FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
Document Title:
Document Type:
Release:
Abstract:
Document Status:
Originator & Dept:
Internal Distribution:
External Distribution:
On Line Services Reconciliation & Incident Management
Procedure
S80
This document outlines the end-to-end reconciliation and
incident management procedures required to investigate,
report and resolve On Line Services reconciliation and
business incidents.
APPROVED
John Moran, Management Support unit Manager
Hilary Forrest Fujitsu POA Commercial
Peter Thompson Fujitsu POA Service Support
Pooja Sujith Fujitsu POA Management Support Unit
PVCS
Liz Tuddenham Post Office Ltd Operations Control
Julie Dart, Post Office Ltd Product & Branch Accounting
Post Office Ltd document control
Approval Authorities:
Name Role Signature Date
Carl Marx POA Head of Service
Management
Liz Tuddenham
Control
Post Office Ltd Operations
©Copyright Fujitsu Services Ltd 2005.
COMMERCIAL IN CONFIDENCE Page: I of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
Oo Ref: NB/PRO/002
FUJITSU Version: 6.0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
0.0 Document Control
0.1 Document History
Version No. Date Reason for Issue Associated
CP/PEAK/PPRR.
Reference
0.1 22/10/01 Initial Draft N/A
1.0 19/12/01 Issued for Approval following Post Office Ltd I N/A
review
2.0 22/01/02 Post V1.0 Post Office Ltd comments included I N/A
to enable final approval off by Post Office Ltd
21 07/03/02 Changes following the implementation of I N/A
CR27 and output from the reconciliation
report workshop held on 20/21 February 2002
2.2 22/03/02 Changes following N08 contractual I N/A
discussions
2.3 22/04/02 Changes following N08 contractual I N/A
discussions & re-branding of ICL Pathway to
Fujitsu Services
3.0 10/05/02 Comments following PO Ltd Review. For I N/A
approval
4.0 15/12/02 Revised to remove references to Codified
Agreement Schedule G01 and replace with
CS/SER/017. Also to include references to
Service Level Targets and remedies payable in
respect of Debit Card Method of Payment
(DCMoP)
5.0 19/12/02 Updated for Contract Amendment. This
versions does not include references to
Service Level Targets and remedies payable in
respect of Debit Card Method of Payment
(DCMoP) — however these have been listed in
0.6 Changes Expected.
5.1 10/6/05 Updated to reflect changes in $80; removal of
the Cash Account.
5.2 8/7/05 Reissued in response to comments,
replacement of TP with POLMIS, replace
BMS with OBCRDST
6.0 17/10/05 Change of title of document to reflect
reconciliation of all On Line Services.
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 2 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version: 6.0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
Reissued in response to comments received
and general updating to include all On Line
Services (E Top up, Debit Card, etc.)
0.2 Review Details
Review Comments by: I 14/10/05
Review Comments to: I Richard Brunskill, Fujitsu Service Delivery Management
Mandatory Review
Post Office Ltd: Operations Control Bernadette O’Donnell
Post Office Ltd : Product & Branch I Julie Dart *
Accounting
Fujitsu POA Commercial Hillary Forrest
Fujitsu POA MSU Pooja Sujith
Post Office Ltd: Design Authority Torstein Godeseth
Optional Review
Fujitsu POA MSU Jez Murray
Issued for Information — Please restrict this
distribution list to a minimum :
Fujitsu POA Design Authority Gareth Jenkins
Fujitsu POA Service Support Pete Thompson
( * ) = Reviewers that returned comments
0.3 Associated Documents
Reference Version I Date Title Source
CS/SPE/011 I 7.0 15/11/04 Network Banking End to I PVCS
End Reconciliation
Reporting
CS/PRO/111 I 6.0 17/10/05 TPS Reconciliation & I PVCS
Incident Management
CS/PRO/168 I 0.1 17/10/05 Horizon Reconeliation I PVCS
Exceptions — Working
Document
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 3 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fe)
FUJITSU
FUJITSU SERVICES
FUJ00120469
FUJ00120469
On Line Services Reconciliation & Incident Ref: ~NB/PRO/002
Management Version: 6,0
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
0.4 Abbreviations/Definitions
Abbreviation
Definition
Business Incident
Any exception (as defined below) reported via NB102 or via the HSD
requiring investigation and the provision of corrective information to
allow Post Office Ltd to settle or reconcile. A Business Incident relates
to the ‘Symptom’ and not to the root cause of the exception.
Customer Critical
Exception
A Priority Exception (see below for definition) where Fujitsu have
received a DBTN, (see below for definition).
DBTN
Disputed Banking Transaction Notice: Where Fujitsu has received
notification from Post Office Ltd via the Enquiry Service following a
query by the ‘End’ customer relating to the state of his / her account.
EBBT
Enquiry Based Banking Transaction: Where Fujitsu has received
notification from Post Office Ltd via the HSD wishing to query a
particular transaction.
