Fujitsu Services
FUJ00079885
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APS Reconciliation & Incident Management Ref: CS/PRO/128
Version: 3.0
COMMERCIAL IN CONFIDENCE Date: 19/12/2002
Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Contributors:
Reviewed By:
Comments By:
Comments To:
Distribution:
APS Reconciliation & Incident Management
Procedure
N/A
This document outlines the end-to-end reconciliation and incident
management procedures required to investigate, report and
resolve, APS reconciliation and business incidents.
Approved
Richard Brunskill: Fujitsu Services Pathway
Fujitsu Services: Jez Murray, John Moran, Michael King, Post
Office: Dave Salt, Glenys Latham
Fujitsu Services: Richard Brunskill
Post Office: Liz Tuddenham
15/12/02
Originator
PVCS
Reviewers
© 2002 Fujitsu Services
COMMERCIAL IN CONFIDENCE, Page 1 of I
Fujitsu Services APS Reconciliation & Incident Management Ref: CS/PRO/128
Version: 3.0
COMMERCIAL IN CONFIDENCE Date: 19/12/2002
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0.0 Document Control
0.1 Document History
\Version No. Date [Reason for Issue (Associated
(CP/PinICL
0.1 7/02/01 Initial Draft IN/A
(0.2 1/05/01 [Second draft incorporating comments /A
(0.3 23/05/01 [Third draft incorporating Post Office comments IN/A
1.0 2/07/01 IFor approval
2.0 4/12/02 [Updated version following contract renewal &I
inclusion within Schedule 19
3.0 19/12/02 IUpdated for Contract Amendment
0.2 Approval Authorities
lame
Position Signature iDate
Richard Brunskill
Fujitsu Services
Infrastructure Services
(Manager
Liz Tuddenham Post Office: Networl
‘Support: Supplier —_ and
Service PerformanceI
Manager
0.3 Associated Documents
Reference \Version [Date [Title Source
1. CS/QMS/002 1.0 12/01/01 ICL CS Process Manual IPVCS
2. CS/PRO/099 11 31/03/00 [Reporting on Non Polled Post [PVCS
Offices
3. CS/PRO/I11 2.0 (04/12/02 [TPS Reconciliation & Incident [PVCS
Management
4. CS/TEM/022 1.0 26/01/01 [Daily End-to-End APS [PVCS
[Reconciliation Template
5. CS/SER/017 1 (04/12/02 [Data Error / Not Data Error — [PVCS
[Definitions
6. AP/IFS/048 4.0 10/04/00 IAPS Host Operational IPVCS
©
2002 Fujitsu Services
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[Reconciliation Reports for CSR+
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0.4 Abbreviations/Definitions
IAbbreviation. Definition
IAPS Automated Payment Service
IBIMS [Business Incident Management Service
IBSM Business Service Management ( AP Service Provision Team — Post
Office ™)
(CTS Client Transmission Summary
IEPOSS Electronic Point of Sale Service
HAPS [Host Automated Payment System
IHSH [Horizon Systems Helpdesk
MER (Manual Error Report
MSU Fujitsu Services Management Support Unit
Post Office ™ Post Office
IPVCS Fujitsu Services Pathway document management system
SIL System Incident Log
SSC System Support Centre
(TIP (Transaction Information Processing Post Office ™
TP (Transaction Processing Post Office ™
(TPS (Transaction Processing Service
0.5 Changes in this Version
\Version Changes
2.0 [References to the Codified Agreement Schedule G01 Section 3.6, no
deleted and replaced with the CCD entitled: CS/SER/017 ‘Data Error
ot Data Error — Definitions; which has been issued to preserve the
definitions quoted in Schedule G01 section 3.6.
