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Audit of the Horizow System Ref: IA/REP/o22
Version: 1.0
HelpDesk Date: 28/04/00
Document Title:
Document Type:
Audit of the Horizon System HelpDesk
Report
Abstract: This report documents the outcome of an internal audit of
the delivery of the Horizon System Help desk by OSD and
the management of that delivery by Customer Services,
ICL Pathway.
Status: APPROVED
Distribution: M. Coombs M. Stares
M. Bennett S. Muchow
P. Westfield D. Fletcher
D. Groom
Library
Author: J. Holmes
Comments to: J. Holmes
Comments by:
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© 2000 ICL Pathway Ltd
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IcL Audit of the Horizon System Refi IA/REP/o22
Version: 1.0
Pathway HelpDesk Date: 28/04/00
O Document comtrot
O.1 Document history
Version I Date Reason
on 10/04/00 First internal draft for comments
O2 17/04/00 _I Minor re-drafting
1.0 28/04/00 _ I Raised to issue following review by D. Fletcher.
0.2 Approvel authoriticy
Name Position Signature Date
M. Bennett Director Quality & Risk
0.3 Associated documenty
Reference Vers IDate Title Source
0.4 Abbreviations
Acronym I Meaning
HSH Horizon System HelpDesk
OSD Operational Services Division
NBSC (POCL) National Business Support Centre
POCL Post Office Counters Limited
cs Customer Services
NRO National Roll Out
SLA Service Level Agreement
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O.5 Table of content
UMtrOMUCTION .....esceescesseeseeeseessessesseesseeseessecseesssssessecsseessesueesessessseesessseesessnsasecseeeeeses
Scope & CONMUCE oo. cceccssesceecsesesseseseeesseseseessesessessseeaesseseseeeeseseseeseeneee
3Management Summary
3.1Background to the Audi
3.2Overall Opinion .
3.3The Wednesday Peak
4Detailed Observations...
4AAPPLOACH. 0... eeceessesesssessecseesseeseessessecsncssecsecsseesessesssessesseeseesnessecsesssesseeseeeseses
4.2Planning for Service Delivery .......:.ssssssesscsseseesssssesseeseeseessessessessnesnenseeneesse
4-3HSH Requirements .......cccccccecsseesesseseeesesseseesesesesseesessesssseereseeessesesseeneseeeees
4.4Contract Management........c.ccceccesseseesesesesseenestesssseenesnesesssseessssesssesseeesesees
4.5HSH Service Review.....ccccecceeseseeseesesesescseeteesesesessesesestessseseseeseesseseeeeneneeees
4.6Capacity Planning
4.7Contingency Planning .........sccessseecsseessecssecssessseessseesseesseessessseessesssesssessssee
5Annex A ~ Terms of Reference......sscsesecsesesseessesneesnssnesssesesneeaeeneesnssnesaneeeeneease
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Audit of the Horizow System Ref: IA/REP/o22
Version: 1.0
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Introductiow
The Horizon System HelpDesk (HSH) is the core enabling technology behind
the Incident Management process which was developed and is managed by
Customer Services. It is an outsourced to Operational Services Division (OSD)
who operate the service from two locations, STEo9 and MANos.
Although titled ‘Audit of Horizon System HelpDesk’ the audit actually
concentrated on Customer Services's management of the HSH service delivered
to Post Office Counters Limited (POCL) by OSD.
The audit forms part of the planned programme of work for Pathway Internal
Audit.
Scope & Conduct
The scope of the audit was defined in formal Terms of Reference, issued on 16"
February 2000 and presented at Annex A to this report.
The work was carried out during February and March 2000 by Jan Holmes,
Audit Manager, ICL Pathway. Interviews were held with appropriate managers
within Customer Services and the opportunity was taken to visit the HSH at
MANos.
A meeting of the newly formed Help Desk Forum was also attended and POCL
NBSC Barnsley on 28'" February.
Following the interviews and visits a Control Objective Questionnaire that
addresses six key areas was completed and from that an overall assessment of
the internal controls made.
The co-operation of members of Customer Services, Brendan Nugent of OSD
and the members of POCL at the HDF meeting at Barnsley during this activity
is appreciated.