Exception Types
Within all reports the ‘Exceptions’ category will include:
e ‘Incomplete States’, i.e. those transactions where one or more
transaction component is missing — a C4 without a C12 ete
e Genuine exceptions where transaction components belonging to
the same high level transaction have been exceptioned, i.e. C12
(amount) not = to C4 (amount) etc.
e DRS corruptions
MSU Day
Between 08.00hrs and 17.30hrs Monday — Friday inclusive, excluding
English bank holidays
On Line Services
Transactions completed via the Horizon system within the Post Office
branch that require real time communication with Post Office Ltd
Financial Institutions or Clients. Currently this includes: Banking
transactions (Alliance & Leicester, Card Account for the Post Office
(CAPO) & LINK), Debit & Credit Card transactions and Electronic
Top Up (ETU)transactions.
Priority Exception
An exception reported within NB102 section 5 relating to system
states 4 or 12 following confirmation of a corresponding C4 or D
message
System Incident
Any exception (as defined above) reported via NB102 or via the HSD
requiring the investigation and repair of the root cause of the
exception.
APS Automated Payment Service
BIMS Business Incident Management Service
CAPO Card Account for the Post Office
D&CC Debit & Credit Card
DRS Data Reconciliation Service
EPOSS Electronic Point of Sale Service
ETU Electronic Top Up (for mobile phone services)
HSD Horizon Service Desk
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 4 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
LREC LINK reconciliation file
MER Manual Error Report
MSU Fujitsu Services, Management Support Unit
NBX Replacement architecture of network after removal of NBE
NWB Network Banking
On Line Services I On Line Services Reconciliation Reports produced by Fujitsu
Report Set
PEAK POA fault logging system.
POL Finance Post Office Ltd Finance Department
POLFS Post Office Limited Financial Systems
POLMIS Post office Ltd Management Information Systems
SSC Fujitsu Third Line Support (System Support Centre)
TES Transaction Enquiry Service
TPS Transaction Processing Service
0.5 Changes in this Version
Version Changes
10 e New section ‘Disputed transactions’ included
e Report definitions amended to be consistent with CS/SPE/011
e Process maps amended following discussion
¢ Definition of SLT components included in detail
e Re- structuring of document following PO Limited review
2.0 e Late comments included to enable approval by Post Office Ltd: See
section
4.4.3.1 — ‘Customer Critical Exceptions’ included in points I and 3.
21 Re issue for review following changes resulting from CR27 and
workshop held on 20/21 February 2002.
System States 8,9,10 & 11 ‘Customer Critical’ exceptions replaced
by System State 4.
Reports NB100a & NB100b now deleted from report set
Reports NB101la & NB101b now deleted from report set and
replaced with new report NB101
Widespread error provisions and monitoring amended to agree
with schedule NO8 — now section 4.4.2.
Contingency for report distribution to Post Office Ltd amended to
include NB101 and NB102 sections 1 and 2
SLT definitions amended to agree with schedule NO8 — now
section 4.4.1.
Process maps for incident management, section 7 are deleted. Will
©Copyright Fujitsu Services Ltd 2005
COMMERCIAL IN CONFIDENCE Page: 5 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: ~NB/PRO/002
FUJITSU Management Version: 6.0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
© be scoped and agreed in a separate non CCD
e Caveat to exclude ‘S’ transactions from Network Banking reports.
(EFTPOS reports will be populated with ‘S’ transactions)
2.2 Re-issue following NO8 contractual agreement:
0.3: Deletions from associated documents and the inclusion of
CS/PRO/111
0.4: Definition added for Priority Exception
4.4.1: SLT measurements and criteria brought in line with NO8
4.4.2: Widespread error definition brought in line with N08
5.0: Amendments to BIMS report example
6.0: Tables brought in line to those quoted in CS/SPE/011
2.3 4.4.1 Amendments to Priority Exception SLT measurement from
‘Average’ time to 95% target time.
4.4.2 Amendments to the Widespread Error provision following final
agreement of NO8
Re-branding of ICL Pathway to Fujitsu Services throughout document
3.0 Final POL (Glenys Latham) comments included.
5.0 Updated for Contract Amendment. This versions does not include
references to Service Level Targets and remedies payable in respect of
Debit Card Method of Payment (DCMoP) — however these have been
listed in 0.6 Changes Expected. Minor typos corrected.
5.1 Updated for release S80; Removal of the Cash account.
5.2 Response to comments, replace term TP with POLMIS, replace BSM
with
6.0 Updated with revised title to cover all On Line Services and updated in
response to comments received.
