reports / MER’s and the Non Polled Outlet report
within PO Ltd using the PO Ltd mail network accessed via ‘Lotus Notes’. In
the event that this facility is temporarily unavailable, reports will be distributed
via the Pathway corporate mail system. In the event that both ‘Lotus Notes’ and
the Pathway corporate mail system are unavailable, the Pathway Business
Support Team leader will discuss with the PO Ltd ‘Incident Manager,
Transaction Processing’ the appropriate means of information transfer.
BIMS Reports / MERs distributed in accordance with this section will be
deemed to have been issued to PO Ltd, and / or PO Ltd given notice of any
errors described therein, on confirmation of delivery by the ‘Lotus Notes’
system administrator at the time of transmission by mail.
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An example of a BIMS Report / MER is shown in Appendix 3.
4.5.2 System Incident Log
The SIL is intended to track the progress to resolution of a System Incident
generated to eradicate an underlying system fault. In practice, one system fault
could lead to a number of symptoms generating Business Incidents. The SIL has
been developed to remove the need to annotate each BIMS Report / MER
associated with a particular system fault, with the detail required to ensure PO
Ltd are fully advised as to the nature of this fault and how and when it is to be
rectified. This information will be contained in the SIL.
An example of a completed SIL is shown in Appendix 1.
4.5.3 Reporting Timescaley
MSU will use reasonable endeavours to raise an initial BIMS Report (V1.0)
relating to a new Business Incident. This will be made available in accordance
with section 4.5.1.4, to the PO Ltd ‘Incident Manager, Transaction Processing’,
on the same working day as the Business Incident is generated via the HSH, or
in any event on the morning of the next working day. In the event of the TPS
Report Set not being available to MSU in time to enable any errors to be
notified within this timescale, MSU will contact the PO Ltd ‘Incident Manager
Transaction Processing’ to agree a temporary extension to the timescale. This
initial, incomplete, BIMS Report will serve to notify PO Ltd that a Business
Incident has occurred and that the completed BIMS Report will be provided to
PO Ltd within the agreed timescales.
Pathway will use reasonable endeavours to ensure the final completed BIMS
Report / MER, is made available in accordance with section 4.5.1.4 and is
cleared within five working days from the date the Business Incident was
generated via the HSH.
Where there is a need to correct Data Errors (see appendix 2), Pathway will use
reasonable endeavours to deliver the corrected data file to PO Ltd TIP within
five working days from the date the Business Incident was generated via the
HSH. This may however, not always be practical due to the technicalities of
creating a corrected data file if there is a high volume of data.
If the BIMS Report / MER is not cleared (in accordance with section 4.5.1.2) or
Pathway think it is unlikely to be cleared within five working days, Pathway
shall immediately notify PO Ltd’s Incident Manager Transaction Processing and
shall procure that Pathway’s Management Support Unit Manager (or in his
absence, his deputy) is made available to meet with PO Ltd’s Incident Manager
Transaction Processing, (or his delegate), to discuss the delay within two
working days of such notification.
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4.5.4
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, ICL Pathway will give every System Incident
the priority it deserves taking into account PO 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. A System
Incident will be closed by Pathway once the relevant fix has been developed
and tested and delivered, or a correction to the relevant erroneous reference
data has been authorised or approved for release through the appropriate
agreed procedures between Pathway and PO Ltd. The SIL, advising the current
status of System Incidents will be delivered to PO Ltd TIP / TP at the end of
each week. PO Ltd may telephone MSU at any time to receive an update as to
the status of any System Incident documented on the SIL.
Widespread Errory
‘Widespread Errors’ are those Data Errors or Not Data Errors affecting Cash
Accounts in a Cash Account Period at more than 100 outlets. This section, 4.5.4,
defines the notification procedures referred to in paragraph 3.6.4.1 (a) of the CA
Schedule Go1 and actions to be taken by the Contractor in relation to
Widespread Errors referred to in paragraph 3.6.4.1 (b) or CA Schedule Go1.
