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Document Title: TPS Reconciliation & Incident Management
Document Type: Procedure
Abstract: This document outlines the reconciliation and incident
management procedures required to investigate, report
and resolve TPS reconciliation and business incidents.
Document Status: APPROVED
Author: Richard Brunskill (IS Manager, Fujtisu Services - Pathway)
Reviewed By: Post Office:
Liz J Tuddenham,
Keith F Baines.
Fujitsu Services: John Pope
Comments By:
Comments To: Author
Distribution: Reviewers, plus:
Pathway CS/MSU
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.
3.0 03/12/02 I Updated version following contract renewal
& inclusion within Schedule 19
4.0 19/12/02 I Updated for Contract Amendment
0.2 Approval Authorities
Richard Brunskill Fujitsu Services
Pathway:
Infrastructure
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Services Manager
Liz Tuddenham Post Office
Network Support:
Supplier & Service
Performance
Manager
0.3 Asoriated Documenty
TI/IFS/oo1 I 5.7 July 1999 I Pathway - TIP Application Joint Pathway
Interface Specification / PO Ltd
CS/SER/017 I 0.1 15/12/02 I Data Error / Not Data Error PVCS
Contractual Definitions
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0.4 Abbrevistiony
Ss Automated Payment Service
BIMS Business Incident Management System - (Fujitsu Services
Pathway)
CA Cash Account
CAP Cash Account Period
CS/MSU Customer Service / Management Support Unit - (Fujitsu
Services Pathway)
EPOSS Electronic Point of Sale Service
HSH Horizon System Help Desk
MER Manual Error Report
Post Office™ TIP _I Transaction Information Processing
Post Office™ TP Transaction Processing
SIL System Incident Log
SSC System Support Centre
TPS Transaction Processing Service
0.5 Definitions
TPS Report Set The six exception reports and one Non Polled Outlet
report described in section 3
Business Incident Where this term is used within this document it is
meant as described in section 4.1.1
System Incident Where this term is used within this document it is
meant as described in section 4.1.2
Data Error Where this term is used within this document it is
meant as described within the CS/SER/o17 “Data Errors
/ Not Data Errors - Contractual Definitions” para 3.6.1.1
Not Data Error Where this term is used within this document it is
meant as described within CS/SER/o17 “Data Errors /
Not Data Errors - Contractual Definitions” para 3.6.1.1
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Cash Account Period or
CAP
Where this term is used within this document it refers
to each period (normally of seven days ending at
20.00ohrs on a Wednesday), to which Post Office shall
have allocated, or shall subsequently allocate, a Cash
Account Period Number and of which it shall have
informed, or shall inform, the Contractor through the
Operational Business Change Process.
(Taken from the CCD CS/SER/o17 “Data Errors / Not
Data Errors - Contractual Definitions” para 3.6.11 &
3.6.1.3 )
Cash Account or CA
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 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.
(CS/SER/o17 “Data Errors / Not Data Errors -
Contractual Definitions” para 3.6.1.1)
BIMS Report
The reports described in section 4.5.1.1
document.
In addition to the words and expressions identified above as being defined in
CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions” para 3.6, all
other words and expressions defined in CS/SER/o17 “Data Errors / Not Data Errors -
Contractual Definitions” para 3.6 shall bear the same meanings when used in this
0.6 Changes Wm this Verriow
3.0 References to the Codified Agreement Schedule Goi Section 3.6, now deleted and
replaced with the CCD entitled: CS/SER/o17 ‘Data Error / Non Data Error -
Contractual Contractual Definitions; which has been issued to preserve the
definitions quoted in Schedule Go1 section 3.6.
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4.0 Updated for Contract Amendment. References to Schedule Goi have been removed.
Minor typos corrected. Para 4.5.1.4 amendment to first sentence.
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0.8 Table of Contenty
41
4.11
4.1.2
42
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 see
MSU Raised Business Incident - BIMS / MER Issued — (Records not repaired)
MSU Raised Business Incident - BIMS / MER Issued (Repaired Records) .
Post Office TIP Raised Business Incident - BIMS / MER Issued .
System Incident with Business Implications - BIMS / MER Issued — (Repaired /
records)... ecseetesiteseeeneeeneee esses
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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11 = Introduction
The TPS Report Set has been designed to enable the transactions carried out in
outlets using the Electronic Point of Sale Service (EPOSS), to be reconciled with
the transaction data which is transmitted to Post Office Transaction
Information Processing (TIP), and also to reconcile the daily transaction data
with the Cash Account (CA) data at the end of the Cash Account Period (CAP).