0.6 Changes Expected
Changes
Changes after review
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 6 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
0.7 Table of Contents
1.0 INTRODUCTION...
2.0
3.0 REPORTS PRODUCED BY FUJITSU CENTRAL SYSTEM: 3
3.1 NB1O1I — ON LINE SERVICES SETTLEMENT STATEMENT 3
3.2 NB102 — EXCEPTION SUMMARY.. 3
3.3 REPORT DISTRIBUTION & CHECKING.. 3
3.3.1 Contingency in the Event on Non delivery of reports to Post Office Ltd. 3
4.0 RECONCILIATION & INCIDENT HANDLING. od
4.1 INCIDENT CLASSIFICATION. a3
4.1.1 On Line Services Business Incidents. 3
4.1.2. On Line Services System Incident: 3
4.2 GENERATION OF BUSINESS INCIDENTS............0..+. . 3
4.2.1 On Line Services Business Incidents Raised via the HSD by Fujitsu/ MSU. 3
4.2.2 On Line Services EBBT Business Incidents Raised via the HSD by POLPBA. 3
4.2.3. DBTN On Line Services Business Incidents Raised via the Enquiry Service. 3
43 ON LINE SERVICES INCIDENT REPORTING: 3
4.3.1 BIM Reports / MER . 3
44 ON LINE SERVICES EXCEPTION RESOLUTION TIMESCALES. 3
4.4.1 On Line Services Business Incident Service Level Target (SLT) condition: 3
4.4.2 Widespread Errors.. 3
4.4.3 Repairing Data.... 3
5.0 BIM REPORT EXAMPLE... 3
6.0 INCOMPLETE AND EXCEPTION STATES.
6.1 INCOMPLETE STATE!
6.2 EXCEPTION STATES
w
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 7 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: = 17/10//2005
1.0 Introduction
The On Line Services Report Set produced by Fujitsu has been designed to enable
Network Banking (NWB) including Alliance & Leicester, Card Account for Post
Office (CAPO), LINK, Debit & Credit Card (D&CC) and Electronic Top Up (ETU)
transactions completed in the Post Office branches to allow settlement to be made with
Post Office Clients, e.g. LINK, or direct settlement to specific clients or financial
institutions. Five separate Report Sets for Banking, D&CC and ETU are produced as
listed below. See also sections 3.1 & 3.2 of this document for a full description of the
format and content:
On Line Service Report Title Report Title
Banking: LINK NBIOIL NB102
Banking: Alliance & Leicester NBIOI NB102
Banking: CAPO NBI1O1 NB102
E Top Up NBIOI NB102
Debit & Credit Card (Streamline) NBIOL NB102
Fujitsu central systems will produce the On Line Services Report Set for each of the
above streams in accordance with the rules documented within ‘CS/SPE/011: Network
Banking End-to-End Reconciliation Reporting’. This Report Set will reconcile all the
individual transaction components making an On Line Services transaction.
Reconciliation is driven to allow the counter reconciling with the ‘Client, i.e. the
Financial Institution’.
In addition to those exceptions reported by Fujitsu within the On Line Services Report
Set, reconciliation errors may be discovered by Post Office Ltd Finance (POL
Finance). when reconciling data within its own systems or relating to queries from Post
Office Clients. To initiate the Business Incident Management (BIM) process, Fujitsu
Management Support Unit (MSU), or generates On Line Services Business Incidents
for one or more exceptions or reconciliation errors discovered.
The incident management process is generic for all services. Electronic Point of Sale
Service (EPOSS), Automated Payment Service (APS) and On Line Services incidents
are raised, documented and progressed to resolution in the same manner.
It should be noted however, that where an On Line Services incident does not affect
reconciliation within POLFS Manual Error Report (MER) charging does NOT apply.
Definition and charges for On Line Services / Transaction Processing Service (TPS)
related errors, where the incident has caused a reconciliation or settlement error within
POLFS are found in associated Fujitsu Contract Controlled Document (CCD) entitled:
“CS/PRO/111: TPS Reconciliation & Incident Management’
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 8 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
2.0 Scope
This document sets out the reconciliation and incident management procedures to be
adopted by Fujitsu MSU for dealing with On Line Services Report Set distribution to
Post Office Ltd, and any associated On Line Services Business Incidents which may
arise, including:
On Line Services reconciliation report exceptions and incomplete states
Software faults affecting reconciliation and settlement
Post Office Client enquiries / disputed banking transactions
On Line Services reconciliation reports
eceee
The present revision of the document is needed to describe the changes brought about
by S70/75/80, specifically the removal of the Network Banking Engine (NBE), the
removal of the Cash Account which is being replaced by the Branch Trading Statement
(BTS) (thus the removal of the NB103 report) and the migration from Post Office Ltd
Operational Transaction Information Processing (OPTIP) to POLFS,
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 9 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
3.0 Reports produced by Fujitsu central systems
This section is intended to give an overview of the working of each reconciliation report
available. It is not intended as a reference point in the design of the reports, as such any rules
or definitions quoted within the associated CCD ‘CS/SPE/011: NWB End to End
Reconciliation Reporting’, will take precedence.
3.1. NB101—- On Line Services Settlement Statement
This report provides settlement information based upon the “Client View’ where the
Data Reconciliation Service (DRS) has received C4 transaction components
1. C4 Settlement Date 1 — This figure identifies all C4 transaction components
received by the DRS with a ‘C4 Settlement Date’ = to the Run Date of the report.