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3B Management Summary
3.1 Background to the Audit
3.1.1 This audit was conducted against the background of questions being raised
about the quality of service being provided by the Horizon System Helpdesk. In
particular, concern had been expressed about a number of specific SLA
measures, namely the answering of calls within 20 seconds (80%) and 40
seconds (99.9%), and the failure to answer a call before the caller rings off,
abandoned calls, which should not exceed 1%. Concern was expressed by
Pathway management that the day to day control of the HSH by OSD was not
satisfactory and that adequate controls had not been imposed by Pathway
Customer Services that would enable them to manager OSD’s delivery
successfully.
3.1.2 With this in mind the audit concentrated on how well Pathway Customer
Services were managing OSD’s delivery of the service, rather than just looking
at the HSH itself. This was deliberate since any recommendations made would
have to be actioned through the normal management channels, ie. Pathway
Customer Services. Six key areas were considered :
> Planning for Service Delivery
» Service Requirements
> Contract Management
> Service Review
> Capacity Planning
> Contingency Planning
3.2 Overall Opinion
3.2.1 In all the above major areas the audit found that the Horizon System Helpdesk
is being well managed by OSD at the working level, and that recent changes to
the structure of Customer Services has provided improved control over the
whole service delivery. There are a number of relatively minor issues emerging
from the audit and these are identified in Section 4 - Detailed Observations.
3.2.2. From the OSD perspective, the management of the HSH has now settled down
following a period where there had been 5 different managers in 18 months. In
addition the HSH has now been incorporated into OSD’s Productivity Centre
structure whereas previously it had been outside and standalone. The reasons
for this exclusion are not fully understood but may be down to the historical
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3.2.3
3.3
334
3.3.2
PFI structure associated with Pathway. The position regarding two sites has
been resolved with both STEog and MANos operating in parallel as opposed to
original concept of primary and secondary site. This makes for easier work
transfer between sites and improved resilience.
There is a well established structure of review meetings between Pathway and
OSD and between Pathway and POCL. This operates at all levels of formality
but comes together at the working level at the HelpDesk Forum (HDF). This
new group provides a welcome move away from the formal Supplier (OSD) and
Horizon Service Management Review (POCL) and enables all parties to explore
issues and improvement opportunities informally.
The Wednesday Peak
The fundamental problem facing the HSH is the weekly ‘spike’ of work on
Wednesday’s associated with Cash Accounts and Balancing. The fact that the
work load on this day is anomalous with the remainder of the working week is
providing a real challenge to OSD in balancing the need to meet SLAs while
operating within a sensible staffing model that takes account of the total call
pattern over a week, OSD are looking at ways of alleviating the problem,
especially as the key SLAs under pressure are the prime targets of this weekly
workload. Initiatives include the introduction of Interactive Voice Recognition
(IVR) although any benefits associated with introducing IVR would have to be
measured against increasing public hostility to these mechanisms.
T understand that POCL have, in the past, been resistant to the introduction of
IVR although there are circumstances when a recorded message could be useful
in dealing with a common fault. In addition a welcoming message, however
unhelpful at the time, is a means of providing inclusivity to the Post Master at the
time of need. At the moment the ‘phone is just allowed to ring until such time as
the PM gives up or is answered by a Helpdesk Agent. I recommend that the use of
IVR is actively considered and taken up with POCL.
I believe that there are gains to be made in re-positioning POCL’s National
Business Support Centre so that it operates in front of the Horizon System
Helpdesk and not in parallel. Call volume is the underlying factor with the
three key SLAs identified earlier. It would not be practicable to resource the
HSH to meet the Wednesday spike since for the remainder of the week it would
be impossible to retain the motivation and commitment of staff sitting idle. The
alternative is to reduce the call volumes such that the existing pool of HSH
resource can deal with the extra work and maintain the SLAs. One way to
achieve this would be to position the NBCS as the primary interface for Post
Masters and for them to route only those calls as are appropriate to the HSH.
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The current parallel positioning of these two call centres allows for mis-directed
calls having to be routed to the alternative centre, confusion for Post Masters
when deciding which centre to call, and time spent by Pathway, OSD and POCL
establishing complex rules for call exchange and resolving calls passed between
the centres. I recommend that this approach is actively considered by Pathway,
OSD and POCL as a means of reducing call volumes and improving response
times to Post Masters.