The TPS Report Set identifies errors which occur within counter transactions or
during the harvesting process. In addition to errors highlighted by Fujitsu
Services within the TPS Report Set, errors may also be discovered by Post Office
when reconciling data within its central systems or which relate to enquiries
from Post Office clients. To initiate the BIMS procedure, Pathway and Post
Office generate Business Incidents for one or more errors discovered.
NB: Acceptance of this document will not indicate acceptance of a specific
Horizon / TIP Interface solution. Those solutions should be identified within the
relevant AIS or contractual document.
2 Scope
This document sets out the reconciliation and incident management
procedures to be adopted by the Fujitsu Services for dealing with Business
Incidents relating to the TPS Report Set errors and Post Office generated
Business Incidents. This includes reconciling the data contained in the TPS
Report Set and raising Horizon System Help Desk (HSH) Business Incidents,
Business Incident Management System (BIMS) Reports and Manual Error
Reports (MER) where necessary.
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3 TPS Reconciliation Reporty
Fujitsu Services currently generate six daily TPS exception reports (from the
host and counter reconciliation software), and one Non Polled Outlet report
from the host, which are described briefly below for information purposes:
1. Host Detected Transaction Control Errors:
Shows detail for any outlet where the control totals for the transactions output
by the host to Post Office TIP do not match the daily transaction totals
calculated by the counters.
2. TPS Harvester Errors:
Lists error conditions detected by the Harvester when failing to process one of
the messages in the message store
3. Host Detected Cash Account Control Errors:
Shows detail for any outlet where the control totals for the number of entries
on the Cash Account output by the host to Post Office TIP do not match the
control totals calculated by the counters
4. Counter Detected Reconciliation Errors:
Shows details for any outlets where the accumulated daily transaction control
totals for the Cash Account Period do not match the totals on the Cash Account
produced by the counters.
5. Counter Transaction Errors:
Lists error conditions detected by the counter when failing to process one of the
messages in the message store.
6. Receipts not Equal to Payments:
Identifies where the Cash Account ‘Payment’ table total does not equal the
Cash Account ‘Receipts’ table total.
7. Non Polled Outlets:
Identifies all outlets, which have not been polled and have therefore not
transmitted any transactions to Post Office TIP.
NB: It is not intended that this document discuss the format or content of the
individual reconciliation reports
All seven reports will be routed to Fujitsu Services MSU, on a daily basis by
og.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
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incorrect, in the sense that the reporting process in itself has failed, Fujitsu
Services will raise a System Incident via the HSH.
It is not intended that Fujitsu Services will deliver any of the TPS Report Set to
Post Office as a matter of course, other than the Non Polled Outlet report. An
extract from the TPS Report Set may however be delivered as ‘evidence’ as an
attachment to the BIMS Report / MER if it is considered by Pathway that this
would aid the reconciliation or settlement process within Post Office.
4 Reconciliation and Incident Handling
4.1 Incident Classification
4.1.1 Business 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 Post Office.
e A Business Incident relates to one or more of the errors reported within the
TPS Report Set, or one or more of the reconciliation or settlement errors
raised in accordance with this document by Post Office TIP or TP. Each
error is categorised as a Data Error or a Not Data Error in accordance with
section 4.4.1.
Refer to the ‘Business Incident Matrix’ section 4.4.2 for a list of those Business
Incident classes currently known and for which appropriate error reporting
processes are set out in this document.
4.1.2 System Incidenty
Relate to the underlying ‘Cause’
System Incidents may be raised by Fujitsu Services to cover file rejections, non-
delivery of files, or failures in the delivery of the TPS Report Set, where an
associated Business Incident has yet to be discovered. In doing so, the
appropriate BIMS report will be generated advising Post Office to expect a
Business Incident as detailed in the BIMS report. In addition, following the
creation of a Business Incident, Pathway may raise an associated System
Incident. System Incidents will be routed to the appropriate group within
Fujitsu Services, for investigation and resolution.
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4.2
4.3
Where there are associated System Incidents and Business Incidents, their
relationship can be either:
© one to one; or
¢ one to many, respectively.
Incident Origimatory
It is envisaged that Business Incidents will only be generated by the following
groups within Fujitsu Services and Post Office:
e Fujitsu Services MSU for errors reported via the TPS Report Set
e Post Office TIP / TP for any other reconciliation or settlement error
discovered by Post Office that has not been reported by Pathway
e Fujitsu Services Service Support Centre (SSC) for any system fault or data
‘surgery’ which is considered by Fujitsu Services to have a reconciliation or
settlement implication within Post Office.