2. C4 Settlement Date 2 — This figure identifies all C4 transaction components
received by the DRS with a ‘C4 Settlement Date’ = to the Run Date of the report
minus I day if any C4 transactions received for this date.
3. C4 Settlement Date 3 etc — This figure identifies all C4 transaction components
received by the DRS with a ‘C4 Settlement Date’ = to the Run Date of the report
minus 2 days if any C4 transactions received for this date. (Repeat for each day
where C4 transactions have been received)
4. Total of all C4 transactions received on this report.
5. Columns: Representing volume and value of Deposits, (titled ‘Receipts’) and
Withdrawals, (titled ‘Payments’).
6. Net Settlement column showing volume and value where:
e Volume = number of deposits plus number of withdrawals
e Value = value of deposits minus value of withdrawals
e Where the value of withdrawals exceeds the value of deposits, this total is
shown as (£9999.99)
NB: LINK transactions are reported via the LINK NB101 against their specific
financial institutions.
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 10 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
3.2. NB102 — Exception Summary
The report identifies all incomplete or exception states.
This report is divided into 12 sections:
Section 1: All Uncleared confirmed, unconfirmed and POLFS exceptions
e Reports exceptions by ‘Incomplete or Exception System State’ and reconciliation
date. Where no exceptions are reported for a particular system state, the row is
suppressed.
Section 2: Uncleared exceptioned client transactions
e Reports exceptions, (D), individually listed in system state order and reconciliation
date where the incomplete or exception state suggests an urgent resolution is
required to avoid customer dissatisfaction
Section 3: Uncleared corruption’s
e Reports DRS corruption’s individually listed in system state order and
reconciliation date.
Section 4: Uncleared timing differences
e Reports transaction components where there is a difference in the reconciliation
date and the posting date allocated where an ‘S’ has been received with an earlier
or later date than the ‘C4’. The ‘C4’ automatically assumes the ‘S’ reconciliation
date however the transaction is exceptioned. NB: For Alliance & Leicester,
CAPO, LINK & ETU transactions, this section is generally not expected to be
populated due to the exclusion of ‘S’ type transactions from this stream.
Section 5: Uncleared confirmed, unconfirmed and POLFS exceptions >24 hrs
e Reports defined uncleared exceptions (see CS/SPE/011) previously included within
Section I which have remained uncleared for a period of greater than 24 hours.
They are removed from section 1 and listed individually in system state and
reconciliation date order.
Section 6: Uncleared future dated transactions by client
e Reports any transactions received by the DRS which are ‘future dated’ —
Settlement date > report run date +3 in system state and reconciliation date order.
Section 7: All Cleared confirmed, unconfirmed & TIP exceptions
e As section 1 — exceptions cleared and set to ‘F99’ by Fujitsu MSU
Section 8: Cleared exceptioned client transactions
e As section 2 — exceptions cleared and set to ‘F99’ by Fujitsu MSU
Section 9: Cleared corruption’s
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 11 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
e As section 3— exceptions cleared and set to ‘F99” by Fujitsu MSU
Section 10: Cleared timing differences
e As section 4 — exceptions cleared and set to ‘F99’ by Fujitsu MSU
Section 11:
Cleared confirmed, unconfirmed & POLFS exceptions >24 hrs
e As section 5 — exceptions cleared and set to ‘F99’ by Fujitsu MSU
Section 12:
Cleared future dated transactions by Client
e As section 6 — exceptions cleared and set to ‘F99’ by Fujitsu MSU
3.3 Report Distribution & Checking
Reconciliation reports will be delivered to Post Office Ltd in accordance with the following
Service Level Targets:
Delivery of reconciliation & settlement report (Normal)
By 08.05hrs day B
Delivery of reconciliation & settlement report (where DRS
failure in overnight batch window)
By 10.05hrs day B
Delivery of reconciliation & settlement report (where there
is system failure that is not DRS or TES)
By 12.00hrs day B
Delivery of reconciliation & settlement report (where there
is DRS or TES failure)
By 18.00hrs day B
Enrichment with LREC data
LREC received
Added to reconciliation
settlement report
&
LREC received by 23.59.59hrs day A
By 08.05hrs day B
LREC received by 01.59.59hrs day B
By 08.05hrs day B
LREC received between 02.00hrs and 22.00hrs day B
By 08.05hrs day C
All reports will be produced as ASCII text files — one for each report. The report layout will
be fixed format with space characters providing the blank space. This will allow for ‘Excel’
input, using fixed field width facilities. Any formatting, (lines and shading) will not be included
within the file.
3.3.1
Ltd
Contingency in the Event on Non delivery of reports to Post Office
©Copyright Fujitsu Services Ltd 2005.