Pathway will monitor ‘trigger points’, for example HSH calls and the TPS
Report Set, which can alert of any likely potential or actual ‘Widespread
Errors’. If Widespread Errors are discovered through this monitoring, the
Pathway Business Continuity Manager (or other senior representative of
Pathway) will immediately notify the PO Ltd Business Continuity Manager (or,
if unavailable, another senior representative of PO Ltd) that Widespread Errors
have been discovered and of the action the ICL Pathway has taken or proposes
should be taken in accordance with this section 4.5.4. Upon giving such notice
the provisions of this document (other than this section 4.5.4) shall cease to
apply in respect of those Widespread Errors.
Pathway will deal with Widespread Errors in the following manner:
e In respect of those Outlets which have not irrevocably committed
electronic Cash Accounts which may be affected by Widespread Errors
Pathway will notify those Outlets directly by telephone that they should
not attempt to irrevocably commit Cash Accounts until further notice from
Pathway
e If the Widespread Errors have resulted in electronic Cash Accounts
irrevocably committed in Outlets not being transmitted to PO Ltd / TIP,
Pathway will notify PO Ltd / TP of all such missing electronic Cash
Accounts.
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e Pathway will use all reasonable endeavours to ensure that all electronic
Cash Accounts not transmitted to PO Ltd / TIP as a result of Widespread
Errors will subsequently be transmitted to PO Ltd / TIP, without correction
and still containing any Widespread Errors contained within them in order
that they will agree with the signed paper Cash Account produced in the
outlet.
e¢ Where Widespread Errors have resulted in a reconciliation error within the
Cash Account Pathway will not correct any electronic Cash Account records
if this correction would result in an electronic Cash Account being received
by PO Ltd / TIP which differs from the signed paper Cash Account
produced in the outlet
¢ In addition to the above, Pathway agrees that it will provide all reasonable
assistance to PO Ltd and will co-operate with PO Ltd with the aim of
resolving or mitigating to both parties satisfaction the effect of Widespread
errors discovered. In so doing, the parties may agree reasonable alternative
or additional action by Pathway (to that set out above) which is appropriate
for the type or Widespread Errors discovered and the number of Outlet Cash
Accounts affected by them. Such action might include, for example: the
calculation of corrective factors which if applied to the relevant line or lines
of each Cash Account in error, would produce the correct outcome or
balance for those Cash Accounts or the provision of corrective data for such
Cash Accounts (provided that the parties can agree the changes to the CCD
(TIP/IFS/oo1 - V5.7: Pathway - TIP Application Interface Specification)
which would be necessary for such transmission)
The charges for widespread errors shall be as set out in CA Sch.Go1 para’s 3.6.4.3
& 3.6.4.4.
4.5.5 Repairing Dato
Where Pathway corrects Data Errors, ONE Business Incident will be raised to
cover each error, which has been corrected (or group of errors if they are
related to each other or if they relate to one Cash Account). A BIMS report
containing appropriate information (in accordance with section 4.5.1.1) will be
issued relating to that error or group of errors.
Where there is a need to correct Data Errors, 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
mode is unknown, the mode used may be obtained from a previous transaction
of the same type. In such cases, MSU will promptly inform PO Ltd ‘Incident
Manager Transaction Processing’ of the assumption, and anticipates that this
will be by fax normally within the working day that the assumption has been
made. PO Ltd may wish to review and validate these assumptions on a case by
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4.6
case basis and it should be noted that any assumptions made would not
necessarily set a precedent.
Where PO Ltd agrees that a Cash Account transmitted to PO Ltd TIP shall be
repaired rather than require a MER, then Pathway’s obligation to transmit a
repaired Cash Account may be satisfied by transmitting such part of the
repaired Cash Account as is necessary to correct the Data Error concerned,
provided that such transmission complies with the requirements of the CCD
entitled: ‘Pathway to TIP Application Interface Specification’.