Subject to agreement by the parties to the contrary, outlet calls to the HSH will
not generate Business Incidents. However calls from outlets will be monitored
and if it is considered necessary by Fujitsu Services, difficulties reported to the
HSH, either directly or via the Network Business Support Centre (NBSC), will
be elevated to Business Incident status.
Generotiow of Busineyy Incidenty
In line with the generic incident management policy agreed between Fujitsu
Services and Post Office, Business Incidents will only be recognised as such if
generated by Fujitsu Services or Post Office, as appropriate, via the HSH. This
ensures that the Business Incident is properly logged, enabling Fujitsu Services
to ensure that corrective information can be supplied and any underlying
system fault can be rectified.
It is important that Post Office TIP / TP supply sufficient information to the
HSH when generating a Business Incident to ensure the timescales for the
resolution of Business Incidents referred to in section 4.5.3 can be achieved.
Achievement of such timescales is dependent upon the following information
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4.4
being provided by Post Office TIP / TP when generating a Business Incident via
the HSH:
e Avalid ‘PATH’ code must be quoted, e.g. ‘PATHo4o’ etc.
e 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 Post Office TIP / TP raise a Business Incident which may require a
large amount of supporting information, summary detail only may be given to
the HSH and the additional information sent via e-mail to Fujitsu Services. (A
current contact list will be made available to Post Office).
Business Incident Categoriey
4.4.1 Dato Errory & Not Data Errory
The action to be taken by Fujitsu Services in respect of an error which gives rise
to a Business Incident, and whether or not Fujitsu Services has to pay a charge
to Post Office in relation to such an error, depends, amongst other things, on
whether the error is a Not Data Error or a Data Error, as defined in CS/SER/o17
“Data Errors / Not Data Errors - Contractual Definitions” para 3.6.1.1. The
following explanations are provided to assist Fujitsu Services and Post Office
when classifying errors and do not modify, in any way, CS/SER/o17 “Data Errors
/ Not Data Errors - Contractual Definitions” para 3.6.
Having determined the classification of an error, the appropriate action to be
taken by Pathway is summarised in Appendix 2.
If, following discovery of an error, there is insufficient information available to
Fujitsu Services to determine whether that error is a Data Error or a Not Data
Error, then for the purpose only of deciding the action to be taken in
accordance with Appendix 2, the error shall be treated as a Data Error.
4.4.1.1 Not Data Errors - categories
A. The following errors, whether they are related to a transaction or a Cash
Account are always Not Data Errors:
(i) an error caused by invalid data input by users in outlets (except where
the input of data puts a previously balanced Cash Account into a state of
imbalance);
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(ii) an error caused by the input of erroneous data by a user during
migration of Post Office data to any outlet (i.e. during data migration),
except where data migration tools provided by Fujitsu Services are
supposed to detect such an error; the migration tool is properly used but
the error is not detected;
(iii) an error caused by Post Office reference data, provided that Fujitsu
Services has properly applied that reference data; and
(iv) an error which falls within a Business Incident classified in the table
under section 4.4.2 as “F” or “G”.
B. Inaccurate Cash Account (Not Data Error)
In addition to the above, an inaccurate Cash Account is a Not Data Error if the
Cash Account was committed at the outlet, even though a warning was given to
the outlet (in the form of “receipts not equal to payments” or such other
warning as the parties may agree) that the inaccuracy existed, and either;
(i)
the inaccuracy was not_caused primarily by:
(a) inaccurate Fujitsu Services reference data;
(b) Fujitsu Services incorrectly applying Post Office reference data;
or
(c) Fujitsu Services generated software error; or
the inaccuracy was caused by one of the causes listed in (i), but it could
have been corrected by a user in the outlet, if that user had applied a
“work around” previously agreed by Fujitsu Services and Post Office to
deal with such inaccuracies.
4.4.1.2 Data Errors - Categories
Inaccurate Cash Account (Data Error
An inaccurate Cash Account is known as an Inaccurate Cash Account (Data
Error) and is treated as a Data Error unless it is a Not Data Error because:
(i)
(ii)
the inaccuracy is defined as a Not Data Error by reason of section 4.4.1.1
(A): or
the Cash Account is an Inaccurate Cash Account (Not Data Error)
because of section 4.4.1.1 (B).