COMMERCIAL IN CONFIDENCE Page: 12 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
If Fujitsu is unable to deliver any or all reports to the Post Office Ltd. / POLFS gateway by
08.00hrs the day following the run date of the report, Fujitsu MSU will liaise with POL
Finance to arrange an e-mail transmission via the Fujitsu corporate account. Fujitsu MSU will
operate this contingency under ‘reasonable endeavours’ and will aim to have the reports with
POL Finance by 09.00hrs in contingency. However this timescale may not be achievable if
processing problems have also delayed receipt of the reports into the DRS workstation.
NB: Should the Fujitsu corporate e-mail service unavailable, Fujitsu MSU will
liaise with POL Finance and agree facsimile of reports NB101 and NB102 section
Land 2.
Any distribution list for these reports is considered by both Fujitsu and Post Office Ltd to be
of a dynamic nature and therefore specific addressees are not covered within this document.
4.0 Reconciliation & Incident Handling
41 Incident Classification
4.1.1 On Line Services Business Incidents
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 Post Office Ltd.
An On Line Services Business Incident relates to one or more of the exceptions reported
within the On Line Services report set, or one or more reconciliation or settlement errors /
disputed transactions raised in accordance with this document by POL Finance. (Refer to
section 6.0 for a list of those On Line Services Business Incident incomplete or exception
states currently known and for which appropriate On Line Services Business Incident
reporting processes are set out in this document)
4.1.1.1 On Line Services Reconciliation Report Exceptions
Exceptions reported within the On Line Services Report Set will be applicable to:
e Communication difficulties between the Post Office branch and the Campus,
Agents, Correspondence servers, etc.
e Errors within the DRS (with corresponding errors returned via the TES)
e Errors causing TPS transactions not to be harvested
¢ Corruption’s within the DRS
4.1.2 On Line Services System Incidents
System Incidents relate to the underlying ‘Cause’
Following the creation of an On Line Services Business Incident, Fujitsu MSU may raise an
associated System Incident to identify and repair the underlying cause of an On Line Services
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 13 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
Business Incident. System Incidents will be routed to the appropriate group within Fujitsu, for
investigation and resolution.
Where there are associated System Incidents and On Line Services Business Incidents, their
relationship can be either:
© one to one; or
© one to many, respectively.
Depending on the severity and understanding of the system incident a problem may be
formally raised and the problem management route followed until the underlying cause can be
rectified.
42 Generation of Business Incidents
In line with the generic incident management Post Office Ltd. policy agreed between Fujitsu
and Post Office Ltd., On Line Services Business Incidents will only be recognised as such if
generated by POL Finance. as appropriate, via the Horizon Systems Helpdesk (HSD) or via
the ‘Enquiry Service’. This ensures that the On Line Services Business Incident is properly
logged, enabling Fujitsu MSU to ensure that corrective information can be supplied and any
underlying system fault can be rectified.
It is envisaged that On Line Services Business Incidents will only be generated by the
following groups within Fujitsu and Post Office Ltd.:
e Fujitsu MSU for all exceptions reported via the On Line Services report set
e POL Finance for any ‘Enquiry Based Banking Transactions’ (EBBT) or ‘Disputed
Transaction Notice’ (DBTN) discovered by Post Office Ltd. that has not been
reported by Fujitsu MSU via the On Line Services report set
e Fujitsu Third Line Support (SSC) for any system fault or database adjustment
which is considered by Fujitsu to have a reconciliation or settlement implication
within Post Office Ltd. in respect of On Line Services transactions.
Subject to agreement by the parties to the contrary, Post Office branch calls to the HSD will
not generate On Line Services Business Incidents. However calls from Post Office branches
will be monitored and if it is considered necessary by Fujitsu, difficulties reported to the HSD
will be elevated to On Line Services Business Incident status.
4.2.1 On Line Services Business Incidents Raised via the HSD by
Fujitsu/ MSU
Fujitsu MSU will raise an appropriate Business Incident when needed via the BIM data base
for all exceptions appearing on reconciliation report NB102 sections 2,3,4 and 5.
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 14 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
4.2.2 On Line Services EBBT Business Incidents Raised via the HSD by
POLPBA
It is important that POL Finance supply sufficient information to the HSD when generating
an On Line Services Business Incident in respect of an EBBT On Line Services Business
Incidents to ensure the timescales for the resolution of On Line Services Business Incidents
referred to in section 4.4 can be achieved. Achievement of such timescales is dependent upon
the following information being provided by POL Finance when generating an On Line
Services Business Incident via the HSD:
1. A valid ‘PATH’ code must be quoted, e.g. ‘PATH040’ etc.
2. Prefix all narrative with ‘THIS IS A BUSINESS INCIDENT FOR MSU’
3. The following transaction detail:
e Client Account Number (the PAN)
¢ Outlet FAD
¢ Value of transaction
e Date of transaction
NB: Where Post POL Finance raise an EBBT On Line Services Business Incident which may
require a large amount of supporting information, summary detail only may be given to the
HSD and the additional information may be sent via e-mail to Fujitsu MSU. (A current
Fujitsu. MSU contact list will be made available to POL Finance).