Appendix 2 sets out the rules surrounding the decision to repair data or advise
corrections via MER.
Incident Management Procesy
The following flowcharts have been prepared to describe the processes required
to bring each Business Incident and System Incident to a successful conclusion
within Pathway and PO Ltd and are for information only. They do not attempt
to describe any low-level Pathway procedures.
The individual cases where Pathway will elect to repair or not to repair data are
not included within these flowcharts.
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4.6.L MSU Raised Business Incident - BIMS / MER Issued — (Records
not repaired)
Exception
START report
incident
2
Investigate
exception
IMsu]}
hy
Route
incident to MSU
incident stack
aise bus. incidey
jor each exceptio
with the HSH
hvestigat'n result
IMsu]
[HSH] [Msu}
8 Annotate
Log incident exception
details into report with
BIMS/MER BIMS/MER ref.
[MSU] [MSU]
11 Update investigation to °
BIMS/MER with 3 File report
IMsu]
Underlying
gystem fault
14
Update system
incident record
with new details
ImMsu]
15, 7
Raise system Despatch
incident BIMS/MER
with HSH report to PON
IMsu} IMsu]
18
IMsu]
Close HSH
PP business inciden
v
16
‘Add system
incident ref.s to
BIMS/MER report
[su]
23
Until system
incident
resolved
Until agreement)
reached
IMsu]
Clear BIMS
24
agree charges fo!
MER at monthly
incident review
[MSU/PON]
25
Close BIMS/
MER at monthly
incident review
[MSU/PON]
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4.6.2 MSU Raised Business Incident - BIMS / MER Iyued (Repaired
Records)
27 29
Raise one Log incident
¢ A}-—>I bus. incident be} details into
on the HSH BIMS/MER
IMsu] [MSU]
30 Annotate
exception
report with
BIMS/MER ref.
[MSU]
¥ 32. Forward
31 Bus. Incident to
‘stem incida ssc with instructiong
ready raised rasoy [PI to create a corre
file & send to TIP
IMsu}
38 39 33 34
Update system Raise system Create Update incident
ident record y correction file }=Jq with correction
Incident with HSH c
su] and send to TIP file details
IMsU] ™ [SSC] [SSC]
40 sia syst 35
system
incident ref.s to Return eo
BIMS/MER report [Sse]
[Msu]
41 36 Update
Despatch BIMS/MER
BIMSIMER (@——————— with correction
report to PON file details
IMsu] [MSU]
42
business inetden nuit agreement!
SU} reached
BIMS/MER
[MSU]
“Close BIMS! gree ch fe “c
jose ree charges fo: ‘Until syst
MER at monthly MER at monthly incident
incident review incident review resolved
[MSU/PON] IMSU/PON]
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ITIP business
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PO Lia TIP Raiged Business Incident - BIMS 7 MER Iyued
incident
52
Raise business
incident
on the HSH incident stack
ITIP] [HSH]
65
Update system
incident record
with new details
[MSU]
Un
incident
resolved
system
‘Underlying
ystem faulty
68
Despatch
incident with HSH BIMSIMER
report to PON
IMsu] [MSU]
K
67,
‘Add system
incident ref.s to
IMS/MER report
[Msu}
55
Attach details to
jexisting incident]
IMsu]
v
Log
incident details
into BIMS/MER
IMsU]
56
Update BIMS/
MER report &
send to PON
[Msu]
61
Investigation to
rovide settlemenI
87
Seek closure of
uplicate inciden
[
r recon.tn detail from PON
[Msu] [MSU]
& Update close
BIMS/MER with
vestigat'n result
IMsu]
uplicate inciden
on PONs behalfI
IMsU]
72
Close HSH Clear
to system usiness incidenf€—]_—_BIMS/MER
Saciden, IMsU] IMsU]
75 76
gree charges for Close BIMS/MER 77
MER at monthly at monthly END
incident review incident review
[MSU/PON] [MSU/PON]
Until agreement]
reached
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System Incident with Businesy Implicationy - BIMS / MER
79
78 Business
START incident
identified system incident
by ssc [ssc]
Bt out 83
oute .