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Cash Account Error
If the electronic Cash Account committed at the outlet is not the same as that
which TMS presents at the TIP interface e.g. because the Cash Account has
been corrupted in some way, this is known as a Cash Account Error. This is a
Data Error unless the error which results in the Cash Account Error falls within
section 4.4.1.1.(A) above.
Transaction Errors
An error in one or more data fields in the electronic record of a transaction, or a
missing, duplicate or spurious additional transaction record is known as a
Transaction Error. A Transaction Error is a Data Error, unless it falls within
section 4.4.1.1(A) above.
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4.4.2 Businey Incident Matric
The Business Incident Matrix identifies known classes of Business Incidents . This list
4.5
is based on the list of incidents provisionally agreed between Fujitsu Services
and Post Office at the joint workshop held on 02/11/99 for EPOSS / TPS related
Business Incidents. The list also includes those additional Business Incident
types documented within the CS/SER/o17 “Data Errors / Not Data Errors -
Contractual Definitions” Error Matrix Section 4 (Annex). As such the list is an
initial attempt to identify all currently understood Business Incident classes but
it may not be exhaustive. The current Business Incident Matrix is held within
the BIMS database and an extract can be provided to Post Office at any time for
audit and checking.
Incident Reporting
4.5.1 BIMS Reporty/ MER
4511
BIMS has been designed to report the progress to resolution of a Business
Incident to allow Post Office to complete an accurate reconciliation (within
Post Office central systems) or settlement with their clients. For ease of
identification and association with the corresponding HSH call, BIMS Report
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, Fujitsu Services will issue a MER for each error
associated with the relevant Business Incident where it is necessary to do so to
comply with CS/SER/o17 “Data Errors / Not Data Errors - Contractual
Definitions” para 3.6.
BIMS Reports / MER are designed to notify Post Office of the detail required to
assist in the reconciliation or settlement process within Post Office. They
communicate information concerning the resolution of the symptom of an
underlying cause, not the cause itself. Business Incident reporting to Post
Office TIP / TP will fall into one of the following categories:
BIMS Report for a Not Data Error
This will be the standard BIMS report as shown in Appendix 3 without the
‘Transaction Details’ section completed. It will provide Post Office TIP / TP
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4.5.1.2
with a brief description of each error to the extent that each error can be
identified.
BIMS Report for a repaired Data Error
This will be the standard BIMS Report as shown in Appendix 3. However, the
‘Transaction Details’ section may be completed if considered necessary by
Fujitsu Services. Full details of the repaired transaction ‘File’ will be
documented providing an explanation of each correction made.
BIMS Report and MER
This will be the standard BIMS report as shown in Appendix 3. However, the
‘Transaction Details’ section will be completed as a MER to describe each Data
Error associated with the Business Incident, and specifying in a format (suitable
for Post Office TIP to key into a Post Office TIP data input facility):
e in the case of a Data Error resulting in an Inaccurate Cash Account (Data
Error) or a Cash Account Error, each of the line items in the relevant Cash
Account which need to be replaced in order to correct the Data Error in
question; and
e in the case of a Data Error which is a Transaction Error, the relevant
transaction record as it would have appeared but for the Data Error.
NB: A BIMS report may contain more than one MER.
Appendix 2 describes in tabular form the different error criteria for Data Errors
and Not Data Errors and the business rules surrounding the transmission of
data from Pathway to Post Office and the production of MERs where necessary.
BIMS Reports / MER will not advise any detail as to the underlying ‘Cause’ of
the problem if this is a result of a software error etc. This information is
supplied via the System Incident Log, (SIL). Where a System Incident is
generated to eradicate the cause of a particular problem, and there are one or
more associated Business Incidents, cross-references will be supplied on the
Business Incident BIMS Report / MER to allow tracking of the System Incident.
Clearance / Closure Criteria & Charges Applicable to MERs
Fujitsu Services anticipates that it will provide information concerning Business
Incidents to Post Office on a ‘drip feed’ basis, by issuing updated versions of
the initial BIMS Report / MER.
A BIMS Report is ‘Cleared’ (for the purpose of determining whether the
timescales as quoted within section 4.5.3 have been met), when Fujitsu Services
has provided the information required to be contained in the relevant BIMS
Report as set out in section 4.5.1.1. The BIMS Report is then closed following
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agreement between Post Office and Fujitsu Services at the monthly Incident
Management Review. Such agreement is subject only to fulfilment of the
following conditions:
1. If there is no associated System Incident, the BIMS Report is closed subject
to the clearance criteria described above being met
2. If there is an associated System Incident, the BIMS Report is closed subject
to the successful closure of the System Incident by Fujitsu Services.