4.2.3 DBTN On Line Services Business Incidents Raised via the Enquiry
Service
This facility is to support requirements in respect of Disputed Banking Transaction Notice
(DBTN) where Post Office Ltd. has received notification via either the Post Office branch or
the Network Business Support Centre (NBSC). POL Finance will contact Fujitsu MSU
“Enquiry Service’ directly by telephone, requesting urgent investigation within the timescales
quoted in section 4.4.1
Achievement of such timescales is dependent upon the following information being provided
by POL Finance when generating a DBTN enquiry via the Enquiry Service:
1. The following transaction detail:
e Client Account Number (the PAN)
e¢ Outlet FAD
e Value of transaction
¢ Date of transaction
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 15 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
NB: If incorrect or insufficient information is provided by POL Finance to allow resolution
of the DBTN enquiry, no further action will take place until new information is supplied and
the enquiry will not be monitored in accordance with the timescales referred to in section
4.4.1.
43 On Line Services Incident Reporting
4.3.1 BIM Reports / MER
The Business Incident Management System (BIMS) has been designed to report the progress
to resolution of an On Line Services Business Incident to allow Post Office Ltd. to complete
an accurate reconciliation or settlement with their clients. For ease of identification and
association with the corresponding HSD call, BIM report references will mimic the HSD
reference, or where no HSD input is needed the BIM report will use the Fujitsu fault logging
(PEAK) reference. Where an incident has been raised via the Enquiry Service, an initial
response will be provided via telephone to POL Finance and followed up by an appropriate
BIM report using the PEAK reference.
In all cases each BIM report will have a unique identifier.
43.1.1 I Format & content of BIM report / MER
A BIM report will be issued for each On Line Services Business Incident generated via the
HSD and the Enquiry Service. As part of that BIM report, Fujitsu MSU will issue a MER for
each error associated with the relevant On Line Services Business Incident where it is
necessary to do so, to advise POL Finance of the transaction detail required to enable
reconciliation or settlement to take place
BIM reports / MER are designed to notify POL Finance of the detail required to assist in the
reconciliation or settlement process within Post Office Ltd. domain. BIM_ reports
communicate information concerning the resolution of the symptom of an underlying cause,
not the cause itself. BIM 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
Problem Management route (if escalated to this level).
Where a System Incident is generated to eradicate the cause of a particular problem and there
are one or more associated On Line Services Business Incidents, cross-references will be
supplied on the On Line Services Business Incident BIM report / MER and via the Problem
Management process to allow tracking of the System Incident.
43.1.2 Clearance Criteria
Fujitsu MSU anticipates that it will provide information concerning On Line Services Business
Incidents to POL Finance on a “drip feed’ basis, by issuing updated versions of the initial BIM
report / MER.
e A BIM report is ‘Cleared’ when Fujitsu MSU has provided the reconciliation /
settlement information required to be contained in the relevant BIM report as set
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 16 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
out in section 4.4.1.1. Additionally, the exception is cleared from the appropriate
section of NB102 by Fujitsu MSU.
POL Finance will advise Fujitsu MSU via spreadsheet on a monthly basis of any payments it
considers are payable to Post Office Ltd (as compensation for Post Office Ltd. costs in dealing
with MER). For the avoidance of doubt, NO charges are payable in respect of MER
issued for On Line Services incidents not affecting the POLFS transaction stream.
If the parties disagree whether the POLFS transaction stream has been affected or not, or
consequential loss has been incurred by Post Office Ltd and after discussion no agreement can
be reached the specific incidents will then be escalated via a ‘Case Law Referral’ form, to the
Commercial Forum for a final decision to be made.
4.3.1.3 BIM Report Distribution
Fujitsu MSU will distribute On Line Services BIM reports / MER to POL Finance. using the
Fujitsu corporate e-mail network. In the event that this facility is temporarily unavailable,
reports will be distributed via mutually agreed methods (CD/Floppy etc).
BIM reports / MER distributed in accordance with this section will be deemed to have been
issued to POL Finance. at the time of transmission by mail.
An example of a BIM report / MER is shown in Section 5.0.
44 On Line Services Exception Resolution Timescales
4.4.1 On Line Services Business Incident Service Level Target (SLT)
conditions
Fujitsu MSU will raise an initial BIM report relating to a new On Line Services Business
Incident, on the same working day as the On Line Services Business Incident is generated via
the HSD or the Enquiry Service, or in any event on the morning of the next working day. This
will be made available in accordance with section 4.3.1.1, to POL Finance. This initial,
incomplete, BIM report will serve to notify POL Finance that an On Line Services Business
Incident has occurred and that the completed BIM report will be provided to POL Finance.
within the agreed timescales below.
In the event of the On Line Services Report Set not being available to Fujitsu MSU in time to
enable any exceptions to be notified within this timescale, Fujitsu MSU will contact the POL
Finance to agree a temporary extension to the timescale.