3.0 (Updated for Contract Amendment — references to Schedule GOI have
been removed and minor typos corrected
0.6 Changes Expected
(Changes
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Version: 3.0
COMMERCIAL IN CONFIDENCE Date: 19/12/2002
0.7 Table of Contents
1.0 INTRODUCTION...
2.0 SCOPE....
3.0 APS RECONCILIATION REPORTS.
3.1 REPORTS AVAILABLE TO POST OFFICE FROM FUJITSU SERVI
3.1.1 APSS2133— APS Daily Account Balancing Report
3.1.2 APSS2133b — The APS Client Summary Report.
3.1.3. APSS2133c — The APS Delayed Transaction Report
3.1.4. APSS2136 — The Daily TPS / APS Transaction Summary Reconciliation Report.
3.1.5 APSS2139 - The Daily APS Office Harvesting Report...
3.2. DELIVERY TIMESCALE & MECHANISM FROM FUJITSU SERVICES TO POST OFFICE.
4.0 END-TO-END APS RECONCILIATION...
4.1 DAILY END-TO-END APS RECONCILIATION REPORT .....:.:...::ssssssssssssssssssssssennssstesnseeeenss
4.1.1 End-to-End APS Reconciliation Report - APSS2141
End-to-End APS Reconciliation Summa
an Data Delivery Timescale & Mechanism
4.1.3.1 Delivery Mechanism...
5.0 RECONCILIATION & INCIDENT HANDLING.
5.1 INCIDENT CLASSIFICATION.
5.1.1 APS Business Incidents
5.1.2 System Incidents... . z z
5.2. APS BUSINESS INCIDENT ORIGINATORS. 16
5.3 GENERATION OF BUSINESS INCIDENTS
5.4 APS BUSINESS INCIDENTS........
11
5.4.1 APS Reconciliation Report Errors.. 17
5. End-to-End APS Reconciliation Errors. 17
5, Delayed Transactions...
5.5 INCIDENT REPORTING.
5.5.1 BIMS Reports / MER...
5.5.1.1 Format & content of BIMS report / ME)
5.5.1.2 Clearance & Closure Criteria.
5.5.1.3 Report Distribution.
System Incident Log.
Reporting Timescales.
Widespread Errors.
5.5.5 Repairing Data..
6.0 CLIENT MIGRATION...
6.1 VARIABLE FILE TRANSFER.
6.2. RECONCILIATION IN THE EVENT OF NON DELIVERY OF THE CTS TO Post OFFIC!
6.2.1 Clerical Reconciliation Example in the event of non delivery of CTS to Post Office.
6.3. IMPACT OF CLIENT MIGRATION ON THE RECONCILIATION PROCESS...
7.0 APPENDIX.........
1 - BIMS REPORT EXAMPLE. 24
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2.0 Introduction
The Automated Payment Service (APS) report set produced by Fujitsu Services
central systems and the End-to-End APS reconciliation prepared by Fujitsu Services
Management Support Unit (MSU), have been designed to enable APS transactions
completed in the outlets to be reconciled to the outlet Cash Account and settlement to
be made with Post Office clients.
Fujitsu Services central systems will produce a daily suite of reports, (see section 3 for
a full description of each report), which reconciles those values harvested by both the
Transaction Processing Service (TPS) and APS _ harvesters. End-to-End APS
reconciliation will be completed by Fujitsu Services / MSU to provide a view from
harvesting, through to Post Office / Transaction Information Processing (TIP)
processing and Post Office client settlement.
In addition to those errors discovered by Fujitsu Services within either the APS report
set or the End-to-End APS reconciliation, others may be discovered by Post Office
when reconciling data within it’s central systems or relating to queries from Post
Office clients. To initiate the Business Incident Management Service (BIMS) process,
Fujitsu Services or Post Office generate APS Business Incidents for one or more errors
discovered.
The incident management process is generic for both Electronic Point of Sale Service
(EPOSS) and APS incidents in the way that APS Business Incidents are raised,
documented and progressed. It should be noted however, that where an APS incident
DOES NOT affect client settlement or reconciliation within TIP, the provisions
quoted within the CCD entitled: CS/SER/0I7 ‘Data Error / Not Data Error —
Definitions; in respect of charges levied for Manual Error Reports (MER), DO NOT
apply. Definition and charges for TPS related errors, subject to the provisions quoted
within the CCD entitled: CS/SER/017 ‘Data Error / Not Data Error — Definitions;
where the incident has caused a reconciliation or settlement error within TIP are found
in associated Fujitsu Services CCD entitled: ‘CS/PRO/I11: TPS Reconciliation &
Incident Management’
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3.0 Scope
This document sets out the reconciliation and incident management procedures to be
adopted by Fujitsu Services / MSU for dealing with APS reconciliation report
distribution to Post Office, End-to-End APS reconciliation and with any associated
APS Business Incidents which may arise, including:
APS reconciliation report differences
End-to-End APS reconciliation differences
Delayed transactions
Software faults affecting reconciliation and settlement
Post Office client enquiries
TPS Output file delivery failures
eoeeee
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4.0
4.1
4.1.1
APS Reconciliation Reports
Reports Available to Post Office from Fujitsu Services
Central Systems
APSS2133 — APS Daily Account Balancing Report
Opening Balance — This figure identifies the APS delayed transactions that were
not cleared from the previous day. This figure should be identical to the closing
balance from the previous day’s APSS2133 report.