Post Office will advise Fujitsu Services on a monthly basis via spreadsheet,
(which cross refers to the appropriate details of the chargeable BIMS / MER
reports), of any payments it considers are payable to Post Office (as
compensation for Post Office costs in dealing with MERs) and / or its charges
for dealing with widespread errors. For the avoidance of doubt, if an error,
treated as a Data Error due to a lack of information in accordance with section
4.4.1 is subsequently found to be a Not Data Error, then no payment will be
made in respect of a MER which may have been issued in respect of that error.
If the parties disagree whether the error is a Data Error or Not Data Error, this
will be initially discussed at the monthly Incident Management Review and
then escalated via a ‘Case Law Referral’ form, to the Contract Administration
Board for a final decision to be made.
Full details of the charges applicable in respect of MERs are set out in
Appendix 2.
4.5.1.3 Notification of Anticipated Errors
There may be certain instances where an error identified in ‘Week 1’ will have
an equal and opposite error generated in ‘Week 2’. For example, if there is a
difference in the derived transaction total transmitted to Post Office TIP when
compared to the actual totals populated to the Cash Account line, probably due
to a stock unit rolling over more than one CAP, 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.
45.1.4 Report Distribution
Fujitsu Services will distribute BIMS Reports / MER’s and the Non Polled Outlet
report within Post Office using the Post Office mail network accessed via ‘Lotus
Notes’. In the event that this facility is temporarily unavailable, reports will be
distributed via the Fujitsu Services corporate mail system. In the event that
both ‘Lotus Notes’ and the Fujitsu Services corporate mail system are
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unavailable, the Fujitsu Services MSU Business Support Team leader will discuss
with the Post Office ‘Incident Manager, Transaction Processing’ the appropriate
means of information transfer.
BIMS Reports / MERs distributed in accordance with this section will be
deemed to have been issued to Post Office, and / or Post Office given notice of
any errors described therein, on confirmation of delivery by the ‘Lotus Notes’
system administrator at the time of transmission by mail.
An example of a BIMS Report / MER is shown in Appendix 3.
4.5.2 System Incident Log
The SIL is intended to track the progress to resolution of a System Incident
generated to eradicate an underlying system fault. In practice, one system fault
could lead to a number of symptoms generating Business Incidents. The SIL has
been developed to remove the need to annotate each BIMS Report / MER
associated with a particular system fault, with the detail required to ensure
Post Office are fully advised as to the nature of this fault and how and when it is
to be rectified. This information will be contained in the SIL.
An example of a completed SIL is shown in Appendix 1.
4.5.3 Reporting Timescaley
Fujitsu Services will use reasonable endeavours to raise an initial BIMS Report
(V1.0) relating to a new Business Incident. This will be made available in
accordance with section 4.5.1.4, to the Post Office ‘Incident Manager,
Transaction Processing’, on the same working day as the Business Incident is
generated via the HSH, or in any event on the morning of the next working day.
In the event of the TPS Report Set not being available to Fujitsu Services in time
to enable any errors to be notified within this timescale, CS / Fujitsu Services
will contact the Post Office ‘Incident Manager Transaction Processing’ to agree
a temporary extension to the timescale. This initial, incomplete, BIMS Report
will serve to notify Post Office that a Business Incident has occurred and that
the completed BIMS Report will be provided to Post Office within the agreed
timescales.
Fujitsu Services will use reasonable endeavours to ensure the final completed
BIMS Report / MER, is made available in accordance with section 4.5.1.4 and is
cleared within five working days from the date the Business Incident was
generated via the HSH.
Where there is a need to correct Data Errors (see appendix 2), Fujitsu Services
will use reasonable endeavours to deliver the corrected data file to Post Office
TIP within five working days from the date the Business Incident was generated
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4.5.4
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
Fujitsu Services think it is unlikely to be cleared within five working days,
Fujitsu. Services shall immediately notify Post Office Incident Manager
Transaction Processing and shall procure that Fujitsu Services MSU Manager
(or in his absence, his deputy) is made available to meet with Post Office
Incident Manager Transaction Processing, (or his delegate), to discuss the delay
within two working days of such notification.