All enquiries and transaction searches within 90 days of the original transaction date will be
carried out by Fujitsu MSU via the DRS/Transaction Enquiry Services (TES) Workstation(s).
Enquiries and transaction searches where the original transaction date is in excess of 90 days
will be carried out by Fujitsu MSU using the Audit Archive via the Fujitsu POA security team. _
Fujitsu MSU will ensure the final cleared BIM report / MER, is made available in accordance
with section 4.3.1.1.and is cleared in accordance with the following timescales:
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 17 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
1. For DBTN enquiries where the transaction date is within 90 days of the date
the transaction is disputed by the end customer and raised by POL Finance. via
the Enquiry Service in accordance with section 4.2.3:
95% must be resolved within <= 8 hours of notification based upon all DBTN
enquiries (Customer Critical Exceptions) received within the quarterly reporting
period
The following conditions apply to DBTN enquiries:
The calculation of the time to resolution within the above SLT will only commence
from either the receipt of the C4 or D transaction component within the DRS, or
the reporting of a Priority Exception, (which becomes a ‘Customer Critical
Exception by way of the associated DBTN), within NB102 section 5 of the On
Line Services reconciliation report set.
2. For any DBTN enquiries where the transaction date is in excess of 90 days of
the date the transaction is disputed by the end customer and raised by
POLPBA. via the Enquiry Service in accordance with section 4.2.3:
e It must be resolved within 5 MSU days of notification
3. For any ‘Priority’ exception relating to incomplete states 4 or 12, where a DBTN
enquiry has not been received, reported within NB102 section 5 and raised by
Fujitsu MSU via the HSD in accordance with section 4.2.1:
95% must be resolved within <= 8 hours commencing at 08.00hrs on the
SECOND MSU day following receipt by the DRS of the exception, based upon
all Priority exceptions received within the quarterly reporting period.
4. For all non ‘Customer Critical’ On Line Services exceptions reported within
NB102 sections 2 — 5 and raised via the HSD by Fujitsu MSU in accordance with
section 4.2.1:
e They must be resolved within 5 MSU days of notification via NB102 sections
2-5.
5. For EBBT On Line Services reconciliation errors raised by POL Finance. via the
HSD in accordance with section 4.2.2:
¢ They must be resolved within 5 MSU days from the date they were reported
to the HSD.
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 18 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
NB: All time is calculated using the MSU day (08.00 to 17.30) and Monday to Friday
inclusive, excluding English bank holidays.
4.4.1.1 SLT Exclusion / Suspension Criteria
e Where an exception has been generated due to factors outside of Fujitsu control,
e.g. where a Post Office branch has failed to communicate due to fire, flooding or
other agreed ‘Force Majeur’ conditions, the exception will be removed from the
BIM SLT calculation in agreement with Post Office Ltd and resolved using
‘Reasonable Endeavours’.
e Where an exception necessitates the retrieval of information from, or access to, a
Post Office branch to enable successful resolution and this is not available. The
period whilst Fujitsu waits, having requested that information or access be
provided, shall not count towards the time for resolution of that exception.
Post Office Ltd. will be informed via the BIM report applicable to the exception being
investigated that SLT suspension is being invoked in respect of the above.
4.4.1.2 On Line Services System Incident Resolution Timescales
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
will give every System Incident the priority it deserves taking into account Post office Ltd.
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 may be escalated through the ‘Problem Management‘ route depending on the
complexity and impact of the system incident. Registered problem updates will be regularly
supplied to Post Office Ltd at agreed intervals.
4.4.2 Widespread Errors
Fujitsu MSU will monitor ‘trigger points’, for example HSD calls and the On Line Services
Report Set, which can alert of any likely potential or actual ‘widespread’ errors which may
occur
4.4.2.1 I Widespread Error Conditions:
Total Number I Customer Priority Exceptions which aren’t I Other
of Exceptions I Critical Customer Critical Exceptions Exceptions
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 19 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
oO On Line Services Reconciliation & Incident Ref: N)
FUJITSU Management Ven ND PROWM
FUJITSU SERVICES on: 6.0
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
in the day Exceptions
Up to 100 8 hr SLT 8 hr SLT 5 day target time
100 to 500 8 hr SLT 8 hr SLT unless there are more than I 5 day target time
100 in either state 4 or state 12 in
which case those in that error state
will have a Widespread Error ‘let’ to
5 day target time, but all others to
meet the 8 hr SLT
Over 500 8 hr SLT Target time for Widespread Errors. I 5 day target time
8 hr SLT for the first 500 which are
not Widespread Errors and 5 day
target time thereafter
4.4.3 Repairing Data
Refer to Fujitsu document ‘CS/PRO/111 ‘TPS Reconciliation & Incident Management’ for
the repair criteria in relation to On Line Services transactions affecting the POLFS transaction
stream.
©Copyright Fujitsu Services Ltd 2005.