Pathway Harvested Transactions — This figure should be identical for both TPS
and APS harvesters and reflects the APS transactions harvested from the outlets.
Transactions Received from HAPS — This figure identifies all transactions
received by Fujitsu Services FROM Post Office / HAPS in relation to outlets who
have not yet been migrated to the Horizon system, where transactions have been
made using pre-Horizon system processes.
Receipt Sub total — This figure should equal the Opening Balance + APS
Pathway Harvested Transactions + Transactions Received From Host
Automated Payment System (HAPS) and equates to all transactions available for
delivery today.
APS Transactions Delivered to HAPS — This figure identifies those transactions
delivered to Post Office / HAPS
APS Transactions Delivered to Clients — This figure identifies those transactions
delivered direct to Post Office / Clients
APS Transactions Delivered To Manual — This figure identifies those APS
transactions which have been harvested by the APS harvester but have not been
delivered to HAPS / Clients via the electronic stream and which Post Office will
need to advise / adjust with the client manually. Notification will be made to Post
Office via the BIMS process. Refer to APSS2133c — The APS Delayed
Transaction Report.
APS Transactions delivered to TIP — This figure should be equal to TPS
Pathway Harvested Transactions.
Delivery Sub Total — This figure should equal APS Transactions delivered to
HAPS + APS Transactions Delivered To Clients + APS Transactions Delivered To
Manual.
. Delayed APS Transactions — This figure identifies APS delayed transactions not
yet cleared. This figure should be identical to the opening balance on the next day’s
APSS2133 report
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4.1.2
4.1.3
4.1.4
11. Reconciliation Error — This figure should always be zero. If this is not the case
this will form the basis of an APS Business Incident and will be investigated via
the BIMS process.
APSS2133b — The APS Client Summary Report
This report is a sub-set of line 5 and 6 on report APSS2133. It identifies by client ID,
all APS transactions that are available to be delivered to clients. NB: This report
identifies those transactions that have been harvested on this date irrespective of the
delivery requirements of the specific client. It therefore does NOT equal the electronic
Client Transaction Summary (CTS).
APSS2133c — The APS Delayed Transaction Report
. This report is a breakdown of all Delayed APS Transactions. The grand total is
equal to the Delayed APS Transactions, line 10 on report APSS2133.
. Delayed transactions may be carried over on the report until they are resent or
manually advised via the BIMS process — this involves an interaction by Fujitsu
Services using the APS Workstation. Any transactions that have been resent will
appear as part of the APS Transactions delivered to HAPS / Clients, lines 5 or 6 of
report APSS2133. Any transactions that have been manually advised will appear
as part of the APS Transactions Delivered to Manual, line 7 of report APS2133.
APSS2136 - The Daily TPS / APS Transaction Summary
Reconciliation Report
. This is a 30-day rolling report, whereby if any transactions appear on this report
they can remain for up to thirty days.
. There are two difference categories described within this report:
Difference ‘1’:
Shows any difference between transactions input at the outlet counter system and
those delivered to Post Office / TIP or Post Office HAPS / Client. This difference
can be accounted for with transactions which were not harvested by the TPS
harvesters and not delivered to Post Office / TIP, or by the APS harvesters and not
delivered to Post Office HAPS / Clients.
Difference ‘2’
Shows any difference in what was delivered by Fujitsu Services to Post Office TIP
and what was delivered by Fujitsu Services to Post Office HAPS or Clients. This
difference is always calculated as Post Office TIP less Post Office HAPS / Clients.
If the Post Office TIP figure is lower than the Post Office HAPS / Client figure,
(through harvester mismatches or harvester exceptions) the difference will be
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shown as a ‘NEGATIVE’. If the Post Office HAPS / Client figure is lower than the
Post Office TIP figure, the difference will be shown as ‘POSTIVE’.
If there are no mis-balances on this report between difference ‘1’ and difference ‘2’
then no data will be shown for that transaction date.
4.1.5 APSS2139 — The Daily APS Office Harvesting Report
This report shows the number of outlets harvested and any outlets not harvested. In
principle it is very similar to the Non Polled offices Report. (See CS/PRO/099
Reporting on Non Polled Post Offices). However, where that report shows the number
of days since the office last polled this report shows the number of working days since
the office last harvested. It therefore does not include Sundays or any other day that
the outlet was not trading. The most important check with this report is to establish
that all the offices that appear are also on the Non-polled report. NB: This report also
lists those outlets which have been closed.