There is no strict timescale for the resolution of a System Incident as the time
taken to develop a fix or correct erroneous reference data cannot be
determined. Obviously however, Fujitsu Services will give every System
Incident the priority it deserves taking into account Post Office’s requirement
and would aim to deliver an initial analysis of the root cause within 5 working
days and a final analysis and evidence of remedial action, within 10 working
days. A System Incident will be closed by Fujitsu Services once the relevant fix
has been developed and tested and delivered, or a correction to the relevant
erroneous reference data has been authorised or approved for release through
the appropriate agreed procedures between Fujitsu Services and Post Office.
The SIL, advising the current status of System Incidents will be delivered to
Post Office TIP / TP at the end of each week. Post Office may telephone CS /
Fujitsu Services at any time to receive an update as to the status of any System
Incident documented on the SIL.
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
CS/SER/o17 “Data Errors / Not Data Errors - Contractual Definitions” and
actions to be taken by Fujitsu Serivices in relation to Widespread Errors referred
to in paragraph 3.6.4.1 (b) of CS/SER/o17 “Data Errors / Not Data Errors -
Contractual Definitions” .
Fujitsu Services will monitor ‘trigger points’, for example HSH calls and the
TPS Report Set, which can alert of any likely potential or actual ‘Widespread
Errors’. If Widespread Errors are discovered through this monitoring, the
Fujitsu Services Business Continuity Manager (or other senior representative of
Fujitsu Services) will immediately notify the Post Office Business Continuity
Manager (or, if unavailable, another senior representative of Post Office) that
Widespread Errors have been discovered and of the action the Fujitsu Services
has taken or proposes should be taken in accordance with this section 4.5.4.
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Upon giving such notice the provisions of this document (other than this
section 4.5.4) shall cease to apply in respect of those Widespread Errors.
Fujitsu Services will deal with Widespread Errors in the following manner:
In respect of those Outlets which have not irrevocably committed
electronic Cash Accounts which may be affected by Widespread Errors
Fujitsu Services will notify those Outlets directly by telephone that they
should not attempt to irrevocably commit Cash Accounts until further
notice from Fujitsu Services.
If the Widespread Errors have resulted in electronic Cash Accounts
irrevocably committed in Post Office Branches not being transmitted to
Post Office / TIP, Fujitsu Services will notify Post Office / TP of all such
missing electronic Cash Accounts.
Fujitsu Services will use all reasonable endeavours to ensure that all
electronic Cash Accounts not transmitted to Post Office / TIP as a result of
Widespread Errors will subsequently be transmitted to Post Office / TIP,
without correction and still containing any Widespread Errors contained
within them in order that they will agree with the signed paper Cash
Account produced in the outlet.
Where Widespread Errors have resulted in a reconciliation error within the
Cash Account Pathway will not correct any electronic Cash Account records
if this correction would result in an electronic Cash Account being received
by Post Office / TIP which differs from the signed paper Cash Account
produced in the outlet
In addition to the above, Fujitsu Services agrees that it will provide all
reasonable assistance to Post Office and will co-operate with Post Office with
the aim of resolving or mitigating to both parties satisfaction the effect of
Widespread errors discovered. In so doing, the parties may agree reasonable
alternative or additional action by Pathway (to that set out above) which is
appropriate for the type or Widespread Errors discovered and the number of
Outlet Cash Accounts affected by them. Such action might include, for
example: the calculation of corrective factors which if applied to the relevant
line or lines of each Cash Account in error, would produce the correct
outcome or balance for those Cash Accounts or the provision of corrective
data for such Cash Accounts (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 CS/SER/o17 “Data Errors
/ Not Data Errors - Contractual Definitions” para’s 3.6.4.3 & 3.6.4.4.
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4.5.5 Repairing Data
4.6
Where Fujitsu Services corrects Data Errors, ONE Business Incident will be
raised to cover each error, which has been corrected (or group of errors if they
are related to each other or if they relate to one Cash Account). A BIMS report
containing appropriate information (in accordance with section 4.5.1.1) will be
issued relating to that error or group of errors.
Where there is a need to correct Data Errors, Fujitsu Services may make
corrective assumptions, based upon the format and content of previous valid
records of the same type, if no other detail is available. For example, where a
transaction mode is unknown, the mode used may be obtained from a previous
transaction of the same type. In such cases, Fujitsu Services will promptly
inform Post Office ‘Incident Manager Transaction Processing’ of the
assumption, and anticipates that this will be by fax normally within the working
day that the assumption has been made. Post Office may wish to review and
validate these assumptions on a case by case basis and it should be noted that
any assumptions made would not necessarily set a precedent.