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4 Detailed Observations
4.1 Approocw
411 A detailed Control Objective Questionnaire was developed for this audit and
completed following interviews with key personnel and a review of prime
documents. The questionnaire was derived from the CCTA Managing Facilities
Management handbook and identified 6 key areas to be considered :
> Planning for Service Delivery
> Service Requirements
>» Contract Management
> Service Review
> Capacity Planning
> Contingency Planning
Within each area a number of specific issues are addressed aimed at identifying
internal controls, confirming their application and measuring their
effectiveness.
4.1.2. There has been continued debate around a number of key SLAs and our
continuing failure to achieve the contracted performance levels. There have
been some initiatives in this area and these were also considered during the
audit. Details can be found in Section 4.8 of the report.
4.2 Plonning for Service Delivery
Objective : To ensure that Customer Services possess the organisation, resources,
processes and procedures to provide effective management of the delivery of the
Horizon System Helpdesk to POCL by OSD.
4.21 The delivery of the HSH service to POCL by OSD is managed by the
Infrastructure Services are of ICL Pathway Customer Services. The Strategic
Services Manager is responsible for the day to day control of the OSD service
and a Service Manager has been appointed. During the audit I was shown the
text that the SSM is proposing to introduce into CS Operations Manual.
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4.2.2
4.2.5
The current organisational structure has been in place for some time and the
Strategic Services Manager since May 1999 and the formal documenting of this
part of the Infrastructure Services’s responsibilities should be completed as soon
as possible. It will be required for the forthcoming BSI certification exercise in
September.
The HSH is the enabling toolset that sits beneath the Incident Management
process (CS/PRD/o074) which is described in an undated document at Vo.1. It
identifies the Joint Service Management Framework discussed later in this
report. It also links directly into the Problem Management process
(CS/PRO/oz1) and references the HSH/NBSC Interface Agreement which is a
recent addition to the documentation structure.
As with the CS Operations Manual this document is a key element of the CS QMS
which will be required for the September BSI certification exercise. I recommend
that this document be completed, reviewed and brought to issue status as soon as
possible.
At the next level down there are two further key documents, the NR2 Horizon
System Helpdesk Processes and Procedures Description (CS/PRO/048) and the
Horizon System Helpdesk Incident Procedures (DSP/PRO/HH/o10). Both of
these documents are at issue status with the former dated 15/06/99 and the
latter 04/06/98.
Given the changes that have occurred with the HSH in the recent months it is
highly unlikely that these documents reflect the reality of day to day operation
any more. I recommend that these documents be reviewed and updated where
appropriate.
The review meetings and forums implemented by CS Infrastructure Services to
manage the HSH delivery are described in Section 4.5 - Service Review.
Service improvement targets are not explicitly set by CS for OSD insofar that
the SLAs form the performance targets to be achieved. Discussions with both
the CS Strategic Services Manager and his OSD counterpart suggest that until
recently their primary objective had been to get the HSH under control and to
start addressing the performance issues that were beginning to become
apparent to POCL through the HSRF. However, as things have settled down
OSD are actively considering ways of addressing the call pick-up and
abandoned calls that form the core of the concerns raised by POCL. This
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4.3
431
4.3.2
44
includes the consideration of an Interactive Voice Recognition system to
manage queues and potentially provide pre-recorded advice and guidance
messages on simple repetitive problems to Post Masters.
There are a number of Horizon Reference Systems available at the HSH
locations to allow agents to ‘mimic’ activities reported by the Post Masters in an
attempt to re-create a problem. The Reference Systems are distributed on a one
per bank of desks approach. I noted that where there were three agents across a
bank of desks it is impossible for the outermost agent to be able to deal with
their HSH screen and refer to the Horizon Reference System concurrently.
I understand that the provision of Horizon Reference Systems to HSH is being
reviewed. It seems obvious but unless an HSH agent can have concurrent access
to the HSH system as well as the Horizon Reference System their ability to
interact with the Post Master while attempting to re-create a problem scenario is
severely hindered. I recommend that consideration is given to supplying, at a
minimum, one Reference System between two HSH agents.