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Version: 2.0
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4.2
Delivery Timescale & Mechanism from Fujitsu Services to
PON
The following reports are sent daily to Post Office / TP and Post Office / HAPS:
1. APSS2133 — The APS Daily Account Balancing Report
APSS2133b — The APS Client Summary Report
APSS2133c — The APS Delayed Transaction Report
APSS2136 — The Daily TPS / APS Transaction Reconciliation Summary Report
APSS2139 — The Daily APS Office Harvesting Report
APSS2141 - The End to End APS Reconciliation Report (PON / TP only)
ve en
a
Where Fujitsu Services is able to do so, as governed by e-mail availability, all reports
will be made available to Post Office by 08.00hrs daily, on a Monday to Friday basis
only. For example, on a Monday or the day after a bank holiday, reports will be
delivered for all days having occurred since the delivery of the last set of reports.
Reports are initially sent to Post Office using the Fujitsu Services account within the
Post Office corporate mail system. Should the Post Office corporate mail system be
unavailable to Fujitsu Services, then Fujitsu Services Corporate mail is used as an
alternative. NB: Due to the size of these reports, e.g. APSS2133b is often in excess of
100 pages, Fujitsu Services are unable to resort to facsimile transmission should the
corporate e mail service of either organisation be unavailable except in situations
where any failure is deemed to be long term. In such cases, the Manager Fujitsu
Services /MSU will liaise with the Manager Post Office / TP & Post Office / Outlet
Systems Group (BSM) to agree a contingency distribution.
The distribution list is considered by both Fujitsu Services and Post Office to be of a
dynamic nature and therefore specific addressees are not covered within this
document.
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5.0 End-to-End APS Reconciliation
5.1
Daily End-to-End APS Reconciliation Report
The End-to-End APS reconciliation has been developed to reconcile all areas within
the APS transaction process. The system derived report set produced by Fujitsu
Services, serves only to identify and reconcile the values harvested by the TPS and
APS harvesters. There is no guarantee that those transactions, which were harvested,
will be processed by Post Office / TIP or Post Office client within the reconciliation
timescale identified within these reports. This is due to a variety of reasons, for
example, TIP rejections at transmission file level, delayed transactions, software errors
causing transaction errors after harvesting. The APS stream sent directly to HAPS or
the Post Office clients is not expected to cause any problems with regard to file
rejection.
The End-to-End APS reconciliation has been developed jointly between Fujitsu
Services and Post Office to ensure that a reconciliation is provided from harvesting
through to processing at Post Office / TIP and the eventual Post Office client
settlement. In other words:
« Harvested transactions for APS and TPS are reconciled
e TPS harvested transactions are reconciled against transactions processed by Post
Office / TIP — taking into account file rejection and data repair / resends etc.
e APS harvested transactions are reconciled against transactions sent to HAPS and
directly to Post Office clients.
In order to maintain an effective and timely End-to-End APS reconciliation, Fujitsu
Services are required to provide, in addition to the system derived APS reconciliation
report set, APS transaction detail in respect of transmission and sub files rejected by
Post Office / TIP. A variety of queries have been developed within Fujitsu Services to
identify the APS content of any files subsequently rejected and to track the re-send and
repair process completed to ensure that these transactions are correctly accounted for.
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5.1.1 End-to-End APS Reconciliation Report — APSS2141
Once all transaction rejections have been accounted for, Fujitsu Services will prepare
the daily End-to-End APS reconciliation report and forward this to Post Office TIP /
TP. This reconciliation is completed in accordance with the following rules:
No Value No ‘alue
Section 1: APS Harvested / TPS Harvested
1. Transactions harvested by APS From APSS2133
2. Transactions harvested by TPS From APSS2133
3. APS transactions not harvested by TPS harvester _(*) Line 1 — Line 2
4. APS transactions not harvested by APS harvester (*)_I Line 2—Line 1
5. APS transactions harvested by TPS today but Previous days
harvested by APS on: dd/mm/yyyy report(s) Line 3
entries
6. APS transactions harvested by APS today but Previous days
harvested by TPS on: dd/mm/yyyy report(s) Line 4
entries
7, TOTAL No Value No Value
8. Difference
Section 2: TIP Processed / TPS Harvested
9. Transactions harvested by TPS From APSS2133
10. TIP rejections received today Calculated by Fujitsu
Services
11. TIP rejections returned today Calculated by Fujitsu
Services
12. Transactions processed by TIP Calculated by TIP.
13. Transactions disregarded by TIP (*) Calculated by Fujitsu
Services
14. Transactions processed by TIP with incorrect
Calculated by Fujitsu
accounting sense _(*) Services
15. Transactions processed by TIP delivered on: Calculated by Fujitsu
dd/mm/yyyy Services — TIP
16. TOTAL NO Value No Value
17. Difference
Section 3: APS Harvested / APS Processed
18. B/Fwd: Delayed transactions not processed From APSS$2133
19. Transactions harvested by APS
From APSS2133
20. Transactions delivered to HAPS
From APSS2133
21. Transactions delivered to Clients
From APSS2133
22. Delayed transactions delivered to manual
From APSS2133
23. C/Fwd: Delayed transactions not processed
From APSS2133
24. TOTAL
No.
Value _I No Value
25 Difference
Note:
(*) Entries on these lines will generate a BIMS report.
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Version: 2.0
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5.1.2
End-to-End APS Reconciliation Summary
In addition to the End-to-End APS reconciliation report, Fujitsu Services will provide
an ongoing daily summary showing the reconciliation status for each day, i.e. whether
or not the day reconciles in respect of Post Office / TIP processing.
Date Difference in I Difference in I Reconciliation Explanation of Difference
Transaction Transaction State
Count Value
Y/N
01/02/01 0 £0.00 Y N/A
02/02/01 50 £500.00 N Transactions not rejected
Data Delivery Timescale & Mechanism
In order to reconcile the TPS harvested transactions to those transactions processed by
Post Office / TIP, Post Office / TIP will provide the volume and value of transactions
processed for each day. This figure will relate to those transactions received and
processed and will ignore any specific transaction dates. If the TIP derived figures are
unavailable within the timescale defined below, Fujitsu Services will delay the
completion of APSS2141 until the final TIP processed figures are available.
To complete the End-to-End APS reconciliation, it is important that data is received
and input into the spreadsheet in accordance with the following timescales:
Deliverable Timescale Responsibility
IAPS system derived Harvesting day + Fujitsu Services
reports (base data) ONE
[TIP Processed figure for {Harvesting day + THREE Post Office / TIP
IAPS transactions
IAPS content of TIP IHarvesting day + THREE Fujitsu Services
rejected files
IAPS content of resent Harvesting day + THREE IFujitsu Services
rejections
IEnd-to-End APS Harvesting day + FOUR [Fujitsu Services
reconciliation report
lavailable to Post Office
In the event that a reconciliation cannot be achieved by close of business on harvesting
day + 4, the appropriate misbalance will be shown as a difference at line 19 of
APS2141
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5.1.3.1 Delivery Mechanism
Information flows between Fujitsu Services and Post Office / TIP will conform to the
following:
e TIP processing information will be delivered to Fujitsu Services via e-mail
e The End-to-End APS Reconciliation report and the End-to-End APS reconciliation
summary will be delivered to Post Office / TIP via Post Office corporate e-mail
(Fujitsu Services account). If this is not available, standard e-mail between the two
organisations will be used as a contingency.
6.0 Reconciliation & Incident Handling
6.1 Incident Classification
6.1.1 APS Business Incidents
Relate to the ‘Symptom’ of an underlying cause ~ e.g. the effect of the system fault on
the resulting reconciliation or settlement information sent to PON.
An APS Business Incident relates to one or more of the errors reported within the APS
Report Set, the End-to-End APS reconciliation (section 4.0) or one or more of the
reconciliation or settlement errors raised in accordance with this document by Post
Office / TIP or TP. Refer to section 5.4 for a list of those APS Business Incident
categories currently known and for which appropriate APS Business Incident reporting
processes are set out in this document.
6.1.2 System Incidents
Relate to the underlying ‘Cause’
System Incidents may be raised by Fujitsu Services to cover file rejections, non-
delivery of files, or failures in the delivery of the APS Report Set, where there is no
associated APS Business Incident. In addition, following the creation of an APS
Business Incident, Fujitsu Services may raise an associated System Incident. System
Incidents will be routed to the appropriate group within Fujitsu Services, for
investigation and resolution.
Where there are associated System Incidents and APS Business Incidents, their
relationship can be either:
one to one; or
* one to many, respectively.