Where Post Office agrees that a Cash Account transmitted to Post Office TIP
shall be repaired rather than require a MER, then Fujitsu Services obligation to
transmit a repaired Cash Account may be satisfied by transmitting such part of
the repaired Cash Account as is necessary to correct the Data Error concerned,
provided that such transmission complies with the requirements of the CCD
TI/IFS/oo1 ‘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 Process
The following flowcharts have been prepared to describe the processes required
to bring each Business Incident and System Incident to a successful conclusion
within Fujitsu Services and Post Office and are for information only. They do
not attempt to describe any low-level Pathway procedures.
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)
2 3
1 Exception Investigate
START report exception
incident IMsu]
epair data
glectronically3
Route
incident to MSU
IMsu:
#€&—Flor each exception}
with the HSH
i]
8 Annotate
14
Update system
cident record
with new details
IMsu]
15.
Raise system
exception
details into F<} report with
BIMS/MER BIMS/MER ref.
IMsu] [MSU]
11 10 9
Update ji
Investigation to
a ER with gE provide settlem'tk@@—] File report
+ /recon.tn detail IMsu}
isu] IMsu]
‘Underlying
gystem faultz
17 sespatch 18
jes pate!
Close HSH
BIMSIMER Bh ese,
report to PON business incident]
IMsu]
IMsu]
6
Add system
incident ref.s to
BIMS/MER report
IMsu]
23
Until system
incident
resolved
Until agreement
reached
IMsu]
Clear BIMS
24
Agree charges for]
MER at monthly
incident review
IMSU/PON]
25
Close BIMS/
3] MER at monthly
incident review
[MSU/PON]
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4.6.2 MSU Raised Business Incident - BIMS / MER Iyued (Repaired
Records)
27 28 28
Raise one Route Log incident
( A -—P} bus. ident Bel incident to MSU I details into
on the HSH incident stack BIMS/MER
[IMsu] [HSH] [MsuU]
30 Annotate
exception
report with
BIMS/MER ref.
IMsu}
¥ 32. Forward
31 Bus. Incident to
SSC with instructions
ine [-P to create a correction
file & send to TIP
IMsu}
Py 34
Update system Create Update incident
incident record correction file IB} with correction
new details and send to TIP file details
IMsU] [ssc] Issc]
“Onda syste .
system
incident ref.s to Reta soe
BIMS/MER report Tsscl
IMsU]
a 36 Update
Despatch BIMS/MER
BIMSMER f@————_______ with correction
report to PON file details
[MSU] [MSU]
42
Close HSH PON agree Untit agreement
business incident to clear Teazhed
[MSU]
45
BIMS/MER
IMsu}
Close BIMS/ Agree charges f. “
jose (gree charges forI
MER at monthly J@@—] MER at monthly JgQ_—y Until system
incident review incident review resolved
IMSU/PON} IMSU/PON]
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4.6.3 Post Office TIP Raised Business Incident - BIMS / MER Iyued
51 52
TIP business
incident
Raise business
incident
‘on the HSH
{TIP}
65
Update system
Underlying
ystem faultZ
74
Until system
incident
resolved
Despatch
BIMS/MER
report to PON
IMsu]
Ly
67.
Add system
incident ref.s to
IBIMS/MER report
IMsu}
55
Attach details to
existing incident
IMsu]
Yes v
60 56
Log Update BIMS/
incident details MER report &
into BIMS/MER send to PON
IMsu] IMsu]
61 57
Investigation to
provide settlemend
Seek closure of
iduplicate incident
‘or recon.tn det: from PON
[Msu] [Msu]
© I Update Close
BIMS/MER with
Iduplicate incident
Investigat'n resull on PONs behalt
(msu] I IMsu]
59
END
Until agreement
reached
72
Close HSH
business incident}
IMsu}
75 76
Agree charges for] Close BIMS/MER
MER at monthly at monthly
incident review incident review
IMSU/PON] IMSU/PON]
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4.6.4 System Incident with Businesy Implications - BIMS / MER
79 80 Raise
78 Business bus. incident
START on HSH & link to
system incident
[ssc]
Bt out 83
oute
incident to MSU Attach details to
nid existing incident
incident stack TMSU}
[HSH]
89 iss Log a4
Investigation to incident details Update BIMS/
provide settlement] into BIMS/MER. MER report
‘or recon.tn detail Add system ref.s & send to PON
[MSU] [MSU] [MSU]
90 85
Update BIMS/ Seek closure of
MER with duplicate incident
Investigat'n result: from PON
IMsu} IMsu]
31 86
Despatch Close
BIMS/MER duplicate incident
report to PON ‘on PONs behalf
IMsu} [Msu]
87
Until agreement
reached
°5 Close HSH
bus. incident on
BIMSMER ["P] ssc behalt
[MSU] IMsu} resolved
8 7
Close BIMS/MERI Agree charges for]
at monthly f@@-J MER at monthly
incident review incident review
IMSU/PON] IMSU/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 Fujitsu Services or Post Office
in the following scenarios:
e Where there is a trend of similar Business Incidents where there is no
identifiable cause. This may include the scenario where the number of Data
Errors discovered after transmission to Post Office TIP exceeds 20 within the
relevant Data Error Counting Period. (CS/SER/o17 “Data Errors / Not Data
Errors - Contractual Definitions” para 3.6.6.2)
e Where a System Incident has been raised and the cause is unknown.