HSH Requtrementy
Objective : To ensure that POCL’s requirements for the HSH have been identified,
quantified, documented, understood and are subject to periodic review.
Schedule A15 forms the basis of the service requirements while Schedule Gig
covers the performance requirements. These are consolidated into a single
Business Portfolio document for the HSH (CS/PER/o03) and it is this that
details the SLAs against which the HSH service is measured by the Horizon
Service Management Review. The service itself was subject to formal acceptance
under the contract and while the service characteristics were considered to be
satisfactory the performance was not so and this resulted in Acceptance
Incident 408 being raised.
Changes to the service and performance characteristics can be introduced
through the existing change control procedures and the HDF responsibilities
identified in the Interface Agreement imply that this Forum is likely to be
where most changes are identified and initiated.
Contract Management
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4.44
4.43
4.44
45
451
Objective : To ensure that appropriate levels of control are exercised over the
contractual arrangements between OSD and CS and between CS and POCL.
There is a single Agreement in place between Pathway and OSD (CFM as was)
that covers the totality of services provided by that organisation either to us
directly or to POCL on our behalf. The Agreement has a number of discrete
elements, one of which describes the Horizon Service Helpdesk in terms of a
service description and performance characteristics that must be achieved.
Contract review is achieved through the monthly Supplier Review meetings
held between Pathway CS and OSD. These are described in more detail in
Section 4.5 below. Although changes have been made to elements of the OSD
(CFM) Agreement none have been made to that area controlling the provision
of HSH services.
The Agreement between Pathway and POCL is the Codified Agreement
established following the withdrawal of the DSS during 1999. As the HSH was a
POCL only service under the old contract there was, in effect, no change to the
schedules defining and controlling the service.
Contract review is achieved through the Horizon Service Management Review
described in more detail in Section 4.5. It is intended that the recently formed
Held Desk Forum, while not having any formal contract review capacity, will
initiate review or changes from their working level activities. These would be
referred up to the HSRF and, if necessary, escalated to the Contract
Administration Meeting.
HSH Service Review
Objective : To ensure that mechanisms exist and are operating to review the
effectiveness of the HSH in meeting POCL’s requirements.
The audit considered this subject at two levels of relationship and two levels of
formality :
a. The formal relationship between OSD and Customer Services via the
Supplier Review.
b. The formal relationship between Customer Services and POCL via the
Horizon Service Management Review.
c. The working level relationship between OSD, HSH and NBSC via the
Held Desk Forum.
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4.5.2
In all cases the controls found were considered satisfactory and the evidence
suggests that the various reporting and review mechanisms are being
appropriately exercised.
The basis for the delivery of the HSH service is the Business Portfolio - Help
Desk Services (CS/PER/oo6) which documents the service and performance
characteristics required. These are themselves derived from the Service Level
Schedules and the one applicable to HSH is Schedule Gio. The measures
associated with the service are captured in Service Level Agreements and it is
these which form the basis of review between the parties.
OSD performance is reviewed during the monthly Supplier Forum held
between CS and the supplier in question. OSD provide a monthly statistics pack
and have recently added a short narrative paper describing the various
improvement activities currently underway. Meetings are minuted and actions
plans created when appropriate and reviewed during the meeting.
The Horizon Service Review Forum is the top level formal review between
POCL and Pathway and covers the HSH among a number of other topics. The
Horizon SRF is one element of the overall Service Management Framework
which is a joint Pathway POCL initiative to define and deploy the working level
interpretation of the contract. Specifically there is a Service Review Framework
that establishes the “definitions and policies that have been agreed for the
provision of reviews of the Horizon services by Post Office Counters and ICL
Pathway”.
During the audit I was shown a variety of joint documents that make up the
Framework, Their status, ref approval and issue, are varied and in the case of
Incident Management is at vo.8 a full year after vo.1 was drafted. These
Framework documents underpin the working relationship between ICL Pathway
and Post Office Counters Ltd and I recommend that their content be finalised,
agreed, approved and deployed without delay.
CS produce the monthly Service Review Performance Statistics by the 5'* of
each month. The HSH statistics are presented such that analysis at different
levels can be made. For example, as well as providing gross call volumes there is
also an analysis of numbers of calls per outlet averaged across the installed
base. This information is also posted on the CS Intranet site.