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6.2
6.3
APS Business Incident Originators
It is envisaged that APS 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 APS Report Set & End-to-End
APS reconciliation
© Post Office TIP / TP / Outlet Systems Group (BSM) for any other reconciliation or
settlement error discovered by Post Office that has not been reported by Fujitsu
Services
© Fujitsu Services / System 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 Horizon System
Helpdesk (HSH) will not generate APS Business Incidents. However calls from outlets
will be monitored and if it is considered necessary by Fujitsu Services, difficulties
reported to the HSH will be elevated to APS Business Incident status.
Generation of Business Incidents
In line with the generic incident management policy agreed between Fujitsu Services
and Post Office, APS 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
APS Business Incident is properly logged, enabling Fujitsu Services / MSU to ensure
that corrective information can be supplied and any underlying system fault can be
rectified.
It is important that Post Office TIP / TP / BSM supply sufficient information to the
HSH when generating an APS Business Incident to ensure the timescales for the
resolution of APS Business Incidents referred to in section 5.4 can be achieved.
Achievement of such timescales is dependent upon the following information being
provided by Post Office TIP / TP / BSM when generating an APS Business Incident
via the HSH:
e A valid ‘PATH’ code must be quoted, e.g. ‘PATH040” etc.
© Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
e The valid incident category (see section 5.4), if one is applicable, should be quoted
together with any other relevant detail, e.g. product Id, Cash Account lines etc.
NB: Where Post Office TIP / TP / BSM raise an APS Business Incident which may
require a large amount of supporting information, summary detail only may be given to
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6.4
6.4.1
6.4.2
6.4.3
the HSH and the additional information sent via e-mail to Fujitsu Services / MSU. (A
current contact list will be made available to Post Office).
APS Business Incidents
APS Reconciliation Report Errors
Reconciliation errors within the APS reconciliation report set should be few and far
between and, if they do occur, will be applicable to:
e APS/ TPS harvesters running out of sync
e Software errors causing transactions not be harvested
* Unidentified differences classed as ‘Reconciliation Errors’ within APSS2133
Where such differences occur, a BIMS report will be raised for each incident and
referenced against the appropriate line within section I of APSS2141
End-to-End APS Reconciliation Errors
Reconciliation errors may occur when reconciling the TPS harvested transactions
against those transactions received and processed by Post Office / TIP.
If, after accounting for all rejected and resent transactions, section 2 of APSS2141 fails
to provided a zero difference, the process of resolution should be as follows:
e Issue an initial BIMS for the difference requesting Post Office / TIP verify the
rejected, resent and processed figures supplied for the day in question. NB: This
may be difficult if the rejection rate is particularly high on a given day and where
there is in excess of 10 affected transmission files, Fujitsu Services MSU manager
and Post Office / TIP manager will discuss how to resolve the difference.
e Ifafter verification, these figures prove to be correct, Fujitsu Services / MSU will
raise a System Incident to investigate any possible software errors or transaction
discrepancies in the delivered total to Post Office / TIP. This will be tracked via the
BIMS and System Incident Log (SIL) process.
e If after verification, corrections are required to the report, version 2 of APS2141
will be issued by Fujitsu Services MSU.
Delayed Transactions
Where transactions have been harvested by the APS harvester and have failed to be
delivered to either HAPS or Post Office clients, they are referred to as Delayed
Transactions. In normal circumstances, these transactions will be input by Fujitsu
Services into the APS data file via the APS secure workstation and will be received by
Post Office client, 24 hours later. There may be occasions when transactions cannot be
sent via the data file process and have to be delivered to ‘Manual’. In such cases, full
detail of the transaction is supplied via the BIMS MER route which is NOT chargeable
under the provisions of CS/SER/017 “Data Error / Not Data Error — Definitions” as
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6.5
6.5.1
6.5.1.1
6.5.1.2
the incident refers only to the APS transaction stream and does not affect Post Office /
TIP.
These transactions are highlighted within section 3 of the End-to-End APS
reconciliation — APSS2141.
Incident Reporting
BIMS Reports / MER
BIMS has been designed to report the progress to resolution of an APS 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 Post Office HSH call, BIMS Report references
will mimic the HSH reference. However they will be prefixed with a letter ‘B’, e.g.
HSH ref.: E9912120011 = BIMS ref.: BE9912120011.
Format & content of BIMS report / MER
A BIMS Report will be issued for each APS 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 APS Business Incident where it is necessary to do so to
advising Post Office / TP of the transaction detail required to enable reconciliation or
settlement to take place.