incident to MSU Attach details to
nei existing incident
incident stack IMsUy
[HSH]
89 Log 84
Investigation to cident details Update BIMS/
rovide settlemen into BIMS/MER. MER report
jor recon.tn detail Add system ref.s & send to PON
IMsu] [MSU] IMsu]
90 85
Update BIMS/ Seek closure of
MER with Huplicate inciden
hvestigat’n resul! from PON
IMsU] [MSU]
94 86
Despatch Close
BIMS/MER Huplicate inciden
report to PON ‘on PONs behalf
IMsU] [MSU]
Until " a
intil agreemen’
reached END
close HSH . f
bus. incident on intil system
BIMSIMER [PA ssc behalt [PI incident
[Msu] [Msu] resolved
98 ¥
97
Close BIMS/MER Paree charges fo:
atmonthly fj MER at monthly
incident review incident review
IMSU/PON] [MSU/PON]
Issued — (Repaired / Not repaired records)
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4.7 Linky to Problem Management
The processes highlighted within this document are not intended to replace the
current agreed Problem Management procedures, which will run side by side
with the incident management process, as has always been the case.
By way of example, “problems” may be raised by Pathway or PO Ltd in the
following scenarios:
e Where there is a trend of similar Business Incidents where there is no
identifiable cause. This may include the scenario where the number of Data
Errors discovered after transmission to PO Ltd TIP exceeds 20 within the
relevant Data Error Counting Period. (CA Sch. Goi para 3.6.6.2)
e Where a System Incident has been raised and the cause is unknown.
Problem management expands the scope of the incident management process
described in this document to include any wider issues, which must be dealt
with in order to rectify problems and to ensure that the associated Business and
/ or System Incidents are not repeated.
A System Incident is generated by Pathway to ensure the relevant code or fix
etc. is developed, tested and delivered to the live estate. However, resolution of
problems which arise as a result of that System Incident will cover any
additional requirements of both parties e.g. Counter News updates, briefings
etc. and in many cases the authority from PO Ltd to proceed with a relevant
fix.
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4.8 Appendix 1: ‘System Incident Log
System Incident References Associated Business Resolution Detail
Incident
Date HSH Ref. PinICL ( PinICL (2) I BIMS/ HSH Ref. I TIP Ref. Cause / Rectification of Error Fix Detail Problem Mgt Closure Date
Raised ) Ref.
03/1/99 Eggu030813, 32733 N/A BEggn020258 999 Narrative text WPi234 29/m 34567 03/12/99
03/11/99 F990 30845 32675 32688 BEg91020259 N/A Narrative text 34666
Description of Fields
System Incident References
e Date Raised: The date the System Incident was raised by MSU
e HSH Ref.: The System Incident HSH reference
e PinICL (4): The initial System Incident PinICL
e PinICL (2): Any subsequent System Incident PinICLs raised for the same Business Incident
Associated Business Incident
e BIMS / HSH ref.: The HSH and BIMS references which are identical but for the ‘B’ prefixing the BIMS reference
e TIP Ref.: Any TIP reference quoted against a TIP / TP raised Business Incident
Resolution Details
¢ Cause Rectification of Error: A non technical description of the fault and the solution to rectify
e Fix Detail: The Work Package (WP) detail and associated dates of any fix delivered to the estate
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¢ Problem Mgt Ref.: The associated Problem Management Database reference
¢ Closure Date: The date the System Incident was closed following successful delivery of fix or reference data changes.