4.5.6 At the next level down the recently established Help Desk Forum (HDF)
provides a more informal opportunity for OSD, Pathway and POCL in the form
of the National Business Support Centre (NBSC) to review and discuss matters
of mutual interest. An Interface Document (CS/IFS/o07) has been jointly
developed and agreed and establishes the scope, purpose and responsibilities
for the Forum. I attended the February 28" meeting of this Forum as part of the
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4.6
4.61
4.6.2
4.6.3
audit and was impressed by the openness and positive attitude of all parties in
addressing the issues currently facing the HSH and NBSC.
One of the Agenda items at the HDF is the Joint Review of Customer
Complaints and at the meeting of 28 February POCL distributed an un-
referenced and undated document ‘Horizon System Helpdesk Issues’ which
purported to report complaints registered at the NBSC about the HSH. It
became clear during the meeting that this list represented a POCL view of the
HSH service and was by no means accepted as such by Pathway and OSD.
Complaints can form and important element of service improvement but there
has to be an agreed definition of what constitutes a complaint and how that
information is published, used and circulated.
No doubt further discussions have taken place between POCL, Pathway and OSD
regarding this Complaints Register since 28°" February and it is recommended
that Customer Services take all steps to ensure that an agreed position is reached
on the use of this register in improving the HSH service.
Capacity Planning
Objective : To ensure that mechanisms exist and operating to review the
resourcing of the HSH in the light of changing volumes and business
requirements and that changes to staffing levels can be achieved in both short
and long timescales.
The HSH Manager confirmed that staffing levels at the two sites used are
derived through a well established algorithm used by OSD and based on the
anticipated volume of calls. This number is provided by POCL on the basis of
outlets rolled out and has, according to OSD reviews, been relatively accurate.
However, discussions with Pathway CS indicated that this was not their
understanding and that different sets of figures were provided by CS for input
to a different OSD model. This model took into account ratios of call types and
numbers of outlets rolled out and presented a more complex, granular view of
headcount requirements.
Subsequent attempt to clarify the situation were not successful. On 13" April
Pathway CS raised a corporate Red Alert on OSD following a period when 9 of
the relevant 16 SLAs failed and a higher than expected number of complaints
was received from POCL. This Alert remains open and an action plan has been
prepared and is being actioned.
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4.7 Contingency Planning
Objective : To ensure that the HSH is capable of continuous operation in the
event of a catastrophic failure of the primary location (STEo9).
4.71 The HSH operates out of two ICL locations, Stevenage (STEog) and West
Gorton (MANos) and this brings with it a degree of inbuilt resilience. It was
originally anticipated that STEog would operate as the primary site with
MANos retained for fallback but in reality both sites are now operating in
parallel. The telephony system installed is capable of intelligent routing of calls
to whichever location has capacity.
4.7.2. The audit found that extensive planning and CS management time had been
put into contingency planning for the HSH. A top level framework exists that
covers all elements of the Horizon service, Business Continuity Framework
(CS/SIP/ooz), and beneath this there is a specific plan for HSH, The HSH
Business Continuity Plan (CS/PLA/o15). This document contains details of the
following :
a. HSH structure, organisation and manning.
b. The testing strategy to be adopted.
c Preventative, preparedness and contingency measures.
d. Actions to undertake upon recovery of normal service.
e Risk assessment and impact statements.
f. Trigger points and plan activation details.
g Contacts
Beneath this plan there is a specific HSH Business Continuity Test Plan
(CS/PLA/033) which contains the scenarios and scripts which can be invoked to
cover the various risks and impacts identified in the Plan.
4.7.3. The HSH business continuity framework can be presented diagrammatically :
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connty
Fame
(esr)
‘Bus ness Continuity -
Samoa Taaiawe Si boames
Continuity Tet HSH Business Continuity Test Business Countinuity Test
Pian $e} Continuity Plan = Pian Continuity Test Report
[CS/PLA011] (cSiPLAO15] [CS/PLA/033] Exercise [CS/REP/046]
47-4
475
Major Faliback
Business
Postion &
Continuity recovery, Pos MBCI Review
Incident Meeting
beat Ty ness Continuity
Management Team
The steering committee sits to oversee all aspects of the business continuity
activity, including periodic testing.