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. 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 SIL. Where a System Incident is generated to eradicate the cause of a
particular problem, and there are one or more associated APS Business Incidents,
cross-references will be supplied on the APS Business Incident BIMS Report / MER
to allow tracking of the System Incident.
Clearance & Closure Criteria
Fujitsu Services anticipates that it will provide information concerning APS 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’ when Fujitsu Services has provided the information
required to be contained in the relevant BIMS Report as set out in section 5.5.1.1. The
BIMS Report is then closed following agreement between Post Office / TP and Fujitsu
Services / MSU at the monthly Incident Management Review. Such agreement is
subject only to fulfilment of the following conditions:
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6.5.3
e If there is no associated System Incident, the BIMS Report is closed subject to the
clearance criteria described above being met
e Ifthere 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 via spreadsheet on a monthly basis at the
monthly Incident Management Review of any payments it considers are payable to
Post Office (as compensation for Post Office’s costs in dealing with MER) and / or its
charges for dealing with widespread errors. For the avoidance of doubt, NO charges
are payable in respect of MER issued for APS incidents affecting the HAPS or Client
transaction stream only.
If the parties disagree whether only the HAPS / Client transaction streams are affected,
this will be initially discussed at the monthly Incident Management Review. The
specific incidents will then be escalated via a ‘Case Law Referral’ form, to the
Contract Administration Board for a final decision to be made.
Report Distribution
Fujitsu Services will distribute APS BIMS Reports / MER within Post Office using the
Post Office corporate e-mail network. In the event that this facility is temporarily
unavailable, reports will be distributed via the Fujitsu Services mail system.
BIMS Reports / MER 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, at the time of transmission by mail.
An example of a BIMS Report / MER is shown in Appendix 1.
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 APS 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.
Reporting Timescales
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6.5.4
Fujitsu Services / MSU will use reasonable endeavours to raise an initial BIMS Report
(V1.0) relating to a new APS Business Incident within 24 hours of the notification of
the incident. This will be made available in accordance with section 5.5.1.3, to the Post
Office ‘Incident Manager, Transaction Processing’, on the same working day as the
APS Business Incident is generated via the HSH, or in any event on the morning of the
next working day. In the event of the APS Report Set not being available to Fujitsu
Services in time to enable any errors to be notified within this timescale, 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 5.1.and is cleared within
five working days from the date the APS Business Incident was generated via the
HSH.
Where there is a need to correct APS / TPS Data Errors, (see CS/PRO/I11 TPS
Reconciliation & Incident Management, for a full description), Fujitsu Services will
use reasonable endeavours to deliver the corrected data file to Post Office TIP within
five working days from the date the APS 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.
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, 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 & Post Office / Network Support at the end of each week. Post Office may
telephone Fujitsu Services / MSU at any time to receive an update as to the status of
any System Incident documented on the SIL.
Widespread Errors
Fujitsu Services will monitor ‘trigger points’, for example HSH calls and the APS
Report set, which can alert of any likely potential or actual ‘widespread’ errors which
may occur. This is generally agreed to be the case where at least 100 outlets are
affected with the same problem. In such a case, the incident type will be closely
monitored by Fujitsu Services until volumes are such that the incident will then be
raised as a problem and passed from Fujitsu Services into the Post Office business
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community. This is action will be taken when at least 1000 outlets are affected by the
same incident type.
Should this scenario occur, Fujitsu Services Business Continuity Manager shall
immediately notify Post Office Business Continuity Manager of the widespread error.
Upon giving such notice the provisions of this document (other than this section) shall
cease to apply to that particular widespread error. Instead, a recovery plan applicable
to the specific nature of the error will be agreed by both parties.
Repairing Data
Data repair is not viable for Post Office client stream transactions. Rejected
transactions are not expected as neither have sophisticated file / transaction validation
processes. Therefore the repair of Post Office client transactions is not discussed
within this document.
Refer to Fujitsu Services document CS/PRO/I11 TPS Reconciliation & Incident
Management for the repair criteria in relation to APS transactions affecting the TPS
transaction stream.
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7.0
7A
7.2
Client Migration
Variable File Transfer
Post Office clients have the option of taking transaction delivery from Fujitsu Services
in accordance with their own processing requirements. NB: Specific client
requirements are described elsewhere for each client — this document is not intended
to describe each in detail.
APS transactions are harvested from the outlets on a seven-day basis and all are
available for onward transmission on each day to the clients should they require it.