COMMERCIAL IN CONFIDENCE Page: 20 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
FUJ00120469
FUJ00120469
foo) On Line Services Reconciliation & Incident Ref: NB/PRO/002
FUJITSU Management Version:
ersion: 6,0
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE Date: 17/10//2005
5.0 BIM Report Example
BIMS Reference: BE
oo oe Last
Service: Version: Updated:
Service Sub
Type:
Exception Type:
Originator: Transaction Date: BTS: FAD:
Status: Exception Value:
Other References
Transaction Liability
POL Reference: Provisional: Final:
Settlement Details
Exception Settlement
HSD Reference: Settled Amount:
Invoice Number:
Invoice Date:
Manual Error Report
Incident History Chargeable Errors:
Date Received: MER Set Amt:
Date Cleared: MER Inv No:
Date Closed: MER Inv Date:
Actions
, ‘ ‘Describe
Actions: Date & Time Action Type (De ident) Analyst
Actions: Date & Time Action Type — (Clear incident) Analyst
©Copyright Fujitsu Services Ltd 2005
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
COMMERCIAL IN CONFIDENCE Page: 21 of 23
oO On Line Services Reconciliation & Incident
FUJITSU Management
FUJITSU SERVICES
COMMERCIAL IN CONFIDENCE
FUJ00120469
FUJ00120469
Ref: NB/PRO/002
Version: 6,0
Date: —17/10//2005
6.0 Incomplete and Exception States
6.1 Incomplete States
This table identifies the NB102 series report section where incomplete and discrepancy States
are reported in detail.
Incomplete I Transaction Components Exception report
State NB102 Section
C112 c12 C4 s D Uncleared I Cleared
1 V 1&5 7&1
2 Vv V 1&5 7T& 11
4 V 1&5 7&1
5 V 1&5 7T&ll
6 v Vv 1&5 7T&11
7 Vy V 1&5 7&1l
8 Vv 1&5 7&1
a v V 1&5 T&1L
10 ¥ V 1&5 7&1
i V v Nv 1&5 T&L
12 Vv 2 8
B V V 2 8
14 V 2 8
15 V V V 2 8
16 ThenV [V 1&5 T& ll
17 ¥ ThenV_[V 1&5 7T&11
18 Vy Thenv I¥ 1&5 T&11
20 V ThenV I 2 8
21 v Vv Then V I 2 8
22 V Vv ThenV_I 2 8
3 V v v Theny¥_I 2 8
Shaded lines represent System States refer to D&CC exception states only.
©Copyright Fujitsu Services Ltd 2005 I COMMERCIAL IN CONFIDENCE Page: 22 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)
Fe)
FUJITSU
FUJITSU SERVICES
On Line Services Reconciliation & Incident
Management
COMMERCIAL IN CONFIDENCE
FUJ00120469
FUJ00120469
Ref: NB/PRO/002
Version: 6,0
Date: —17/10//2005
6.2 Exception States
This table identifies the NB102 series report section where an exception is reported in detail.
Exception Description Exception report NB102
State Section
Uncleared Cleared
E01 Additional C112 1&5 7T&ll
E02 Additional C12 1&5 7T&ll
E03 Additional D 2 8
E04 Additional C4 1&5 7T&1l
E0S Additional S 1&5 7&il
E06 S after C4 1&5 7&1
E07 S after D 2 8
E08 C4 after D 2 8
E09 D after C4 2 8
E10 C112 afier final state 1&5 T&L
Ell C12 after final state 1&5 Tell
E12 C4 after final state 1&5 T&1
E13 D after final state 2 8
E14 S afier final state 1&5 7T&il
EIS Not Used
E16 Not Used
El7 Not Used
E18 Not Used
GS Not Used
E20 Amount of C112#C12 1&5 7&ll
E21 Amount of C112#C4 1&5 7T&ll
E22 Amount of C112#S & C112#0 1&5 7T&il
E23 Amount of C12#C4 1&5 7&il
E24 Amount of C12#S & C12#0. 1&5 7&1
E25 Amount of C112#D 2 8
E26 Amount of C12#D 2 8
E27 Incomplete/corrupt C112 3 9
E28 Incomplete/corrupt C12 3 9
E29 Incomplete/corrupt C4 3 9
E30 Incomplete/corrupt D 3 9
E31 Incomplete/corrupt S a 9
E32 Amount of C4#S & C4#0 1&5 7T& il
E33 Amount of D#S os 8
E34 C112 arrived after state F99 1&5 7T&ll
E35 C12 arrived after state F99 1&5 7T&ll
E36 C4 arrived after state F99 1&5 7T&l
E37 D arrived after state F99 2 8
E38 S arrived after state F99 1&5 7&1
E39 Settlement Date # Reconciliation Date 4 10
Shaded lines represent System States refer to D&CC exception states only.
©Copyright Fujitsu Services Ltd 2005
COMMERCIAL IN CONFIDENCE Page: 23 of 23
(CONTRACT CONTROLLED - Leave Blank if Not Applicable)