Problem management expands the scope of the incident management process
described in this document to include any wider issues, which must be dealt
with in order to rectify problems and to ensure that the associated Business and
/ or System Incidents are not repeated.
A System Incident is generated by Fujitsu Services to ensure the relevant code
or fix etc. is developed, tested and delivered to the live estate. However,
resolution of problems which arise as a result of that System Incident will cover
any additional requirements of both parties e.g. Counter News updates,
briefings etc. and in many cases the authority from Post Office to proceed with
a relevant fix.
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4.8 Appendix 1: ‘System Incident Log
System Incident References Associated Business 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 Fujitsu Services
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: Business Ruley for Data Errory & Not Data Errory
Data Errors Discovered Before Transmission to Post Office / TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CS/SER/ I Original I Original I the Data I the Data I (Subject I Limit) Corrected I Explain Fujitsu
017) Record Record Error Error if I to 50 Record Correctio I Services(
Post Limit) n Amt. Per
Office MER)
Agree Note 3
Transaction Error 3.651 I ¥ v v v N/A
Transaction Error - MER I 3.6.5.4 v Note1 v ¥ £100
option
Inaccurate Cash Account I 3.6.5.2 v v v v N/A
(Data Error) - Corrected (a)
Inaccurate Cash Account I 3.6.5.2 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 ¥ Note1 v v £100
MER Option
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Note 1: Fujitsu Services will usually retain the original record but is not obliged to do so if a MER is issued.
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Data Errors Discovered After Transmission to Post Office TIP
Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct MER MER (No I Send Report - I Charge to
CS/SER/ I Original I Original I the Data I the Data I (Subject I Limit) Corrected I Explain Fujitsu
017) Record Record Error Error if I to 50 Record Correctio I Services
Post Limit) n (Amt. Per
Office 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 v £150
Corrected (b)
Inaccurate Cash Account I 3.6.5.2 N/A N/A v v v N/A
(Data Error) - Corrected (a)
Inaccurate Cash Account I 3.6.5.2 N/A N/A v 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 ‘so limit’ only applies if the Data Error is discovered after transmission to Post Office TIP, but before the conclusion of the
Data Error Counting Period. If discovered after the end of the Data Error Counting Period, the ‘50 limit’ does not apply in respect of
MERs required to be issued, (see CS/SER/017 “Data Errors / Not Data Errors - Contractual Definitions” para 3.6.6.3)
Note 3: Instead of retaining and repairing Data Errors, Fujitsu Services is entitled to issue MERs for up to a total of 50 Data Errors (or
such higher limit as the parties may agree) relating to any Data Error Counting Period.
For the purposes of this ‘50 limit’, a Data Error relates to a Data Error Counting Period if;
a) it 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. (CS/SER/o17
“Data Errors / Not Data Errors - Contractual Definitions” paras 3.6.1.2 & 3.6.1.3). Fujitsu Services and Post Office may agree that the
‘So limit’ may be increased if felt operationally viable.
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Not Data Errors Discovered Before or After Transmission to Post Office TIP
‘Action by Pathway
Data Error Criteria Para (in I Retain Transmit I Correct Correct BIMS To the extent that is reasonable, I Charge to
CS/SER/ I Original I Original I the Data/I the Data I Report Fujitsu Services to assist Post Fujitsu
017) Record Record Error Error _ if I (No MER) Office Services
Post (Amt. Per
Office MER)
Agree
Not Data Error 3.6.7 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 I» MANUAL ERROR REPORT: Y/N
20 Fields available for insertion of Transaction or Cash Account detail in
content and format agreed with Post Office TIP.
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