The BCP identifies a number of business risks that apply to the HSH that could
cause the plan to be invoked. Discussion with the Pathway Risk Manager
confirmed that this register had not been reviewed by him as part of his
programme wide role. There is benefit to both sides by including such a review;
for the HSH there is the assurance that a second, broader perspective has been
taken; for the programme the confirmation that all appropriate risks have been
taken into account.
I recommend that the Risk Manager, QRM, undertakes a review of the risks
contained in the HSH BCP. This review should extend to other risk registers
contained in other BCPs.
During the year the various BCPs are tested and the results consolidated into a
single, end of year report, 1999 Business Continuity Test Report (CS/REP/046).
The HSH entry indicates that a full continuity test cycle was conducted on 28"
& 29 June 1999 with the objective of “exercising and demonstrating
OSD/Pathway Business continuity plans and processes to provide the HSH
service from the secondary site at Manchester within contracted time limits”.
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4.7.6
4.7.6
Scrutiny of the report indicates that the test was completed with two incidents
outstanding. One of these was completed during the test, the other required a
re-test and this was achieved during September 1999.
Section u of the HSH BCP states that in the event of a Major Business
Continuity Incident (MBCI) the details should be recorded on the HSH and the
BCP invoked. Given that the three MBCIs in the plan are, to all intents, the
complete loss of the HSH it is hard to see how this notification could be
achieved.
It is a trivial point and quite clearly there will be an alternative mechanism to
bring the plan into action but the plan should be updated to describe this
alternative.
OSD are also reviewing their internal business continuity arrangements and I
was informed of an initiative whereby they are currently reviewing their total
customer commitments irrespective of individual contractual requirements.
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Annex A — Terwy of Reference
INTERNAL AUDIT : Terms of Reference
AUDIT TITLE : ICL Customer Services Directorate
Audit of Horizon System Helpdesk
File Reference : AUD/3/4/16
Date i 16" February 2000
Aim
The Horizon System HelpDesk is the primary interface between Horizon outlet managers and
staff and Pathway Customer Services. It is operated by OSD at STEo4 and MANos and is bound
by rigorous Service Level Agreements.
The audit will review the delivery of the service by OSD through its management by Pathway
Customer Service. The HSH has been the subject of considerable direct review activity by POCL
and it is not the intention of this audit to repeat any of that work or to subject the HSH to
further disruption.
‘The quality requirements expressed in ISQg000 : 1994 will be used as a basis for the work.
Objectives
To review the activities and operation of the Horizon System Helpdesk with regard to :
a. Current Service Level Agreements and the ability of HSH to meet them.
b. Identified risks and mitigations.
c The management by Pathway CS of the OSD relationship.
d. Recent POCL initiated reviews related to Al4o8.
Dates
The audit will commence mid to late February with completion and draft report production and
circulation targeted for mid March. A final report will be issued by Friday 31°* March.
Audit Resources
The audit will be conducted by Jan Holmes, Pathway Audit Manager.
Reporting
The report reference is IA/REP/o22.
At the conclusion of the audit a draft report will be produced and discussed with the auditees. A
final report will be produced and distributed to the Director and Senior Managers of the
Customer Services, as well as the Managing, Deputy Managing and QRM Directors.
Further distribution will be at the discretion of the Customer Services Director.
Based on the report content a series of Corrective Actions will be agreed and documented in a
Corrective Action Plan. This will be issued and the agreed actions monitored on a regular basis.
TOR Distribution
Mike Stares : Managing Director
Steve Muchow : Customer Services Director
COMMERCIAL IN CONFIDENCE Page 17 of 18
FUJ00080681
FUJ00080681
ICL Audit of the Horizow Sug ’ Venn TA/REP/o22
ion: 1.0
Pothwoy HelpDesk Date: 28/04/00
Mike Coombs : Deputy Managing Director
Martyn Bennett : Director of Quality and Risk Management
Paul Westfield : CS Infrastructure Manager
Dave Fletcher : CS Strategic Services Manager Manager
David Groom : Quality Manager
COMMERCIAL IN CONFIDENCE Page 18 of 18