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4.9 Appendix 2: Businesy Rules for Data Errory & Not Data Errory
Data Errors Discovered Before Transmission to PO Ltd / TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CA Sch. I Original Original I the Data I the Data I (Subject Limit) Corrected I Explain Pathway
Go1) Record Record Error Error if I to 50 Record Correctio I (Amt. Per
PO Ltd I Limit) n MER)
Agree Note 3
Transaction Error 3.6.5.1 v v v v N/A
Transaction Error - MER I 3.6.5.4 v Note1 v v £100
option
Inaccurate Cash Account I 3.6.5.2 v v v v N/A
(Data Error) - Corrected I (a)
Inaccurate Cash Account I 3.6.5.2 v v v £100
(Data Error) - Not I (b)
Corrected
Cash Account Error 3.6.5.3 v v v v N/A
Cash Account Error - I 3.6.5.4 v Note1 v v £100
MER Option
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Note 1: ICL Pathway will usually retain the original record but is not obliged to do so if a MER is issued.
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Data Errors Discovered After Transmission to PO Ltd TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CA Sch. I Original I Original I the Data I the Data I (Subject Limit) Corrected I Explain Pathway
Go1) Record Record Error Error if I to 50 Record Correctio I (Amt. Per
PO Ltd I Limit) n MER)
Agree Note 3
Transaction Error == I 3.6.6.1 N/A N/A v v v N/A
Corrected (a)
Transaction Error - Not I 3.6.6.1 N/A N/A v Note 2 ¥ £150
Corrected (b)
Inaccurate Cash Account I 3.6.5.2 N/A N/A v v v N/A
(Data Error) - Corrected I (a)
Inaccurate Cash Account I 3.6.5.2 N/A N/A v ¥ £100
(Data Error) - Not I (b)
Corrected
Cash Account Error - I 3.6.6.1 N/A N/A v v v N/A
Corrected (a)
Cash Account Error - Not I 3.6.6.1 N/A N/A v Note 2 v £100
Corrected (b)
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Note 2: the ‘5o limit’ only applies if the Data Error is discovered after transmission to TIP, but before the conclusion of the Data Error
Counting Period. If discovered after the end of the Data Error Counting Period, the ‘50 limit’ does not apply in respect of MERs
required to be issued, (see CA Sch. Gor para 3.6.6.3)
Note 3: Instead of retaining and repairing Data Errors, Pathway is entitled to issue MERs for up to a total of 50 Data Errors (or such
higher limit as the parties may agree) relating to any Data Error Counting Period.
For the purposes of this ‘50 limit’, a Data Error relates to a Data Error Counting Period if;
a) it isa Transaction Error ina transaction carried out during that Data Error Counting Period; or
b) it is a Cash Account Error or an Inaccurate Cash Account (Data Error) for the Cash Account Period (if any) which is co-terminus
with that Data Error Counting Period.
For the purposes of the definitions Data Error Counting Period, a day shall mean a period of 24 hours ending at 20.0ohrs. (CA Sch. Gor
paras 3.6.1.2 & 3.6.1.3). Pathway and PO Ltd may agree that the ‘50 limit’ may be increased if felt operationally viable.
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Not Data Errors Discovered Before or After Transmission to PON TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct BIMS To the extent that is reasonable, I Charge to
CA Sch. I Original Original I the Data /I the Data I Report ICL Pathway to Assist PO Ltd Pathway
Gor) Record Record Error Error if I (No MER) (Amt. Per
PO Ltd MER)
Agree
Not Data Error 3.67 v v a) investigate and seek to prevent I N/A
the recurrence of such Not Data
Error and;
b) prevent the production of Cash
Accounts which are incorrect as a
result of such Not Data Error
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Appendix 3: BIMS Report / MER Format
BIMS Reference: BE/9912240077
Incident Type: Version: Last Updated:
Incident Class Originator:
Transaction Date: CAP: FAD:
Status: Error Value: £
OTHER REFERENCES TRANSACTION LIABILITY
PinICL reference: Provisional:
Incident ‘xref : Final:
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]
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 PO Ltd TIP.
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