However, some clients only require transactions to be delivered on a five day, or one
day etc., per week basis. This has no impact upon the reconciliation between the actual
client transmission and the Client Transaction Summary (CTS).
The (CTS) accurately identifies the volume and value of the ‘normal’ transactions (not
reversed / reversing transactions) that have been delivered to the clients on a particular
day in accordance with their specific requirements. It is important to note that the
transactions actually delivered to Post Office clients as recorded on the CTS will differ
from the value shown on APSS2133 within the Delivery Sub Total (9). This figure
represents the values harvested from the outlets, which may, or may not yet have been
delivered to Post Office clients in accordance with their requirements.
Reconciliation in the event of non delivery of the CTS to
Post Office
Post Office / TP use the CTS as the basis for settlement with migrated clients. In the
unlikely event that Fujitsu Services fails to deliver the CTS file to Post Office or Post
Office reject the file, Post Office / TP will need to use the APSS2133b to manually
calculate settlements due. The CTS only reports normal transactions whereas the
APSS2133b includes reversed / reversing transactions. Consequently Post Office / TP
can only use the APSS2133b to calculate the value (not the volume) of the settlements
due.
Settlement is time critical and Fujitsu Services will ensure all the relevant system
derived APS reconciliation reports are delivered on time to ensure that settlement can
be made between Post Office and it’s clients. In order to satisfy this requirement,
Fujitsu Services elected to make all reconciliation reports available by 08.00hrs as
stated in section 3.2, on a daily basis.
NB: Fujitsu Services is currently reviewing CTS reporting.
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7.3
Clerical Reconciliation Example in the event of non delivery of
CTS to Post Office
When using the APSS2133b report to calculate settlements due, Post Office / TP will
need to take account of the individual clients file delivery pattern and settlement
frequency, e.g. for clients who have elected to take five day delivery - Monday to
Friday the Monday delivery will include transactions harvested on the Friday /
Saturday and Sunday. For clients who have elected to take six day delivery - Monday
to Saturday, the Monday delivery will include transactions harvested on the Saturday
and Sunday.
Impact of Client Migration on the Reconciliation Process
It is not expected that client migration will have any adverse impact upon the
established reconciliation processes now being employed by Fujitsu Services.
However, the delivery of the CTS to Post Office is vital if settlement between Post
Office and it’s clients is to take place on a timely basis. Where this is not possible,
contingency procedures are being developed to use the APS reports; APSS2133 and
APSS2133b to provide a manual reconciliation to enable settlement to take place. This
process has been described within section 6.2.1 above.
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8.0 Appendix
1 - BIMS Report Example
BIMS Reference BE/0102010894 Final Update
Incident Type: 2 APS Version: 3 Last Updated: 060201 16:1559
Incident Class: 0044 Transaction(s) polled by TIP but not by HAPS
Originator; — PW-MSU Transaction Date: 31-Jan01 CAP: 4600 FAD:
Status: O Open Exception Value: 835.28
Other References Transaction Liability I
PinICL Reference: Provisional: Final:
Incident Xref: Settement Details
TIP/TP/OSG Ref: Transaction Settlement
System Inc References Settled Amount:
HSH: Invoice Number:
PinICL: Invoice Date:
Manual Error Report
Incident History Chargeable Errors:
Date Received: 04-Feb-04 MER Set Amt:
Date Cleared: 02-Feb-01 MER Iny No:
Date Closed: MER Iny Date:
Actions
Actions: Date & Time 01/02/01 13:28:47 Action Type I Desoribe Incident Analyst I Mke King
‘The APS Daily Account Balancing Repott 2133 for processing date 31/01/01 shows 54 delayed
transactions that have nat been deliveredto HAPS. Of these there are 26 which are being investigated
under BE/0101230757, BE0101261621, BE0101290754.& BEN101310689. There are also 23 new
‘tans from FADs 152405 & 282226 and carythe error message Digtal Signature Failiure.
Please see attached spreadsheet £-0101310680 for details of value, volume, client and tem ID_
Actions: Date & Time 02/02/01 11:54:09 Action Type —_ Clear Incident Analyst Mike King
These transactions were successfully resent on01/02/01. PON needs to take no further action with
regard tothesetxns. This was cause by difficulties in migrating APS software on some countersat these
FADsto Ci4, 162405 & 282226 require swapping of base unts which will be carried out this week.
Once this done there should be no further reoocuranee.
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